April 2004

Federal Guidelines

for Dam Safety

Emergency Action Planning for Dam Owners 
FEDERAL GUIDELINES FOR DAM SAFETY: 

EMERGENCY ACTION PLANNING 

FOR DAM OWNERS 

prepared by the 

INTERAGENCY COMMITTEE ON DAM SAFETY 

U. S. DEPARTMENT OF HOMELAND SECURITY 

FEDERAL EMERGENCY MANAGEMENT AGENCY 

OCTOBER 1998 

Reprinted April 2004 
PREFACE

In April 1977, President Carter issued a memorandum directing the review of federal dam safety activities by an ad 

hoc panel of recognized experts. In June 1979, the ad hoc interagency committee on dam safety (ICODS) issued its 

report, which contained the first guidelines for federal agency dam owners. The Federal Guidelines for Dam Safety 

(Guidelines) encourage strict safety standards in the practices and procedures employed by federal agencies or 

required of dam owners regulated by the federal agencies. The Guidelines address management practices and 

procedures but do not attempt to establish technical standards. They provide the most complete and authoritative 

statement available of the desired management practices for promoting dam safety and the welfare of the public. 

To supplement the Guidelines, ICODS prepared and approved federal guidelines in the areas of emergency action 

planning; earthquake analysis and design of dams; and selecting and accommodating inflow design floods for dams. 

 These publications, based on the most current knowledge and experience available, provided authoritative 

statements on the state of the art for three important technical areas involving dam safety. In 1994, the ICODS 

Subcommittee to Review/Update the Federal Guidelines began an update to these guidelines to meet new dam safety 

challenges and to ensure consistency across agencies and users. In addition, the ICODS Subcommittee on 

Federal/Non-Federal Dam Safety Coordination developed a new guideline, Hazard Potential Classification System 

for Dams. 

With the passage of the National Dam Safety Program Act of 1996, Public Law 104-303, ICODS and its 

Subcommittees were reorganized to reflect the objectives and requirements of Public Law 104-303. In 1998, the 

newly convened Guidelines Development Subcommittee completed work on the update of all of the following 

guidelines: 

· Federal Guidelines for Dam Safety: Emergency Action Planning for Dam Owners 

· Federal Guidelines for Dam Safety: Hazard Potential Classification System for Dams 

· Federal Guidelines for Dam Safety: Earthquake Analyses and Design of Dams 

· Federal Guidelines for Dam Safety: Selecting and Accommodating Inflow Design Floods for Dams 

· Federal Guidelines for Dam Safety: Glossary of Terms 

The publication of these guidelines marks the final step in the review and update process. In recognition of the 

continuing need to enhance dam safety through coordination and information exchange among federal and state 

agencies, the Guidelines Development Subcommittee will be responsible for maintaining these documents and 

establishing additional guidelines that will help achieve the objectives of the National Dam Safety Program. 

The members of all of the Task Groups responsible for the update of the guidelines are to be commended for their 

diligent and highly professional efforts. 

Harold W. Andress, Jr. 

Chairman, Interagency Committee on Dam Safety 
EMERGENCY ACTION PLANNING FOR DAM OWNERS 

TASK GROUP 

Jerrold Gotzmer** 

Federal Energy Regulatory Commission 

Harold (Bud) W. Andress, Jr.* 

Federal Emergency Management Agency 

William S. Bivins* 

Federal Emergency Management Agency 

Ronald E. Spath* 

Federal Energy Regulatory Commission 

Mervin Ice 

USDA, Natural Resources Conservation Service 

Janet Herrin 

Tennessee Valley Authority 

Charles Sullivan 

U.S. Army Corps of Engineers 

Jan Herny 

DOI, Bureau of Reclamation 

**Chair of Task Group that completed final document 

*Members of Task Group that completed final document 
TABLE OF CONTENTS

I. BASIC CONSIDERATIONS FOR PREPARING EMERGENCY 

ACTION PLANS (EAPS)...................................................................................... 1 

A. Purpose............................................................................................................ 1 

1. General................................................................................................. 1 

2. Emergency Potential ............................................................................ 1 

3. Responsibility of the Federal Emergency Management Agency .......... 1 

4. Uniformity of Plans ............................................................................... 2 

B. Scope ............................................................................................................... 2 

C. The Six Basic Elements of an EAP .................................................................. 2 

1. Notification Flowchart ........................................................................... 3 

2. Emergency Detection, Evaluation, and Classification........................... 3 

3. Responsibilities..................................................................................... 3 

4. Preparedness ....................................................................................... 3 

5. Inundation Maps ................................................................................... 3 

6. Appendices........................................................................................... 3 

D. Coordination..................................................................................................... 3 

E. Evacuation ....................................................................................................... 4 

F. Emergency Duration, Security, Termination, and Follow-up............................. 4 

1. Emergency Duration............................................................................. 4 

2. Security Provisions ............................................................................... 4 

3. Emergency Termination ....................................................................... 4 

4. Follow-up Evaluation ............................................................................ 5 

G. Maintaining an EAP ......................................................................................... 5 

1. Exercising ............................................................................................. 5 

2. Updating ............................................................................................... 8 

II. SUGGESTED EAP FORMAT ............................................................................ 11

A. The Format.................................................................................................... 11 

B. Format Items Defined.................................................................................... 13 

Title Page/Cover Sheet ................................................................................. 13 

Table of Contents.......................................................................................... 13 

I. Notification Flowchart ......................................................................... 13 

II. Statement of Purpose......................................................................... 16 

III. Project Description ............................................................................. 16 

IV. Emergency Detection, Evaluation, and Classification......................... 16 

V. General Responsibilities Under the Plan ............................................ 19 

VI. Preparedness ..................................................................................... 21 

i 
TABLE OF CONTENTS (Continued) 

VII. Inundation Maps ...................................................................... 26 

VIII. Appendices .............................................................................. 28 

III. GLOSSARY ....................................................................................................... 33 

ii 
I. BASIC CONSIDERATIONS FOR PREPARING 

EMERGENCY ACTION PLANS 

A. Purpose

1. General. There are many types of emergency events that could affect dams. 

Whenever people live in areas that could be flooded as a result of failure of or operation 

at a dam, there is a potential for loss of life and damage to property. The general 

purpose of these guidelines is to encourage thorough and consistent emergency action 

planning to help save lives and reduce property damage in areas that would be affected 

by dam failure or operation. 

An Emergency Action Plan (EAP) is a formal document that identifies potential 

emergency conditions at a dam and specifies preplanned actions to be followed to 

minimize property damage and loss of life. The EAP specifies actions the dam owner 1/ 

should take to moderate or alleviate the problems at the dam. It contains procedures 

and information to assist the dam owner in issuing early warning and notification 

messages to responsible downstream emergency management authorities of the 

emergency situation. It also contains inundation maps to show the emergency 

management authorities of the critical areas for action in case of an emergency. 

2. Emergency Potential. Whenever people live in an area that could be flooded by the 

operation or failure of a dam, an emergency potential is assumed to exist. An 

emergency in terms of dam operation is defined as an impending or actual sudden 

release of water caused by an accident to, or failure of, a dam or other water retaining 

structure, or the result of an impending flood condition when the dam is not in danger of 

failure. The release of water may endanger human life or downstream property. 

3. Responsibility of the Federal Emergency Management Agency. The Federal 

Emergency Management Agency (FEMA) is responsible for coordinating federal 

response to disasters and providing federal guidance to state and local emergency 

management authorities for all foreseeable emergencies in the United States. A recent 

survey indicates there are over 22,000 high or significant hazard potential dams in the 

United States, of which approximately 18,300, or 83 percent, do not have an EAP. The 

absence of an EAP at most state-regulated dams is recognized by FEMA as a 

deficiency in national emergency preparedness. To improve the Nation's emergency 

preparedness posture to respond to emergencies affecting dams, FEMA believes formal 

guidelines are needed to help dam owners effectively develop and exercise EAPs for 

dams. This process includes coordination, planning, and joint exercises involving both 

1/ The term dam owner, as used in these guidelines, refers to the individual dam owner or the 

operating organization. 

3 
the EAPs of the dam owner and warning and evacuation plans of local emergency 

management authorities. 

4. Uniformity of Plans. The effectiveness of EAPs can be enhanced by promoting a 

uniform format which ensures that all aspects of emergency planning are covered in 

each plan. Uniform EAPs and advance coordination with local and state emergency 

management officials and organizations should facilitate a timely response to a 

developing or actual emergency situation. 

Organizations and individuals who own or are responsible for the operation and 

maintenance of dams are encouraged to use these guidelines to develop, update, 

and/or revise their EAPs. These guidelines supersede the Emergency Action Planning 

Guidelines for Dams, FEMA 64/February 1985 and incorporate many technologically 

advanced emergency action planning concepts available from a wide variety of sources. 

B. Scope 

This document contains guidelines for preparing or revising EAPs for all high and 

significant hazard potential dams, i.e., those dams which, if they were to fail, would be 

likely to cause loss of life or significant property damage. Ownership and development 

of the floodplain downstream from dams varies; therefore, the potential for loss of life as 

a result of failure or operation of a dam will also vary. Every EAP must be tailored to 

site-specific conditions. 

EAPs generally contain six basic elements: 

· Notification Flowchart 

· Emergency Detection, Evaluation, and Classification 

· Responsibilities 

· Preparedness 

· Inundation Maps 

· Appendices 

All of the elements should be included in a complete EAP. The dam owner is 

responsible for the development of the EAP. However, the development or revision of 

an EAP must be done in coordination with those having emergency management 

responsibilities at the state and local levels. Emergency management agencies will use 

the information in a dam owner's EAP to facilitate the implementation of their 

responsibilities. State and local emergency management authorities will generally have 

some type of plan in place, either a Local Emergency Operations Plan or a Warning and 

Evacuation Plan. 

C. The Six Basic Elements of an EAP This section lists and briefly examines why 

there is a need for the six basic elements of an EAP. The requirements of these 

4 
elements are discussed in detail in Chapter II of these guidelines, which presents a 

recommended format for uniformity among EAPs. 

1. Notification Flowchart. A notification flowchart shows who is to be notified, by 

whom, and in what priority. The information on the notification flowchart is necessary 

for the timely notification of persons responsible for taking emergency actions. 

2. Emergency Detection, Evaluation, and Classification. Early detection and 

evaluation of the situation(s) or triggering event(s) that initiate or require an emergency 

action are crucial. The establishment of procedures for reliable and timely classification 

of an emergency situation is imperative to ensure that the appropriate course of action 

is taken based on the urgency of the situation. It is better to activate the EAP while 

confirming the extent of the emergency than to wait for the emergency to occur. 

3. Responsibilities. A determination of responsibility for EAP-related tasks must be 

made during the development of the plan. Dam owners are responsible for developing, 

maintaining, and implementing the EAP. State and local emergency management 

officials having statutory obligation are responsible for warning and evacuation within 

affected areas. The EAP must clearly specify the dam owner’s responsibilities to 

ensure effective, timely action is taken should an emergency occur at the dam. The 

EAP must be site-specific because conditions at the dam and downstream of all dams 

are different. 

4. Preparedness. Preparedness actions are taken to moderate or alleviate the effects 

of a dam failure or operational spillway release and to facilitate response to 

emergencies. This section identifies actions to be taken before any emergency. 

5. Inundation Maps. An inundation map should delineate the areas that would be 

flooded as a result of a dam failure. Inundation maps are used both by the dam owner 

and emergency management officials to facilitate timely notification and evacuation of 

areas affected by a dam failure or flood condition. These maps greatly facilitate 

notification by graphically displaying flooded areas and showing travel times for wave 

front and flood peaks at critical locations. 

6. Appendices. The appendices contain information that supports and supplements 

the material used in the development and maintenance of the EAP. 

D. Coordination

It is vital that development of the EAP be coordinated with all entities, jurisdictions, and 

agencies that would be affected by a dam failure and/or flooding as a result of large 

operational releases, or that have statutory responsibilities for warning, evacuation, and 

post-flood actions. The finished product should be user friendly as it realistically takes 

into account each organization's capabilities and responsibilities. 

5 
Coordination with state and local emergency management officials at appropriate levels 

of management responsible for warning and evacuation of the public is essential to 

ensure that there is agreement on their individual and group responsibilities. 

Participation in the preparation of the EAP will enhance their confidence in the EAP and 

in the accuracy of its components. Coordination will provide opportunities for discussion 

and determination of the order in which public officials would be notified, backup 

personnel, alternate means of communication, and special procedures for nighttime, 

holidays, and weekends. 

The tasks and responsibilities of the dam owner and the emergency management 

officials that would be implemented during a dam emergency incident need to be as 

compatible as possible. 

To facilitate compatibility, the dam owner should coordinate emergency response 

actions with the local emergency management officials who have the responsibility to 

provide a timely warning and evacuation notice to populations at risk. This should help 

prevent over, or under, reaction to the incident by various organizations. 

E. Evacuation

Evacuation planning and implementation are the responsibility of the state and local 

officials who are responsible for the safety of the public who live in areas that would be 

inundated by failure of a dam or flood releases. The dam owner should not usurp the 

responsibility of the local authorities responsible for evacuation. However, there may be 

situations where recreational facilities, campgrounds, or residences may be located 

below a dam where local authorities would not be able to issue a timely warning. In 

such cases, the dam owner should coordinate with local emergency management 

officials to determine who will warn these people and in what priority. 

F. Emergency Duration, Security, Termination, and Follow-up 

An EAP needs to address who in the dam owner's organization will issue status reports 

during the emergency, when and how a declared emergency will be terminated, what 

security provisions shall be maintained at the dam, and plans for a follow-up evaluation 

and report. 

1. Emergency Duration. Emergency situations that occur at a dam will require that 

status reports and situation assessments be provided by the dam owner to appropriate 

organizations throughout the duration of the incident. 

2. Security Provisions. An EAP should consider security provisions at and 

surrounding the dam during emergency conditions to protect the public and permit 

effective performance of emergency response actions. 

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3. Emergency Termination. There are two conditions requiring a termination of the 

emergency. One has to do with emergency conditions at the dam and the other is 

related to the evacuation and disaster response. The dam owner is usually responsible 

for making the decision that an emergency condition no longer exists at the dam. The 

EAP should clearly designate the responsible party. The applicable state or local 

emergency management officials are responsible for termination of the evacuation or 

disaster response activities. 

The dam owner and state and local officials should agree on when it is appropriate to 

terminate an emergency. The dam owner should cooperate with state and local officials 

to determine if a news release which can be used by the media for broadcast to the 

general public notifying them of termination of the emergency condition is appropriate. 

Such news releases are expected to be a supplement to other methods of notifying the 

public that the emergency has been terminated. 

4. Follow-up Evaluation. Following an emergency, an evaluation and review should 

be conducted that includes all participants. The following should be discussed and 

evaluated in the after-action review: 

· Events before, during, and following the emergency 

· Significant actions taken by each participant, and improvements practicable 

for future emergencies 

· All strengths and deficiencies found in procedures, materials, equipment, 

staffing levels, and leadership 

The results of the after-action review should be documented in an evaluation report 

chaired by the dam owner and used as a basis for revising the EAP. 

G. Maintaining an EAP 

After the EAP has been developed, approved, and distributed, the job is not done. 

Without periodic maintenance, the EAP will become out-dated, lose its effectiveness, 

and no longer be workable. If the plan is not exercised (verified), those involved in its 

implementation may become unfamiliar with their roles and responsibilities, particularly 

if emergency response personnel change. If the plan is not updated, the information 

contained in it may become outdated and useless. 

1. Exercising. Emergency incidents at dams and/or dam failures are not common 

events. Therefore, training and exercises are necessary to maintain operational 

readiness, timeliness, and responsiveness. The status of training and levels of 

readiness should be evaluated in non-threatening simulated periodic emergency 

exercises for key personnel of the dam owner. 

7 
Key personnel from state and local emergency management agencies should be 

encouraged to participate in any training and exercises of the EAP whenever possible 

and as appropriate. 

The dam owner should exercise the EAP because it promotes emergency 

preparedness, mitigation, and response, and demonstrates how effective the EAP will 

be in an actual emergency situation. Periodic exercises will result in an improved EAP 

as lessons learned during the exercise can be incorporated into an updated EAP 

document. 

There are five types of exercises in an exercise program. It is not a requirement that 

every exercise program include all five exercises. However, it is advisable to build an 

exercise program upon competencies developed from simpler exercises to achieve 

greater success with the more complex exercises. This means that emergency 

exercises should be developed and conducted in an ascending order of complexity. It 

is important that sufficient time be provided between each exercise to learn and 

improve from the experiences of the previous exercise before conducting a more 

complex exercise. The five exercise types, listed from simplest to most complex, are 

described below. 

a. Orientation Seminar - This exercise is a seminar that involves bringing together 

those with a role or interest in an EAP, i.e., dam owner and state and local emergency 

management agencies, to discuss the EAP and initial plans for an annual drill or more 

in-depth comprehensive exercise. The seminar does not involve an actual exercise of 

the EAP. Instead, it is a meeting that enables each participant to become familiar with 

the EAP and the roles, responsibilities, and procedures of those involved. An 

orientation seminar can also be used to discuss and describe technical matters with 

involved, non-technical personnel. 

b. Drill - A drill is the lowest level exercise that involves an actual exercise. It tests, 

develops, or maintains skills in a single emergency response procedure. An example of 

a drill is an in-house exercise performed to verify the validity of telephone numbers and 

other means of communication along with the dam owner’s response. A drill is 

considered a necessary part of ongoing training. 

c. Tabletop Exercise - The tabletop exercise is a higher level exercise than the drill. 

The tabletop exercise involves a meeting of the dam owner and the state and local 

emergency management officials in a conference room environment. The format is 

usually informal with minimum stress involved. The exercise begins with the description 

of a simulated event and proceeds with discussions by the participants to evaluate the 

EAP and response procedures and to resolve concerns regarding coordination and 

responsibilities. 

8 
d. Functional Exercise - The functional exercise is the highest level exercise that does 

not involve the full activation of the dam owner and state and local emergency 

management agency field personnel and facilities or test evacuation of residents 

downstream of the dam. It involves the various levels of the dam owner and state and 

local emergency management personnel that would be involved in an actual 

emergency. The functional exercise takes place in a stress-induced environment with 

time constraints and involves the simulation of a dam failure and other specified events. 

The participants "act out" their actual roles. The exercise is designed to evaluate both 

the internal capabilities and responses of the dam owner and the workability of the 

information in the EAP used by the emergency management officials to carry out their 

responsibilities. The functional exercise also is designed to evaluate the coordination 

activities between the dam owner and emergency management personnel. 

e. Full Scale Exercise - The full scale exercise is the most complex level of exercise. It 

evaluates the operational capability of all facets of the emergency management system 

(both dam owner and state and local emergency management agencies) interactively in 

a stressful environment with the actual mobilization of personnel and resources. It 

includes field movement and deployment to demonstrate coordination and response 

capability. The participants actively "play out" their roles in a dynamic environment that 

provides the highest degree of realism possible for the simulated event. Actual 

evacuation of critical residents may be exercised if previously announced to the public. 

A comprehensive EAP exercise is an in-depth EAP exercise that simulates a dam 

failure and involves the active interaction and participation of the dam owner with state 

and local emergency management personnel in a stressful environment with time 

constraints. Functional and full scale exercises are considered comprehensive 

exercises. The basic difference between these two exercise types is that a full scale 

exercise involves actual field movement and mobilization, whereas field activity is 

simulated in a functional exercise. A comprehensive exercise provides the necessary 

verification, training, and practice to improve the EAP and the operational readiness and 

coordination efforts of all parties responsible for responding to emergencies at a dam, 

such as failure, misoperation, and sabotage. 

For most dam owners, the orientation seminar, drill, tabletop exercise, and functional 

exercise should receive the most emphasis in their EAP exercise programs. It is 

recommended that dam owners conduct a functional exercises at least once every 5 

years. Tabletop exercises are usually conducted on a more frequent basis. 

Full scale exercises should be considered as optional emergency exercise activities, 

and should be conducted primarily when there is a specific need to evaluate actual field 

movement and deployment. When a full scale exercise is conducted, safety becomes a 

major concern because of the extensive field activity. If a dam owner has the capability 

9 
to conduct a full scale exercise, a commitment should be made to schedule and conduct 

the entire series of exercises listed above before conducting any full scale exercise. 

This will also require that at least one functional exercise be conducted before 

conducting a full scale exercise. Functional and full scale exercises can be coordinated 

with other scheduled exercises to share emergency management agency resources 

and reduce costs. 

The primary objectives of a comprehensive exercise are to: 

(1) Reveal the strengths and weaknesses of the EAP, including specified internal 

actions, external notification procedures, and adequacy of other information, such as 

inundation maps. 

(2) Reveal deficiencies in resources and information available to the dam owner and the 

state and local agencies. 

(3) Improve coordination efforts between the dam owner and the state and local 

agencies. Close coordination and cooperation among all responsible parties is vital for 

a successful response to an actual emergency. 

(4) Clarify the roles and responsibilities of the dam owner and the state and local 

emergency management officials. 

(5) Improve individual performance of the people who respond to the dam failure or 

other emergency conditions. 

(6) Gain public recognition of the EAP. 

Testing of monitoring, sensing, and warning equipment at remote/unattended dams 

should be included in emergency exercise activities. 

Emergency exercises and equipment tests should be evaluated orally and in writing, 

and the EAP should be revised and corrected, as necessary. Immediately following an 

exercise or actual emergency, an evaluation of the EAP should be conducted with all 

involved parties. The evaluation should focus on the procedures and other information 

in the EAP, not on the performance of the individuals who carried out the established 

procedures. It should address both the procedures that worked well and the procedures 

that did not work so well. The responses from all participants involved in the exercise 

should be considered. The exercise evaluation should discuss and evaluate the events 

before, during, and following the exercise or actual emergency; actions taken by each 

participant; the time required to become aware of an emergency and to implement the 

EAP; and the improvements practicable for future emergencies. 

10 
The purpose of the evaluation is to identify strengths and deficiencies in the EAP, such 

as outdated telephone numbers on the notification chart, inundation maps with 

inaccurate information, and problems with procedures, priorities, assigned 

responsibilities, materials, equipment, and staff levels. After the evaluation has been 

completed, the EAP should be revised, as appropriate, and the revisions disseminated 

to all involved parties. 

2. Updating. In addition to regular exercises, a periodic (at least annual) review of the 

overall EAP should be conducted to assess its workability and efficiency, i.e., timeliness 

of implementation, and to improve weak areas. 

Changes that may frequently require revision and update of an EAP include changes in 

personnel of various organizations and changes in communications systems. 

Therefore, a periodic review of telephone numbers and appropriate personnel included 

in the notification flowchart should be conducted. 

A review should be made of any changes to the dam and/or floodplain as this may 

affect the information on the inundation maps. Changes to the maps should be made 

as soon as practical and noted in the EAP. 

Once the plan has been revised, the updated version--or simply the affected pages--

should be distributed to all involved parties. The distribution of copies of the EAP and 

the notification flowchart (if issued separately) must be controlled and documented to 

ensure simultaneous updating of all copies. Updates should be made promptly. In 

addition, it is recommended that the entire EAP be reprinted and distributed to all 

parties at least every 5 years. 

11 
II. SUGGESTED EAP FORMAT

A. The Format

A suggested format is provided in these guidelines to ensure all six basic elements are 

included in an EAP, to provide uniformity, and to encourage thorough and consistent 

emergency action planning for levels of preparedness that may save lives and reduce 

property damage in areas affected by dam operation or failure. It is important that dam 

owner and regulatory requirements be satisfied when selecting a format for an EAP. 

Although it is not necessary to follow exactly the format outlined below, it is 

necessary that all EAPs within a given jurisdiction be similar and consistent to 

eliminate confusion when activating any EAP. To the extent possible, an EAP 

should be organized in the format that is most useful for those involved in the 

plan. The EAP must be user friendly so that it will actually be used during EAP 

exercises and actual emergency events. Regardless of the format used, 

development of an EAP should consider the elements described on the following pages 

to ensure all aspects of emergency action planning are covered. 

It is helpful to place the EAP in a loose-leaf binder so that outdated pages (or the entire 

EAP) can be easily removed and replaced with updated information, and to ensure a 

complete, current, and workable plan. It is also beneficial to place the date of the EAP 

or current revisions on each page. 

The suggested format for an EAP appears below. 

SUGGESTED EAP FORMAT 

Title Page/Cover Sheet 

Table of Contents 

I. Notification Flowchart 

II. Statement of Purpose 

III. Project Description 

IV. Emergency Detection, Evaluation, and Classification 

V. General Responsibilities Under the EAP 

A. Dam Owner Responsibilities 

B. Responsibility for Notification 

C. Responsibility for Evacuation 

D. Responsibility for Termination and Follow-Up 

E. EAP Coordinator Responsibility 

VI. Preparedness 

VII. Inundation Maps 

11 
VIII. Appendices 

A. Investigation and Analyses of Dambreak Floods 

B. Plans for Training, Exercising, Updating, and Posting the EAP 

C. Site-Specific Concerns 

D. Approval of the EAP 

The suggested format was purposefully devised to separate an EAP into two distinct 

sections: the basic EAP and the Appendices which, when combined together, 

constitute a complete EAP. 

1. The Basic EAP. Sections I through VII of the format constitute the basic EAP, i.e., 

they contain information that will likely be used by all parties (both the dam owner and 

emergency management officials) during an actual emergency. For example, the dam 

owner will use the notification flowchart to issue its emergency warning to the 

appropriate officials in a prioritized order. Similarly, the emergency management 

officials will use the flowchart to contact other officials or the dam owner, as needed, 

throughout the emergency. As a second example, both the dam owner and the 

emergency management officials will use the inundation maps extensively in fulfilling 

their responsibilities. 

It must be remembered that the responsibilities of the state and local emergency 

management authorities and other organizations in the jurisdictions affected by a dam 

failure or flooding as a result of operation of a dam are not included in an EAP. 

Information unique to state and local emergency management authorities, and any 

other organizations that would have responsibilities for the warning and evacuation of 

populations at risk, would be included in the portion(s) of the appropriate jurisdiction's 

Emergency Operations Plan dedicated specifically to warning and evacuation of 

populations placed at risk as a result of dam failure or flooding due to large operational 

releases. However, the information in the EAP must be coordinated with the 

appropriate authorities because they will depend on and use the information in the dam 

owner's EAP to help them carry out their responsibilities. 

2. The Appendices. The Appendices are an important element which completes the 

EAP. However, the information contained in the Appendices is not necessarily needed 

by all parties during an actual emergency. They typically contain support materials 

used in the development of the basic EAP. More specifically, the Appendices focus on 

important issues such as those that specifically address maintenance requirements for 

the EAP and dambreak investigations and analyses, among others. This information 

may be directly applicable to the actions of the dam owner and possibly some of the 

emergency management parties, but may not be critical to the actions and activities of 

other parties during an actual emergency. 

12 
All emergency management officials should be offered the complete EAP. However, it 

may be left to their discretion to decide whether they want to receive a copy of the 

complete EAP (basic EAP + Appendices) or the basic EAP. Those who elect to 

receive the basic EAP should understand that if it does not provide sufficient 

information for them to perform their functions, they should obtain the complete 

EAP. 

NOTE: Every EAP must be tailored to site-specific conditions and to the requirements 

of the organization that owns, operates, or regulates the use of the dam. This can be 

accomplished under the suggested format. Uniformity of EAPs is important because 

any one state or local emergency management agency may be affected by a river 

system that has a series of dams, the independent failure or operation of which may 

impact the jurisdiction. Uniformity provides for clarity and better understanding of the 

information in the EAP for each individual dam. 

B. Format Items Defined

This section follows the heading and numbering of the suggested format and describes 

in detail each element of an EAP. 

Title Page/Cover Sheet 

An EAP document's cover identifies it as an Emergency Action Plan and specifies the 

dam for which it was developed. Since each dam must have its own EAP with its own 

specific procedures to be followed, title pages or cover sheets are essential so that 

personnel can be sure that they are using the right EAP for the circumstances. To 

assist state and federal dam safety personnel, include the National Inventory of Dams 

number unique to each dam on the title page. 

Table of Contents 

List all major items in the Table of Contents, including flow charts, figures, and tables. 

I. Notification Flowchart 

The EAP should begin with one notification flowchart that clearly summarizes the 

following information and is applicable to each of the emergency classification levels 

considered (see discussion under Section IV). 

· Who is responsible for notifying each dam owner representative(s) and/or 

emergency management official(s) 

· What is the prioritized order in which individuals are to be notified 

· Who is to be notified 

13 
The notification flowchart should include individual names and position titles, office and 

home telephone numbers, alternative contacts, and means of communication, e.g., 

radio call numbers. The number of persons to be notified by each responsible individual 

on the notification flowchart should be governed by what other responsibilities the 

person has been assigned. It is usually recommended that any one individual not be 

responsible for contacting more than three or four other parties. 

The notification list should consider the following individuals and organizations. 

· Dam owner 

· Local emergency management officials and other organizations 

· Appropriate federal and state emergency management agencies 

· Residents and property owners located immediately downstream of the dam 

within the boundary of potential inundation where available warning time is 

very limited 

· Operators of other dams or water-retention facilities 

· Managers and operators of recreation facilities 

· National Weather Service 

· News media2/

· Others, as appropriate 

Although the list above is not all inclusive or prioritized, both the dam owner and the 

local, state, and federal emergency management authorities are typically given top 

priority in the notification flowchart. 

The notification flowchart should be easy to follow for each emergency classification 

level (see Section IV). One flowchart that represents all levels is preferred for the sake 

of effectiveness and simplicity. However, for clarity it might be necessary to develop a 

flowchart for each classification level. Color coding, i.e., using different colored lines to 

trace the proper sequence of notification under various emergency classification levels, 

may prove helpful. If necessary, narrative information supplementing the flowchart may 

be provided on the page following the flowchart. 

NOTE: Information is exchanged both up and down the notification flowchart. 

2/ The news media, including radio, television, and newspapers, should be utilized to the extent 

available and appropriate. Use of news media should be preplanned to the extent possible by the 

dam owner or emergency management officials. Notification to the news media may be by the 

dam owner or emergency management officials depending on the type of emergency. Notification 

plans should define emergency situations for which each medium will be utilized and should 

include an example of a news release that would be the most effective for each possible 

emergency. Information for the media ordinarily should not be relied upon as the primary means 

of warning. 

14 
Copies of the flowchart should be readily available to each individual having 

responsibilities under the plan, and should be kept up-to-date through exercises and 

revisions. 

NOTE: The flowchart on the next page is only a sample flowchart. A flowchart must be 

tailored to the specific needs and notification priorities of the dam to which it applies. 

15 
16 
II. Statement of Purpose 

Following the notification flowchart, briefly state the purpose and scope of the EAP. 

Two examples of a statement of purpose are shown below. 

Example 1: "This plan defines responsibilities and provides procedures designed to 

identify unusual and unlikely conditions which may endanger Any Dam in time to take 

mitigative action and to notify the appropriate emergency management officials of 

possible, impending, or actual failure of the dam. The plan may also be used to provide 

notification when flood releases will create major flooding." 

Example 2: "The purpose of this Emergency Action Plan (EAP) is to safeguard the 

lives and reduce damage to the property of the citizens of Alpha County living along 

Beta Creek, in the event of failure of the Beta Creek Dam or flooding caused by large 

runoff." 

III. Project Description 

Provide a description of the project and its location. Include a project vicinity map and a 

simple drawing showing project features. List any significant upstream or downstream 

dams. List downstream communities potentially affected by a dam failure or by flooding 

as a result of large operational releases. 

IV. Emergency Detection, Evaluation, and Classification 

The EAP document should include a discussion of procedures for timely and reliable 

detection, evaluation, and classification of an existing or potential emergency condition. 

The conditions, events, or measures for detection of an existing or potential emergency 

should be listed. Data and information collection systems (early warning system 

hardware, rule curves, or other information related to abnormal reservoir levels, 

inspection/monitoring plan, inspection procedures, instrumentation plan) should be 

discussed. The process that will be used to analyze incoming data should also be 

described. 

Procedures, aids, instruction, and provisions for evaluation of information and data to 

assess the severity and magnitude of any existing or potential emergency should be 

discussed. 

Emergencies are classified according to their severity and urgency. An emergency 

classification system is one means to classify emergency events according to the 

different times at which they occur and to their varying levels of severity. The 

classification system indicates the urgency of the emergency condition. Emergency 

classifications should use terms agreed to by the dam owner and emergency 

management officials during the planning process, in order for the system to 

17 
work and to ensure organizations understand terminology and respond 

appropriately to the event. 

Titles for emergency classifications should be chosen carefully by the organizations that 

will use them so that everyone will understand what each classification level means 

when notifications are issued and received. 

Declaration of an emergency can be a very controversial decision. The issue 

should not be debated too long. An early decision and declaration are critical to 

maximize available response time. 

Some locations may require only two emergency classifications, while others may 

require more. For the purpose of these EAP guidelines, two dam failure emergency 

classifications and one non-failure emergency classification are provided: 

· Failure is imminent or has occurred (Condition A) 

· Potential failure situation is developing (Condition B) 

· Non-failure emergency condition 

The definition of these conditions follows. 

Failure is imminent or has occurred (Condition A) 

Generally, this situation should convey the impression that "time has run out" with 

respect to the failure of the dam. This is a situation where a failure either has occurred, 

is occurring, or obviously is just about to occur. The question is often asked, "how much 

time is available when failure is considered to be imminent?" It is impossible to 

determine how long it will take for a failure to occur or for a complete breach to occur 

once failure begins. Therefore, once a dam owner determines that there is no 

longer any time available to attempt corrective measures to prevent failure, the 

"failure is imminent or has occurred" warning should be issued. Emergency 

management agencies, for evacuation purposes, should conservatively interpret the 

phrase "failure is imminent" to mean that the dam is failing, i.e., it should not be 

assumed that there is some time lag between "failure is imminent" and a "failure has 

occurred." Therefore, "failure is imminent" and "failure has occurred" should 

conservatively be interpreted as essentially the same condition for evacuation purposes. 

Potential failure situation is developing (Condition B) 

Generally, this situation should convey the impression that "some amount of time" is still 

available for further analyses/decisions to be made before dam failure is considered to 

be a foregone conclusion. This a situation where a failure may eventually occur but preplanned actions taken during certain events (such as major floods, earthquakes, 

evidence of piping) may moderate or alleviate failure. Even if failure is inevitable, more 

18 
time is generally available than in a failure has occurred situation to issue warnings 

and/or take preparedness actions. 

Is the time frame for this situation in hours, days, or weeks? When a dam safety 

situation is observed that may lead to a failure if left unattended but there is no 

immediate danger, the dam owner should issue a warning that a "potential failure 

situation is developing." The dam owner should assess the situation and determine the 

urgency of the emergency situation. Based on the dam owner's assessment (and as a 

result of prior coordination with the appropriate authorities), the authorities should be 

placed on alert and it is up to the authorities to determine the appropriate course of 

action. 

If it appears that a situation may take days or weeks before it could develop into a 

failure situation, the local authorities may decide on one course of action. Periodic 

status report updates from the dam owner are important because when it appears that 

the situation is continuing to worsen at the dam, in spite of the actions being taken to 

moderate or alleviate failure, the local authorities may decide to change their course of 

action. Depending on the location of downstream residents with respect to the dam and 

the estimated warning time available, the evacuating agencies should consider the 

prudence of early evacuation, or heightened awareness, of certain downstream areas 

until the emergency has passed. 

NOTE: It should be remembered that it may be appropriate to immediately declare a 

Condition A. However, there should be smooth transition from Condition B to Condition 

A when using Condition B initially. 

To assist the evacuating agencies in selecting their appropriate course of action and to 

provide a proper transition from Condition B to Condition A, dam owners should clearly 

communicate their assessment of the situation to the agencies. The dam owner should 

consider placing the agencies on an initial alert and provide periodic updates on the 

situation as it develops so that the agencies can assess when they should implement 

their evacuation procedures. For example, a dam owner could issue an initial warning 

and periodic updates on the reservoir level as it rises during flood conditions and 

eventually overtops an embankment dam. As the reservoir rises, "a potential failure 

situation is developing" warning should be implemented with periodic updates on how 

much time is available before the embankment overtops. Immediately before the 

embankment overtops, a "failure is imminent or has occurred" warning should be 

issued. 

Non-failure emergency condition 

Generally, this situation should be used when there is no danger of dam failure, but flow 

conditions are such that flooding is expected to occur downstream of the dam. Nonfailure emergency conditions are more common than the failure emergency conditions. 

19 
Activation of the EAP will provide an early warning to downstream areas during flood 

conditions or large spillway releases. Therefore, an important application of the EAP is 

when there is a flood occurring on the river system, but there may be no apparent threat 

to the integrity of the dam. In this situation, natural flooding is expected or is in progress 

upstream from the dam site and an impending or actual release of water to downstream 

areas will result from unusually large spillway releases or passage of unusually large 

flows at dams having uncontrolled spillways. The dam owner can provide an important 

public service by notifying the appropriate agencies of the expected release or passage 

of flood waters below the dam. While the amount of flooding may be beyond the control 

the dam owner, information on the amount of releases from the dam will be very helpful 

to the authorities in reaching any decisions on the need for evacuation. 

V. General Responsibilities Under the Plan

The plan should specify the person(s) or organization responsible for the maintenance 

and operation of the dam and the persons or groups responsible for implementing 

various phases of the EAP. Some specific responsibilities to be considered are 

discussed below. 

A. Dam Owner Responsibilities 

The duties of the dam owner or owner's designated representatives under the EAP 

should be clearly described. Some suggestions for information to include in this section 

follow. 

The operators should be advised of the importance of the EAP and why the EAP is 

necessary. The operators' duties under the EAP should be described. Include pointers 

on how to communicate the emergency situation to those who need to be contacted 

along with samples of typical communications. 

Specific actions operators are to take after implementing the EAP notification 

procedures should be described. For example, opening spillway gates, especially if a 

certain sequence is desired, and opening/closing water intakes, as appropriate. 

Instructions for the operation of the project during the anticipated emergency should be 

provided. 

The chain of command should be described. Officials and alternates of the dam owner 

who must be notified should be designated and priority of notification determined. 

Notification of supervisory personnel on the dam owner's staff is desirable, if time 

permits. Advice may be needed concerning predetermined remedial action to delay, 

moderate, or alleviate the severity of the emergency condition. The responsibilities 

required by the EAP should be coordinated with appropriate levels of management to 

ensure full awareness of organizational capabilities and responsibilities. EAPs must 

always be developed as a result of coordination and consultation with other entities and 

20 
agencies that will be affected by a failure of a dam, or large operational releases, or 

have statutory responsibilities in warning and evacuation. 

B. Responsibility for Notification 

The person(s) authorized to notify state and local officials should be determined and 

clearly identified in the EAP. If time allows in an emergency situation, onsite 

personnel should seek advice and assistance. However, under certain circumstances, 

such as when failure is imminent or has occurred, the responsibility and authority for 

notification may have to be delegated to the dam operator or a local official. Such 

situations should be specified in the EAP. 

The accurate and timely dissemination of emergency public information is very 

important to the overall success of an EAP. The person who is responsible for 

disseminating information to the media and the public on a periodic basis throughout the 

emergency should be designated. If resources are available, an exclusive public 

information officer should be identified to disseminate all media briefs. The means for 

keeping local authorities advised of continuing conditions at the dam also should be 

described. 

Dam owners should develop procedures for dissemination of dam specific information 

to the media in anticipation of questions the media may have about the incident as it 

applies to the dam. A procedure like this should, in effect, help minimize the potential 

for dissemination of misinformation and spreading of false rumors. 

Throughout the United States, the National Weather Service (NWS) and/or other 

agencies have the general responsibility for issuing flood warnings. It may be beneficial 

to include the appropriate agency having this responsibility on the notification chart so 

that its facilities can enhance warnings being issued. 

Local agencies will usually establish an Emergency Operations Center (EOC), or 

Incident Command System (ICS), to serve as the main distribution center for warning 

and evacuation activities. The availability of specific local resources should be 

determined through discussion and orientation seminars with local agency personnel. 

Proper coordination and communication among onsite technical personnel at the dam, 

public information officer(s), and emergency personnel at the EOC is of critical 

importance to a successful EAP. Thorough verification during comprehensive EAP 

exercises will greatly assist in providing this smooth interface. 

C. Responsibility for Evacuation 

Warning and evacuation planning are the responsibilities of local authorities who have 

the statutory obligation. Under the EAP, the dam owner is responsible for notifying the 

appropriate emergency management officials when flooding is anticipated, or a failure is 

imminent or has occurred. 

21 
Dam owners should not assume, or usurp, the responsibility of government entities for 

evacuation of people. However, there may be situations in which routine notification 

and evacuation will not suffice, as in the case of a resident located just downstream of 

the dam. In this case, the dam owner should arrange to notify that person directly. 

This procedure should be coordinated with the appropriate public officials before 

an emergency situation develops. 

D. Responsibility for Duration, Security, Termination, and Follow-Up 

A person should be designated for on-site monitoring of the situation at the dam and 

keeping local authorities informed of developing conditions at the dam from the time that 

an emergency starts until the emergency has been terminated. 

Provisions for security measures at the dam during the emergency should be specified. 

A person should also be responsible for declaring that the emergency at the dam is 

terminated. The applicable state or local emergency management officials are 

responsible for termination of the disaster response activities. 

A follow-up evaluation after an emergency by all participants should be specified. The 

results of the evaluation should be documented in a written report. 

E. EAP Coordinator Responsibility

The dam owner should specify in the EAP the designated EAP coordinator who will be 

responsible for EAP-related activities, including (but not limited to) preparing revisions to 

the EAP, establishing training seminars, and coordinating EAP exercises. This person 

should be the EAP contact if any involved parties have questions about the plan. 

VI. Preparedness

Preparedness actions are taken to prevent a dam failure incident or to help reduce the 

effects of a dam failure or operational spillway release and facilitate response to 

emergencies. A few of the preparedness actions that a dam owner may take include 

providing emergency flood operating instructions and arranging for equipment, labor, 

and materials for use in emergency situations. 

The EAP should describe preparedness actions taken both before and following the 

development of emergency conditions. Preparedness actions involve the installation of 

equipment or the establishment of procedures for one or more of the following 

purposes. 

· Preventing emergency conditions from developing, if possible, or warning of 

the development of emergency situations. 

22 
· Facilitating the operation of the dam to limit impacts in an emergency 

situation. 

· Minimizing the extent of damage resulting from any emergency situations that 

do develop. 

The need for timely action in an emergency situation cannot be overemphasized. The 

EAP should contain a discussion of provisions for surveillance and evaluation of an 

emergency situation and should clearly indicate that emergency response procedures 

can be implemented in a timely manner. An important factor in the effectiveness of the 

EAP is the prompt detection and evaluation of information obtained from 

instrumentation and/or physical inspection procedures. 

In the EAP, discuss the time factor from the actual occurrence of an emergency to 

awareness of the emergency, and its effect on the workability of the EAP. Timely 

implementation of the EAP and coordination and communication with 

downstream local authorities are crucial elements in the effectiveness of 

emergency response to the incident. 

There are several types of preparedness actions that should be considered when 

developing an EAP. These actions include: 

· Surveillance 

· Response during periods of darkness 

· Access to the site 

· Response during weekends and holidays 

· Response during periods of adverse weather 

· Alternative systems of communication 

· Emergency supplies and information 

The following sections discuss each of these actions. 

A. Surveillance

The EAP should contain a discussion of provisions for surveillance, detection, and 

evaluation of an emergency situation and should clearly indicate that the EAP can be 

implemented in a timely manner. 

When a dam is not continuously attended and dam failure or operational releases would 

endanger human life or cause significant property damage, it is imperative that 

procedures be developed to identify conditions requiring emergency actions, and to 

promptly alert emergency management officials responsible for warning and evacuation 

of residents who would be affected in the event of an emergency at the dam. To be 

able to promptly notify responsible officials of emergency conditions, a dam owner 

23 
should be able to detect and evaluate developing emergency conditions. The 

information system must be able to deliver clear, concise, and reliable data so that the 

responsible official(s) may react with confidence and implement the EAP. While the 

EAP is being activated, personnel should visit the site to verify conditions. 

For an unattended dam, a remote surveillance system that includes instrumentation and 

telemetering facilities at the dam site should be considered to provide a continuous 

reading of headwater and tailwater levels. If the dam owner has an operations control 

center that is attended 24 hours a day, the system should include a computer at the 

operations center to monitor the data and to activate an audible alarm whenever the 

rate of change of the headwater or tailwater over a given period of time exceeds 

prescribed limits. The alarm also should be activated if the headwater or tailwater 

elevations exceed prescribed maximum or minimum levels. Design must be sitespecific. The limits programmed in a system must account for changes in headwater 

and tailwater levels that would occur during normal dam operation, floods, and 

maintenance. 

Monitoring of the tailwater generally is more sensitive to changes resulting from a 

breach of the structures than monitoring the headwater. Changes in tailwater will alert 

operators more quickly to site conditions and help determine whether emergency 

management officials should be notified. If continuous readings of both the headwater 

and tailwater are available, the operator can obtain a current reading at any time and 

check conditions at the site after an alarm is sounded. 

Provisions should be made for the alarm to sound when there is an interruption of 

power to, and loss of communication with, the monitoring instrumentation. (When a 

dam tender lives close to the project, an alarm should be installed in the dam tender's 

house.) When power to or communication with the site is interrupted, the dam should 

be manned until conditions are returned to normal. Operation of the alarms should be 

checked periodically. Proper functioning of alarms should be confirmed by testing. For 

instance, annual testing of the EAP might be initiated by artificially tripping one of the 

alarms. 

Reaction time must be minimized when inhabited structures are located immediately 

downstream of the dam. When these conditions exist, special procedures may need to 

be included in the EAP to notify the occupants involved. Local officials should be fully 

involved in the development of these special procedures. 

The EAP should describe any instrumentation for monitoring the behavior of unattended 

dams, and explain how warning systems would be activated. Instrumentation responses 

should be instantaneous to facilitate immediate action by operators. 

24 
Procedures should be described for providing continuous surveillance for periods of 

actual or forecasted high flows. It may be necessary to send an observer to the dam 

during these periods, and not rely on the instrumentation alone. It is very important that 

an observer be at the dam when flood conditions or signs of serious structural distress 

have been identified. 

If a discussion of remote surveillance at the dam is not applicable, that fact should be 

stated in the EAP. 

B. Response During Periods of Darkness

Discussion in the EAP of the response to potential or actual emergency conditions 

during periods of darkness should be addressed. 

Actions to be taken to illuminate the spillway operating deck, or observation of 

distressed areas of the dam, and other actions that will facilitate the operation of gates 

or other emergency equipment should be described. 

Any special procedures for contacting or notifying the proper personnel, local officials, 

or others during a power failure should be described. 

The expected response time for verifying an emergency and implementing the EAP 

should be discussed in detail. 

Any other special instructions for the dam operators or local officials should be included. 

C. Access to the Site

The description of access should focus on primary and secondary routes and means for 

reaching the site under various conditions, e.g., foot, boat, helicopter, snowmobile. The 

expected response (travel) time also should be discussed in detail. Special attention 

should be given to access if the main access road crosses the downstream channel and 

could be closed by flood waters. 

D. Response During Weekends and Holidays 

Discussion of emergency response during weekends and holidays should be 

addressed. 

The actions to be taken should be described in detail. Actions should be based on the 

dam tender schedule for attendance during this period. 

Any special procedures for contacting or notifying personnel should be described. 

E. Response During Periods of Adverse Weather

25 
Discussion of emergency response under adverse weather conditions should be 

included. 

The actions to be taken should be described in detail. Action should be based on 

whether the dam is attended or unattended. 

Methods of access to the site, e.g., foot, boat, snowmobile, should be described. The 

expected response time should be discussed in detail. 

Any other special instructions for the dam operators or local officials should be listed. 

F. Alternative Systems of Communication 

The description of the availability and use of alternative communications systems at the 

site should be included. 

Alternative channels of communication to be used in case of failure of the primary 

system or failure of other systems immediately available should be listed. Proper 

procedures for activating the alternative channels of communication should be 

described. 

Any other special instructions should be included. 

G. Emergency Supplies and Information 

There are certain planning and organizational measures that can help the dam owner 

and local officials manage the emergency situation more safely and effectively. These 

measures include stockpiling materials and equipment for emergency use and 

coordinating information. Alternative sources of power for spillway gate operation and 

other emergency uses also should be provided. The EAP should list the location of 

each power source, its mode of operation and, if portable, the means of transportation 

and routes to be followed. The EAP should include the name and day/night telephone 

numbers of each operator or other responsible person. 

If any of these measures apply, they should be discussed in the EAP. Specific types of 

information to include when describing these emergency supplies and information 

follow. 

1. Stockpiling Materials and Equipment. Where applicable, document the following: 

· Materials needed for emergency repair and their location, source, and 

intended use. Materials should be as close as possible to the dam site. 

· Equipment to be used, its location, and who will operate it. 

26 
· How the operator or contractor is to be contacted. 

· Any other people who may be needed, e.g., laborers, engineers, and how 

they are to be contacted. 

Also include any other special instructions. If stockpiling of materials and equipment is 

not applicable to your dam, that fact should be stated in your EAP. 

NOTE: For each applicable item, include specific contacts and their business and nonbusiness means of communication. 

2. Coordination of Information. Where applicable, describe the following: 

· The need for coordination of information on flows based on weather and 

runoff forecasts and failure and other emergency conditions. Describe how 

the coordination is achieved and the chain of communications, including 

names and day/night telephone numbers of responsible people. Coordination 

with the NWS or other appropriate agency is recommended to monitor 

storms, river stages, and flood waves resulting from a dam break. The NWS 

or other appropriate agency may also be able to supplement the warnings 

being issued by using its own communication system. 

· Additional actions contemplated to respond to an emergency situation or 

failure at an unattended dam. Include periods of darkness, inclement 

weather, and non-business hours. 

· Actions to be taken to lower the reservoir water surface elevation, if 

applicable. Describe when and how this action should be taken. If not 

applicable, that fact should be stated in the EAP. 

· Actions to be taken to reduce inflow to the reservoir from upstream dams or 

control structures. The EAP should provide instructions for operators or other 

persons responsible for contact with other owners on when and how these 

actions should be taken. If such actions do not apply, that fact should be 

stated in the EAP. 

· Actions to be taken to reduce downstream flows, such as increasing or 

decreasing outflows from downstream dams or control structures on the 

waterway on which the dam is located or its tributaries. The EAP should 

provide instructions for operators or other responsible persons on when and 

27 
how these actions should be taken. If such actions do not apply, that fact 

should be stated in the EAP. 

Also describe any other appropriate actions to be taken. If coordination of information 

on flows is not applicable, that fact should be stated in the EAP. 

3. Other Site-Specific Actions

Describe any other site-specific actions devised to moderate or alleviate the extent of 

possible emergencies. 

VII. Inundation Maps

Inundation maps are necessary and should be developed by the dam owner in 

coordination with the appropriate state and local emergency management agencies. 

Because those agencies will rely heavily on the maps during an emergency, it is 

important that the maps contain information required by those agencies. The 

requirements for an inundation map follow. 

The antecedent flow conditions on which the maps are based should be identified. 

Many local emergency management and response organizations request maps showing 

both a "sunny day" failure condition and a flood failure condition to show the expected 

extremes in peak water surface elevations, travel times, and distances downstream 

between the two scenarios. (For a further discussion see Section VIII.C. - Investigation 

and Analyses of Dam Break Floods.) 

Describe how the inundation boundaries were plotted. At a minimum, show on the map 

and/or in a table the peak discharge, maximum inundation elevation, and the travel time 

(in hours and minutes) of the leading edge and peak of the dam break flood wave to 

critical locations. 

The map should be developed at a scale sufficient to be used for identifying 

downstream inhabited areas within the area subject to possible danger. Inundated 

areas should be clearly identified. It may be appropriate to supplement the inundation 

on the maps with water surface profiles showing the elevation before failure, the peak 

water surface elevation after failure, and the location of structures at critical locations. 

A narrative description of the areas affected by the dambreak can be included to clarify 

unusual conditions. It should describe the specific area threatened and include 

information on the size and depth of expected flooding relative to known landmarks and 

historical flood heights. Whenever possible, major streets, railroads, and other well 

known features should be depicted, using local names or terms. 

The best available topographic map should be used. The expected inundation following 

the assumed failure should be delineated on the map. The lines delineating the 

28 
inundated area should be drawn in such thickness or form (solid line, dashed line, 

dotted line) as to readily identify the inundation limits as the main features of the map 

but not bold enough to obliterate houses or other features which are to be shown as 

being inundated by the flood waters. Clarity is important. When plotting inundation 

limits between cross sections used for analysis, the lines should reasonably reflect the 

change in water levels, with consideration given to topographic patterns and both 

natural and manmade features. When inundation lines enter the area of an existing 

lake or reservoir, they should be drawn to represent an increase in the water level of the 

lake or reservoir. Should this increased water level overtop the dam, the appropriate 

inundation lines should be drawn downstream of the dam to represent expected 

inundation in the downstream channel up to a point where an increase in water level will 

no longer represent danger to life or property. The area between the inundation lines 

representing the water level may be shaded to distinguish the area of inundation. Care 

should be taken to select a shading which will not obliterate the background information 

shown on the map. 

The accuracy and limitation of the information supplied on the inundation maps and how 

best to use the maps should be described. Because local officials are likely to use the 

maps for evacuation purposes, a note should be included on the map to advise that 

because of the method, procedures, and assumptions used to develop the flooded 

areas, the limits of flooding shown and flood wave travel times are approximate and 

should be used only as a guideline for establishing evacuation zones. Actual areas 

inundated will depend on actual failure or flooding conditions and may differ from areas 

shown on the maps. The owner should review the inundation maps with the local 

jurisdictions and resolve any problems. 

If inundation maps are to be shown on several pages, a map index should be included 

to orient the individual pages. 

Inundation maps should be updated periodically to reflect changes in downstream 

areas. 

Include any other pertinent information as a result of coordination with the appropriate 

emergency management authorities. Emergency management agencies may request 

that inundation maps highlight evacuation routes and emergency shelters. 

VIII. Appendices

Following the main body of the EAP (the basic EAP), an appendix section should be 

included that contains information that supports and supplements the basic EAP. 

Listed below are some of the topics that should be covered in the appendix 

accompanying the EAP. 

29 
· Investigation and Analyses of Dambreak Floods 

· Plans for Training, Exercising, Updating, and Posting the EAP 

· Site-Specific Concerns 

· Approval of the EAP 

Each of the these topics are described below. 

A. Investigation and Analyses of Dam Break Floods 

The EAP appendix should identify and briefly describe the method and assumptions 

selected to identify the potentially inundated areas. 

Several factors usually have to be evaluated whenever dam failures are postulated. 

The type of dam and the mechanism which could cause failure require careful 

consideration if a realistic breach is to be assumed. Size and shape of the breach, time 

of breach formation, hydraulic head, and storage in the reservoir contribute to the dam 

failure hydrograph. Most of the methods for estimating dam break hydrographs require 

the choice of size, shape, and time of dam breach. There are also several available 

procedures for routing dam failure hydrographs to determine information on areas 

inundated by the flood as it travels downstream. 

Several different assumptions on inflow conditions should be made regarding the 

appropriate conditions prevailing at the time of a dam failure to ensure that the EAP 

includes all communities that need to be notified. A "fair weather" (often referred to as 

“sunny day”) dam failure (reservoir at normal full pool elevation, normal stream flow 

prevailing) is generally considered to have the most potential for loss of human life, 

primarily due to the element of surprise. A failure at the inflow design flood is 

considered to show the upper limit of inundation. 

A failure of a dam during flood flow conditions will result in flooding downstream areas 

to higher elevations than during a "fair weather" failure. The result could be additional 

populations and areas affected than otherwise would not occur during a "fair weather" 

failure. In addition, emergency management agencies may use the inundation maps to 

develop their evacuation procedures. To assist these agencies, both the "fair weather" 

breach and a failure during a flood level approaching the inflow design flood (IDF) 

should be analyzed. If inundated areas for the "fair weather" breach and the IDF breach 

are essentially the same or are too close to be shown separately on the inundation 

maps, then a single inundation area for the two breach conditions may be shown. 

Otherwise, both the "fair weather" breach and the IDF breach should be clearly shown 

on the inundation map because emergency management agencies advise that they 

depend on the maps to implement an evacuation and, therefore, need both the "fair 

weather" and the extreme flood dam failure boundaries shown on the maps. 

30 
Many methods for developing the dam failure hydrograph and routing dambreak flows 

downstream are available. Many federal agencies have developed dambreak computer 

programs that are available upon request. They may be obtained from the NWS, 

Bureau of Reclamation, Natural Resources Conservation Service, U.S. Army Corps of 

Engineers, Tennessee Valley Authority, U.S. Geological Survey, and the Federal 

Emergency Management Agency. The dambreak model developed by the NWS is the 

most widely used and preferred. 

Sensitivity analyses are recommended to fully investigate the effect of a failure on 

downstream areas. 

The need to consider the domino effect should be made on a case-by-case basis. If the 

assumed failure of a dam would cause the failure of any downstream dams, the dam 

owner has the responsibility to consider the domino effect in its routing of the floodwave 

downstream. The flood wave should be routed to the point where it no longer presents 

a hazard to downstream life or property, which includes downstream dams. Therefore, 

the owner, after assuming a hypothetical failure of its dam, should make an engineering 

judgment regarding the potential for failure of the downstream dams from the flow 

condition under consideration, or as a result of the failure of the dam being investigated, 

to determine whether it would be prudent to consider failure of any downstream dams 

during the routing of the dambreak flood wave. 

B. Plans for Training, Exercising, Updating, and Posting the EAP. Plans should be 

developed for the annual training of project operators and other responsible personnel 

for conducting periodic EAP exercises, for ensuring timely updating of the EAP, and for 

posting the notification flowchart. 

1. Training. Training of people involved in implementation of the EAP should be 

conducted to ensure that they are thoroughly familiar with all elements of the plan, the 

availability of equipment, and their responsibilities and duties under the plan. 

Technically qualified personnel should be trained in problem detection and evaluation 

and appropriate remedial (emergency and non-emergency) measures. This training is 

essential for proper evaluation of developing situations at all levels of responsibility 

which, initially, is usually based on on-site observations. A sufficient number of people 

should be trained to ensure adequate coverage at all times. 

A training plan could be included in the appendix to the EAP. Exercises simulating 

emergency conditions are excellent mechanisms for ensuring readiness. Cross-training 

in more than one responsible position for each individual is advisable to provide 

alternates. A careful record by roster should be kept of training completed and 

refresher training conducted. 

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2. Exercising. A proposed exercise schedule and the plans for the EAP exercise 

program should be included in this portion of the appendix. It should also discuss plans 

for conducting an evaluation of the exercise (both annual drills and periodic 

comprehensive exercises) and plans for updating the EAP based on the comments from 

the evaluation. 

This section should also include a form that can be used to document actions taken 

during any actual emergencies. 

The state of training and readiness of key personnel responsible for actions during an 

emergency should be a part of any exercise to make sure that they know and 

understand the procedures to be followed and actions required. 

Any special procedures required for night time, weekends, and holidays should be 

included. The exercises should involve an annual drill as well as periodic tabletop and 

functional exercises. Testing of remote sensing equipment at unattended dams should 

be included. 

Coordination and consultation with state and local emergency management officials and 

other organizations when developing a comprehensive EAP exercise program are 

important to enhance the realism of the exercises. Their involvement will help perfect 

the close coordination necessary for a successful execution of emergency procedures 

in the EAP during an actual emergency. The exercises should include participation by 

both the dam owner and the affected state and local emergency management officials. 

The exercises should be evaluated both orally and in writing and the EAP should be 

revised to correct any deficiencies noted. 

3. Updating. The EAP should be updated promptly after each change in involved 

personnel or their telephone numbers, or after completion of a scheduled exercise. 

A review of the adequacy of the EAP should be conducted at intervals not to exceed 1 

year. During the review, an evaluation of any changes in flood inundation areas, 

downstream developments, or in the reservoir should be made to determine whether 

any revisions to the current EAP (including inundation maps) are necessary. 

Reviews should be conducted on or about the same date each year. If no revision is 

necessary, a statement that the review was made and no revision to the EAP was 

necessary should be provided to each recipient of the original EAP. 

Copies of any revisions that do result from updating the EAP or from periodic exercises 

of the EAP should be furnished to all individuals to whom the original EAP was 

distributed. A procedure should be established to ensure that all copies of the EAP are 

revised. This section should include a list of all recipients of the EAP and should state 

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whether they have the complete EAP (appendices included) or have elected for the 

basic EAP. 

4. Posting of the Notification Flowchart. An up-to-date copy of the notification 

flowchart should be posted in prominent locations at the dam site and local emergency 

operations center (essential for unattended dams), as appropriate. 

The flowchart should be posted at each phone and radio transmitter at the dam, 

powerhouse (if applicable), and at all other desirable locations. The locations of the 

posted flowcharts should be indicated in the EAP. 

A copy of the complete, up-to-date EAP should also be available to personnel at the 

dam and to local officials. The location of each copy should be stated in this section of 

the EAP. Consideration should also be given to having a copy of the EAP at the 

residences of key personnel. 

C. Site-Specific Concerns

Each dam and downstream area is unique. As a result, each EAP is unique. This 

section of the appendix should provide a discussion of any site-specific concerns that 

provide valuable information affecting the EAP. The EAP should emphasize where 

appropriate structural drawings and flood data are maintained on-site. Quick access to 

this information is crucial during emergency events. 

D. Approval of the EAP

The EAP should include a section that is signed by all parties involved in the plan, 

where they indicate their approval of the plan and agree to their responsibilities for its 

execution. Including approval signatures helps to assure that all parties are aware of 

and understand the EAP and agree to their assigned roles should an emergency occur. 

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III. GLOSSARY 

For the purpose of these guidelines the following definitions apply. 

Breach: An opening through the dam resulting in partial or total failure of the dam. 

Comprehensive EAP Exercise: An in-depth exercise of an EAP that involves the 

interaction of the dam owner with the state and local emergency management agencies 

in a stressful environment with time constraints. Functional and full scale EAP 

exercises are considered comprehensive EAP exercises. 

EAP Exercise: An activity designed to promote emergency preparedness; test or 

evaluate EAPs, procedures, or facilities; train personnel in emergency management 

duties; and demonstrate operational capability. Exercises consist of the performance of 

duties, tasks, or operations very similar to the way they would be performed in a real 

emergency. However, the exercise performance is in response to a simulated event. 

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 dam. Includes effects of land slides upstream of the dam on property located around 

the reservoir. 

Dam Failure: Catastrophic type of failure characterized by the sudden, rapid, and 

uncontrolled release of impounded water. It is recognized that there are lesser degrees 

of failure and that any malfunction or abnormality outside the design assumptions and 

parameters which adversely affect a dam's primary function of impounding water is 

properly considered a failure. Such lesser degrees of failure can progressively lead to 

or heighten the risk of a catastrophic failure. They are, however, normally amendable to 

corrective action. 

Emergency Alert System: A federally established network of commercial radio stations 

that voluntarily provide official emergency instructions or directions to the public during 

an emergency. 

Emergency Management Agency: The state and local agencies responsible for 

emergency operations, planning, mitigation, preparedness, response, and recovery for 

all hazards. Names of emergency management agencies may vary such as: Division 

of Emergency Management, Comprehensive Emergency Management, Disaster 

Emergency Services, Civil Defense Agency, Emergency and Disaster Services. 

Emergency Operations Center (EOC): The location or facility where responsible 

officials gather during an emergency to direct and coordinate emergency operations, to 

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communicate with other jurisdictions and with field emergency forces, and to formulate 

protective action decisions and recommendations during an emergency. 

Flood Hydrograph: A graph showing, for a given point on a stream, the discharge, 

height, or other characteristic of a flood with respect to time. 

Flood Routing: A process of determining progressively over time the amplitude of a 

flood wave as it moves past a dam or downstream to successive points along a river or 

stream. 

Hazard Potential: A situation which creates the potential for adverse consequences 

such as loss of life, property damage, or other adverse impacts. Impacts may be for a 

defined area downstream of a dam from flood-waters released through spillways and 

outlet works of the dam or waters released by partial or complete failure of the dam. 

They may also be for an area upstream of the dam from effects of backwater flooding or 

effects of landslides around the reservoir perimeter. 

Headwater: The water immediately upstream from a dam. The water surface elevation 

varies due to fluctuations in inflow and the amount of water passed through the dam. 

Inflow Design Flood: The floodflow above which the incremental increase in water 

surface elevation due to failure of a dam or other water impounding structure is no 

longer considered to present an unacceptable threat to downstream life or property. 

The flood hydrograph used in the design of a dam and its appurtenant works particularly 

for sizing the spillway and outlet works and for determining maximum temporary 

storage, height of dam, and freeboard requirements. 

Inundation Map: A map delineating areas that would be flooded as a result of a dam 

failure. 

Notification: To inform appropriate individuals about an emergency condition so they 

can take appropriate action. 

Tailwater: The water immediately downstream from a dam. The water surface 

elevation varies due to fluctuations in the outflow from the structures of a dam. 

Tailwater monitoring is an important consideration because a failure of a dam will cause 

a rapid rise in the level of the tailwater. 

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