APEGBC Legislated Dam Safety Reviews

Infrastructure
Legislated Dam Safety Reviews in BC

APEGBC Professional Practice Guidelines
V2.0
table of contents
Preface 1
Definitions 2
1.0 Introduction 4
Introduction to the Guidelines
1.1 Purpose of these Guidelines 5
1.2 Role of APEGBC 5
1.3 Introduction of Terms 6
1.4 Scope of the Guidelines 6
1.5 Applicability of the Guidelines 6
1.6 Acknowledgments 7
2.0 Project Organization and Responsibilities 8
2.1 Common Forms of Project Organization 8
2.2 Responsibilities 10
2.2.1 The Client/Dam Owner 10
2.2.2 The Qualified Professional Engineer 12
2.2.3 The regulatory authority 14
2.2.4 External Review of Dam Safety Review Reports 15
3.0 Guidelines for Professional Practice 17
3.1 General Principles 17
3.2 Dam Safety Review Phases 17
3.3 Background Information 22
3.4 Field Work 23
3.5. Dam Safety Analysis (Hazards, Failure Modes, 23
and Consequences Analyses)
3.5.1 General 23
3.5.2 Context and Hierarchy of Principles for
Dam Safety Reviews 24
3.5.3 Implementation Principles 25
3.5.4 Elements of Dam Safety Analysis: Hazards, 26
Failure Modes, Failure Effects and Consequences
3.5.5 Methods of Dam Safety Review 27
3.5.6 Consideration of Safety and Risk 29
3.6 Considerations of Changed Conditions 34
3.7 Dam Safety Review Report 34
3.8 Limitations and Qualifications in Dam Safety Reviews 35
3.9 Follow-Up to Dam Safety Review Reports 36
Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

table of contents (continued)
4.0 Quality Assurance/Quality Control 38

4.1 APEGBC Quality Management Requirements 38
4.2 Direct Supervision 39
4.3 Checking and Review 39
4.4 Independent Peer Review 40
5.0 Professional Registration; Education, Training and Experience 41
5.1 Professional Registration 41
5.2 Education, Training and Experience 41
5.3 Specialty Services 43
6.0 References and Related Documents 44
Appendix A: Legislative Framework – Water Reservoir Dams 46
Appendix B: Mining Dams –

Considerations in Dam Safety Reviews 47
Appendix C: Dam Safety Review Assurance Statement 53
Appendix C1: Dam Safety Review Assurance Statement – 54

Water Reservoir Dams
Appendix C2: Dam Safety Review Assurance Statement – 57

Mining Dams
Appendix D: Dam Safety Review Background Information 60
Appendix E: Dam Safety Field Work 64
Appendix F: Societal and Regulatory Principles 68
Appendix G: Elements of Dam Safety Analysis 70
Appendix H: Natural Hazard Considerations in

Dam Safety Reviews 77
Appendix I: Authors and Reviewers 82
V2.0 March, 2014

Original July, 2013
© 2013 APEGBC. All rights reserved.
Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

preface
These Professional Practice Guidelines – Legislated Dam Safety Reviews in BC were
initially commissioned by the British Columbia Ministry of Forests, Lands and
Natural Resource Operations. The British Columbia Ministry of Energy and
Mines then provided additional assistance so the guidelines would also address
dam safety reviews for mining dams. They have been written with the intention
of guiding professional practice for legislated dam safety reviews pursuant to
British Columbia Dam Safety Regulation 44/2200 including revised amendments
B.C. Reg. 108/2011 and B.C. Reg. 163 /2011 (water reservoir dams) and the permit
conditions required under the Mines Act (mining dams).
An appropriate standard of care in professional practice, when carrying out

legislated dam safety reviews, is common to various types of dams. These
guidelines provide the basis for an appropriate professional standard of practice
when performing dam safety reviews. Appendix A (water reservoir dams) and B
(mining dams) outline the specific aspects of dam safety reviews relevant to the
governing legislation depending upon the purpose of the dam involved.
The objective of the legislation regulating dams in BC is to mitigate the

potential loss of life and damage to property and the environment from a
dam breach by requiring dam owners to: inspect their dams, undertake proper
maintenance, report incidents and take remedial action and ensure that
the dams meet current engineering standards by undertaking dam safety
reviews. In their on-going effort to achieve these objectives, the two Ministries
referenced above have played a leadership role in working with APEGBC to
develop these guidelines for legislated dam safety reviews. The development of
these guidelines is consistent with one of the primary objectives of APEGBC
which is to establish, maintain and enforce good practice of professionals
regulated by APEGBC.
Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 1

Definitions
The following definitions are specific to Dam
these guidelines. All references in the text A barrier constructed across a stream or
to these terms are italicized. river, or a barrier constructed off-stream
and supplied by a diversion of water
Agreement
from a stream or a river, for the purposes
A contract or terms of engagement, whether
of enabling the storage or diversion of
formal (written) or informal (verbal or
water, and including all works which
implied), between the client and the qualified
are incidental to and necessary for the
professional engineer, or his/her company, for
barrier. With respect to water reservoir
conducting a dam safety review.
dams, these guidelines only apply to dams
APEGBC whose size equals or exceeds the size given
The Association of Professional Engineers in Section 2 of the British Columbia Dam
and Geoscientists of British Columbia. Safety Regulation or has a classification of
significant, high, very high or extreme.
British Columbia Dam Safety Regulation
British Columbia Regulation 44/2000 Such a dam does not include any power
including revised amendments B.C. Reg. production facility or water draw-off facility
108/2011 (June 2011) and B.C. Reg. 163/2011 that is not directly connected to the dam as
(September 2011) defined above and does not form an integral
part of the barrier across the stream or river.
CDA Dam Safety Guidelines
The Dam Safety Guidelines published by the It also includes retaining structures
Canadian Dam Association in 2007 and that exist at mine sites or metallurgical
associated Technical Bulletins referenced in plant sites that retain solids (that may be
these guidelines. contaminated) and/or contaminated liquids
and are regulated under the Mines Act.
Classification
These retaining structures may include
The dam failure consequence classification
tailing dams and sludge storage dams.
of a dam as determined by Schedule 1 of the
British Columbia Dam Safety Regulation (for Dam Safety Analysis
water reservoir dams), or Table 2-1 of the The dam safety analysis is the technical
CDA Dam Safety Guidelines (for dams under activity within a dam safety review which
the Mines Act). is carried out to identify the variety of
threats to the performance and functional
Client
integrity of a dam which ultimately could
An individual or company who engages a
place various elements at risk (e.g. people,
qualified professional engineer to conduct a
property, the environment). Determination
dam safety review. The client is typically the
of what is the acceptable level of risk or
dam owner or a third party who has been
safety for the various elements which are
contracted to operate and maintain the dam
identified as being at risk is not the role
on behalf of the dam owner. In this instance,
of the qualified professional engineer and is
the client may be the organization acting on
outside the scope of the dam safety analysis.
behalf of the dam owner. Multiple holders
of water licenses and therefore owners are
common for small dams. In such cases, it is
recommended that the dam safety review be
undertaken with the agreement of the joint-
owners or their appointed representatives,
preferably authorized through a Joint
Works Agreement between the owners.
2 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Dam Safety Review Owner/Dam Owner
A legislated periodic review of the safety A person or legal entity, who with respect to
assessment of water reservoir dams that the dam, is any of all of the following: (a) the
have a classification of high, very high or person or legal entity who holds the current
extreme, as defined by the British Columbia licence or is required to hold a licence for
Dam Safety Regulation, carried out by a the dam; (b) the person or legal entity who
qualified professional engineer in accordance last held a licence for the dam, including a
with the requirements of Section 7 or licence that has been suspended, cancelled,
Section 14 of the British Columbia Dam abandoned or terminated; (c) if there is no
Safety Regulation. Dam safety reviews are person or legal entity to whom paragraph
also required for dams with a significant, (a) and (b) above applies, the owner of land
high, very high and extreme classification on which the dam is located or the person or
under the Mines Act in accordance with the legal entity who had the dam constructed.
CDA Dam Safety Guidelines.
Professional Engineer
Dam Safety Review An engineer who is a member or licensee
Assurance Statement in good standing with APEGBC and for the
The statement for submission, along with purposes of these guidelines is typically
the dam safety review report, to the regulatory registered in the disciplines of structural,
authority, to fulfill the dam owner’s civil, geological or mining engineering,
obligations in accordance with Section 7 of which are designated disciplines of
the British Columbia Dam Safety Regulation, professional engineering.
or Permit Conditions under the Mines Act.
Professional Geoscientist
Two assurance statements are attached as
A geoscientist who is registered or licensed
Appendices C1 and C2 to these guidelines.
member in good standing with APEGBC
Dam Safety Review Report and typically is registered in the disciplines
A report prepared by the qualified of geology or environmental geoscience,
professional engineer for the client, for which are designated disciplines of
submission to the regulatory authority in professional geoscience.
accordance with Section 7 of the British
Qualified Professional Engineer
Columbia Dam Safety Regulation.
A professional engineer member or licensee
Engineers and Geoscientist Act in good standing with APEGBC, and for the
Engineers and Geoscientist Act, R.S.B.C. 1996, purposes of these guidelines, is typically
Chapter 116, as amended. registered in the disciplines of structural,
civil, geological or mining engineering
Member(s)
with the appropriate level of education,
Professional Engineer or Professional
training and experience, as defined by these
Geoscientist. A member of APEGBC.
guidelines, to conduct dam safety reviews as
Mines Act described in these guidelines.
Mines Act R.S.B.C., 1996 c. 293
Regulatory Authority
(Updated to 2007).
The regulatory authority is the department
Ministries within the British Columbia Ministry
British Columbia Ministry of Forests, Lands of Forests, Lands and Natural Resource
and Natural Resource Operations (water Operations (water reservoir dams) or the
reservoir dams) or the British Columbia British Columbia Ministry of Energy and
Ministry of Energy and Mines (mining Mines (mining dams) depending upon the
dams) depending upon the nature of the nature of the dam involved that is tasked
dam involved. with managing the regulatory requirements
of dam safety, as enacted by statutes and
regulations of British Columbia.

introduction
INTRODUCTION TO THE GUIDELINES by the International Commission on Large
Dams (ICOLD) are referenced throughout
Dams in British Columbia may be owned by
these guidelines. These documents are
diverse parties including utilities, mining
resources which provide accepted practices
companies, pulp and paper companies,
for the determination of the currency and
various levels of government, including
adequacy of the physical performance
first nations or private owners. Provincial
capacity of a dam and the management of
legislation requires that dam safety reviews
the operational integrity of a dam.
be carried out by a professional engineer
“qualified in dam safety analysis”. Qualified The Ministries and APEGBC assembled a
professional engineers with the appropriate team of specialists from government and
education, training and experience have the engineering community to prepare
the technical ability to carry out various these guidelines. The application of these
forms of dam safety reviews including dam guidelines will result in consistent and
safety analysis. The legislation requires that comprehensive dam safety review reports
a qualified professional engineer provides being submitted to dam owners and the
their professional opinion regarding the regulatory authority.
safety status of the dam.
Specific objectives of these guidelines are to:
This professional opinion regarding (i) Outline the professional services
the safety status of the dam has a time that should generally be provided
limitation pursuant to the British Columbia by qualified professional engineers
Dam Safety Regulation. Under such conducting dam safety reviews;
circumstances the dam safety review can be
(ii) Describe the standard of care a
considered to be a “snapshot in time”, the
qualified professional engineer should
validity of which is specified in the dam
follow in providing professional
safety review report. Notwithstanding the
services in the field of dam safety
requirements of the British Columbia Dam
reviews;
Safety Regulation with respect to the interval
between reviews, it may be concluded for (iii) Specify the tasks that should be
engineering reasons that the professional performed by a qualified professional
opinion is valid for a shorter time. engineer to meet an appropriate
standard of care when preparing dam
These guidelines do not consider the safety review reports, and which fulfills
impacts of climate change on the safety the qualified professional engineer’s
status of the dam within the period for professional obligations under the
which the professional opinion is valid. Engineers and Geoscientists Act. These
This is because climate change is a obligations include the qualified
time-varying process over decades and professional engineer’s primary duty to
centuries, the duration of which is such protect the safety, health and welfare
that significant changes in key design of the public and the environment;
parameters such as the “design flood” as
a consequence of climate change will not (iv) Describe the roles and responsibilities
change during the period of validity of the of the various participants/
dam safety review. stakeholders involved in dam
safety reviews. The document will
The Canadian Dam Association (CDA) assist in delineating the roles and
Dam Safety Guidelines as well as their responsibilities of the various
associated bulletins and guidelines issued participants/stakeholders;


(v) Identify various concepts that can 1.2 ROLE OF APEGBC
be used in risk informed dam safety
These guidelines have been formally
decision making;
adopted by the Council of APEGBC,
(vi) Provide consistency in dam safety and form part of APEGBC’s ongoing
review reports and other documents commitment to maintaining the quality
prepared by a qualified professional of services members and licensees provide
engineer when providing professional to their clients and the general public.
services in this field of dam safety Members and licensees are professionally
reviews; and accountable for their work under the
(vii) Describe the appropriate knowledge, Engineers and Geoscientists Act, which is
skill sets and experience that qualified enforced by APEGBC.
professional engineers should have
A qualified professional engineer must
who are providing dam safety review
exercise professional judgment when
services.
providing professional services; as such,
application of these guidelines will vary
1.1 PURPOSE OF THESE GUIDELINES depending on the circumstances. APEGBC
This document provides guidelines supports the principle that a member should
of professional practice for a qualified receive fair and adequate compensation for
professional engineer who carries out a dam professional services, including services
safety review in response to legislation provided to comply with these guidelines.
in BC. Appendix C to these guidelines An insufficient fee does not justify services
provides two separate Dam Safety Review that do not meet the intent of these
Assurance Statements one of which must guidelines. These guidelines may be used
be submitted, along with a dam safety to assist in establishing the objectives, type
review report, to a dam owner and the of dam safety reviews, level of service and
relevant regulatory authority. Appendix C1 terms of reference of a qualified professional
contains the Dam Safety Review Assurance engineer’s agreement with the client.
Statement for Water Reservoir Dams and is By following these guidelines a qualified
to be submitted in conjunction with the professional engineer will fulfill his/her
dam safety review report for the purposes of professional obligations, especially with
the British Columbia Dam Safety Regulation. regards to APEGBC Code of Ethics Principle
Appendix C2 contains the Dam Safety 1 (hold paramount the safety, health and
Review Assurance Statement for Mining Dams welfare of the public, protection of the
and is to be submitted with the dam safety environment and promote health and
reports in response to permit conditions safety in the workplace1). Failure of a
under the Mines Act. qualified professional engineer to meet the
These guidelines address typical project intent of these guidelines could be evidence
organization and responsibilities of of unprofessional conduct and lead to
the various participants/stakeholders; disciplinary proceedings by APEGBC.
professional practices that should typically
be provided; quality assurance/quality
control; and professional registration and
education, training and experience.
1
APEGBC’s Code of Ethics is at https://www.apeg.bc.ca/APEGBC/media/APEGBC/Governance/APEGBC-Code-of-Ethics.pdf. The Code of Ethics, along with
accompanying Guidelines and Commentary, are published in the current (1994) edition of APEGBC’s Guidelines for Professional Excellence.

1.3 INTRODUCTION OF TERMS legislative dam safety reviews some of the
information contained in these guidelines
For the purpose of these guidelines,
may be relevant to the preparation of such
a qualified professional engineer is a
non legislated dam safety review reports.
professional engineer with the appropriate
education training and experience to carry Furthermore, dam safety reviews as
out dam safety reviews including dam safety documented in these guidelines are not
analysis as described in these guidelines intended to address any occupational
(refer to Section 5). Typically, a qualified health and safety requirements in relation
professional engineer will be trained and to dams although where a serious concern
practising in the discipline of structural, is identified, it must be brought to the
civil, geological or mining engineering, and attention of the dam owner/client.
have knowledge of the interdependencies
between these disciplines relevant to the 1.5 APPLICABILITY OF THE
performance of dams. GUIDELINES
A dam safety review report is an assessment Notwithstanding the purpose and scope
of the safety status of a dam based on data, of these guidelines, a qualified professional
analysis and professional engineering engineer’s decision not to follow one or
interpretation, in accordance with the more aspects of these guidelines does not
generally accepted engineering practices necessarily mean that he/she has failed
involved in the determination of the currency to meet his/her professional obligations.
and adequacy of the physical performance Such judgments and decisions depend
capacity of a dam and the management of the upon weighing facts and circumstances
operational integrity of a dam. to determine whether another reasonable
Dam safety analysis is a combination of and prudent qualified professional engineer,
firstly, consideration of hazards, failure in a similar situation and during the same
modes and failure mechanisms, and time frame, would have conducted himself/
secondly, consideration of consequences herself similarly.
of functional failure of a dam. Although the client is often the owner of a
dam, a dam safety review can also be carried
1.4 SCOPE OF THE GUIDELINES out at the request of the regulatory authority.
These guidelines apply to dam safety Following these guidelines, however,
review reports prepared in response to the does not ensure that the conclusions and
British Columbia Dam Safety Regulation recommendations contained within the
(refer to Appendix A for a summary dam safety review report will be accepted by
of the legislative framework criteria). the regulatory authority.
These guidelines also apply to dam safety These guidelines are influenced by current
review reports for mining dams prepared provincial legislation, current case law,
in response to permit conditions under advances in knowledge, and evolution of
the Mines Act (refer to Appendix B for a general professional practices in British
summary of the legislative framework Columbia. As such, they may require
criteria). updating from time to time.
It is recognized that dam safety reviews
may be carried out for purposes other
than in response to the above referenced
legislation. While these guidelines were
not intended to address such non-

1.6 ACKNOWLEDGMENTS
These guidelines were prepared on
behalf of APEGBC by a committee of
qualified professional engineers and were
reviewed by several diverse parties and
stakeholders as members of a Review
Task Force. The authors and reviewers
are listed in Appendix I. The authors
thank the reviewers for their constructive
suggestions. A review of this document
does not necessarily indicate the reviewer
and/or his employer endorses everything in
the document.
APEGBC thanks the BC Ministry of Forests,
Lands and Natural Resource Operations
and the BC Ministry of Energy and Mines
as they not only funded the preparation of
these guidelines but provided technical and
administrative support.

ROJECT ORGANIZATION
P
AND RESPONSIBILITIES
2.1 COMMON FORMS OF PROJECT The qualified professional engineer should
ORGANIZATION ensure that his/her role, in relation to the
client and regulatory authority, is clearly
The dam owner has the responsibility for defined. It is possible that a client may
carrying out dam safety reviews on their not have previously been involved in dam
dams with certain classifications and at the safety, nor previously engaged a qualified
intervals provided in the British Columbia professional engineer. In addition, the client
Dam Safety Regulation (for water reservoir may not fully understand or appreciate
dams) or the CDA Dam Safety Guidelines the level of effort required by the qualified
(for mining dams required under the Mines professional engineer to conduct the dam
Act). Dam owners are required to comply safety review on a particular dam. The
with this legislation by having a qualified amount of data and previous analyses that
professional engineer carry out a dam safety are available to the qualified professional
review. The qualified professional engineer engineer for conducting the dam safety
will prepare a dam safety review report for review may significantly influence the
the dam owner. The dam owner will then level of service required for the dam safety
submit a copy of the dam safety review report review. Therefore, the qualified professional
to the regulatory authority for acceptance. engineer should review with the client the
Typically the dam owner or the operator of typical responsibilities listed below, to assist
the dam, on behalf of the dam owner, is the in establishing an appropriate agreement
client and the qualified professional engineer for professional services and to inform the
establishes an agreement for professional client of the expectation of appropriate and
services with that party. The qualified adequate compensation (APEGBC Code of
professional engineer must be aware that his/ Ethics Principle 5).
her dam safety review report will ultimately Details of a dam safety review are included
be reviewed by the regulatory authority. in Section 3, however, all parties (client,
The client should be aware that the qualified regulatory authority and qualified professional
professional engineer may find that the dam engineer) should understand that the scope
is not safely operated, and is then required of the dam safety review lies within a larger
to make recommendations in the dam dam safety management framework, as
safety review report as to the actions that depicted below, which provides context
are required to rectify the deficiencies or to the dam safety review process. Figure 1
non-conformances identified. In such a presents a flow chart of the typical activities
case, the client is required to prepare a plan involved in initiating a dam safety review
that identifies and prioritizes any actions process and conducting the review as well
required to correct the potential dam safety as how the dam safety review fits within the
hazard and submit the plan to the regulatory dam safety management framework.
authority.

Figure 1: Dam Safety Review Process
• Type of owner/budget 1. Define roles, and responsibilities and

• Required frequency of dam safety review objective of dam safety review
• Consequence classification
• State of knowledge
• Regulatory requirements
• Potential safety concerns 2a. Develop scope of dam safety review to
meet objective
2b. Gather information
Information for dam safety review: Required

• Dam Construction competencies
• Dam History 2c. Issue Request for Proposals
for Qualified
• Design Data Professional
• Operation Data
• Surveillance Data
• Management System Define type of dam Audit Style dam Comprehensive
• Identified Issues safety review safety review Design Review
• Joint Works Agreement
3a. Confirm scope and Agreement between

Owner and Qualified Professional
Dam Safety Review See Section 3.2 for additional information
Required content and format for report May need to gather more
structures for Owner’s use information including field
investigations
3b. Review information provided
3c. Conduct Consequence Review
Extent to which this is carried

3d. Carry out site visit and interviews out will depend on the type of
How this is done will depend on the dam safety review: Basic, Audit
scope of the dam safety review: Style, Comprehensive Design
Basic, Audit, Comprehensive Review, or Construction Phase
Design Review or Construction Review
3e. Identify functions and Failure Modes
May be done as part of the dam

safety review scope or as a
Legend 3f. Assess safety of dam separate project outside of the
dam safety review
Input into dam safety review
process
Analyses required and approved? 3g. Carry out analyses

Dam safety review task by
Owner
Dam safety task by Qualified 4. Prepare dam safety review report

Carry out further investigation,
Professional
analysis and assessment
Decision by Owner
5. Review report,
prioritize deficiencies and
make plans to address Fix or
Documentation by Qualified deficiencies Next steps? decommission
Professional Engineer
• Regulatory
Start / End of process • Legal Regulatory
• Financial acceptance of risk
• Risk

2.2 RESPONSIBILITIES 2.2.1.1 Guidance on Preparing Requests
for Proposals
Sections 2.2.1 to 2.2.3 describe some of the
typical responsibilities of a client, qualified Prior to the issue of a request for proposals
professional engineer and the regulatory by the client for qualified professional
authority. Section 2.2.4 describes some of engineering services for the dam safety
the typical responsibilities of a qualified review, it is helpful and will likely reduce
professional engineer when asked by the the cost of professional services if the client
regulatory authority or client to review a is knowledgeable about the dam design
dam safety review report prepared by and dam safety history as documented in
another qualified professional engineer. various sources which are referenced in
Section 3.
2.2.1 The Client/Dam Owner
The client may not have sufficient knowledge
Prior to the dam safety review, the client
in connection with dam safety to judge
should know the current classification of the
whether the content of the documents
dam. For dams regulated under the British
available for the dam safety review, contain
Columbia Dam Safety Regulation, dam owners
the relevant information. In this case, it is
are contacted annually by the regulatory
recommended that the client consult with a
authority and are provided with the current
qualified professional engineer to determine
classification of the dam. For mining dams,
whether the documents available for the
regulated under the Mines Act, the dam
review, are relevant or not. Alternatively, all
owner is responsible for providing the
the information available to the client should
dam classification. Dam owners should also
be provided to the qualified professional
be aware of the legislative requirements
engineer who will determine what
associated with the operation and
documentation is relevant and what further
maintenance of the dam, as set out in the
documentation, if any, is required.
British Columbia Dam Safety Regulation. In
some cases, the client may not be aware The qualified professional engineer’s scope
of the need to classify the dam in terms of of services for the dam safety review may
the consequences of failure. In that case vary from dam to dam, depending on
the client should contact the regulatory the classification of the dam and records
authority. Further, the dam owner should available for the review. For a dam’s first
contact the regulatory authority to clarify dam safety review, the pertinent design
any uncertainties about their legislative records may not be available and the scope
responsibilities under the British Columbia of services for the dam safety review may
Dam Safety Regulation or under their permit include in depth analyses to provide the
conditions required under the Mines Act. level of detail for the dam safety review that
is sufficient to demonstrate the safety of
Typically, the client issues a request for
the dam structure and that it is being safely
proposals to either individual qualified
operated, maintained and monitored.
professional engineers or consulting
For the first dam safety review, all the
engineering firms who have qualified
available data should be assembled and
professional engineers on their staff. In some
supplemented with any investigations and
cases, the client may elect to negotiate
design analyses that have been carried out,
directly with a qualified professional engineer
as appropriate. After the first dam safety
or a firm with qualified professional engineers
review for a particular dam, subsequent dam
to conduct the dam safety review.
safety reviews are normally less costly and
time-consuming as the original available
data should have been assembled and

supplemented by the investigations and 2.2.1.2 Client/Qualified Professional
analyses carried out during the first dam Engineer Involvement
safety review. Subsequent dam safety reviews
It is recommended that the client select
can be structured more as an audit of the
the qualified professional engineer on their
previous information and data generated
qualifications, availability, and local
since the previous dam safety review, to
knowledge using a qualifications-based
determine whether the dam is being safely
selection process.
operated. Input from the relevant regulatory
authority should be sought at this stage so Once the client has selected a qualified
that the regulatory authority is supportive of professional engineer to conduct the dam
the type of submission being prepared. safety review, the client, with assistance from
the qualified professional engineer, should
The scope of the dam safety review should
complete a written agreement with the
be described in the request for proposals.
qualified professional engineer confirming
The scope of work should be written to
scope of work, schedule and cost estimate
reflect the state of knowledge of the design,
for the dam safety review, need and scope
construction, operation, maintenance and
of specialty services and need for external
surveillance of the particular dam. For an
peer review. It is recommended that such
old dam which has not had any prior dam
an agreement include a clause that deals
safety reviews, the scope of services will be
with potential disclosure issues due to the
more extensive than for a relatively new
qualified professional engineer’s obligation
dam with extensive recent design and
under APEGBC Code of Ethics Principle
construction documentation. Similarly, the
1 (hold paramount the safety, health and
scope of services for the dam safety review
welfare of the public, the protection of the
of a dam with a straightforward layout on
environment, and promote health and
good foundations will be less extensive
safety in the workplace). See Section 2.2.2
than the scope of services for the dam safety
for further information.
review of a dam with a complex layout on
poor foundations. The client should be aware that the qualified
professional engineer’s scope of work and
The scope of work described in the proposal
cost estimate may have to be amended
should assume that the classification of
during the assessment, depending on the
the dam remains unchanged during the
qualified professional engineer’s findings
dam safety review. If, during the evaluation
and analysis. The cost estimate should be
phase of the dam safety review (see Section
discussed and agreed to with the client prior
3.2), the qualified professional engineer
to the assignment.
determines that the classification of the
dam should be reviewed and amended, the During the dam safety review, it is necessary
level of services required to carry out the for the client to provide the necessary
dam safety review may increase from that background information for the qualified
originally assumed at the proposal stage professional engineer to conduct the dam
and the agreement between the client and safety review, as outlined in Section 3.3
the qualified professional engineer will be and to provide the required access to the
adjusted accordingly. dam and all related facilities to enable the
qualified professional engineer to conduct the
field work for the dam safety review.

After the dam safety review, it is important “Subject to the following, the qualified
that the client reviews the dam safety review professional engineer will keep
report and understands the conclusions confidential all information, including
and recommendations, and discusses the documents, correspondence, reports and
dam safety review report with the qualified opinions, unless disclosure is authorized
professional engineer. The client is required, by the client. However, in keeping with
upon receipt of the final dam safety review APEGBC’s Code of Ethics, if the qualified
report, to submit the dam safety review report professional engineer discovers or
to the regulatory authority. determines that there is a material risk
to the environment or the safety, health
It is recommended that the agreement
and welfare of the public or worker safety,
between the client and the qualified
he/she shall notify the client as soon as
professional engineer address document
practicable of this information and the
ownership issues including those related
need for that information to be disclosed
to the Dam Safety Review Assurance
to the appropriate parties within a
Statement and the dam safety review report
reasonable time. If the client does not
and the payment of the qualified professional
take the necessary steps to notify the
engineer’s outstanding invoices by the client.
appropriate parties within a reasonable
2.2.2 The Qualified Professional amount of time, the qualified professional
Engineer engineer shall have the right to disclose
that information to the appropriate parties
The dam safety review must be carried
in order to fulfil his/her ethical duties
out by a qualified professional engineer or
and the client hereby authorizes that
a multidisciplinary team which includes
disclosure.”
APEGBC members and reports to the lead
qualified professional engineer. The qualified The qualified professional engineer must
professional engineer’s expected registration, comply with the requirements of APEGBC
education, training and experience are Bylaw 17 regarding professional liability
detailed in Section 5.0 of these guidelines. insurance.
The qualified professional engineer is
During the dam safety review the qualified
responsible for the final dam safety review
professional engineer must:
report and completes the Dam Safety Review
Assurance Statement. • If necessary, assist the client in obtaining
relevant information such as referenced
During the development of the agreement in Section 3 of these guidelines;
with the client, it is recommended that
a clause should be included into the • Make reasonable attempts to obtain
agreement that deals with potential from the client and others all relevant
disclosure issues due to the qualified information related to the dam safety
professional engineer’s obligation under review;
APEGBC Code of Ethics Principle 1 (hold • Conduct the dam safety review in
paramount the safety, health and welfare compliance with applicable legislation,
of the public, the protection of the these guidelines and using guiding
environment, and promote health and principles in the CDA Dam Safety
safety in the workplace). The following is Guidelines and associated technical
suggested wording for such a clause: bulletins;
• Notify the client as soon as reasonably
possible if specialty services or changes
in scope of work are required, and of
associated changes to the original cost
estimate;

•D
etermine whether the dam is being The dam safety review may be carried out
safely operated and determine what by a team of APEGBC members lead by
actions, if any, are required to make the a qualified professional engineer. In this
operations reasonably safe; situation, the lead qualified professional
•W
rite the dam safety review report in a engineer coordinates the work carried out
reasonably clear, concise and complete by the other members. Many dams require a
manner; multi-disciplinary systems approach to the
dam safety review and it is the responsibility
•C
onsider whether conclusions and of the lead qualified professional engineer to
recommendations in the dam safety review see that the dam is reviewed as an overall
report are supported by the appropriate system, that the members with the correct
level of analysis, clear rationale and that qualifications and experience are engaged
any assumptions made are clearly stated; on the team, that the dam safety review is
•S
ee that summaries of design calculations complete and all aspects of dam safety are
are provided in support of the technical covered. The lead qualified professional
analysis in the dam safety review report; engineer is also responsible for ensuring
• I dentify in the dam safety review report any the proper coordination occurs between
relevant information/materials regarding the various members of the multi-
the dam which are not available and the disciplinary team.
resulting assumptions made where there If certain professional activities such as
is a lack of information; aspects of the field work are delegated
•P
rovide a statement in the dam safety by qualified professional engineers to
review report that the conclusions and subordinates including non-professionals
recommendations contained in the dam such delegation of professional
safety review report are only valid for the activities must occur under the qualified
current operating regime of the dam professional engineer’s direct supervision
and the current overall environment of (see Section 4.2 of these guidelines). The
the dam or the river system, and include qualified professional engineer assumes
a time limit for the statement of the full responsibility for all work delegated
conclusions and recommendations; in accordance with the Engineers and
•H
ave a draft of the dam safety review report Geoscientists Act.
undergo APEGBC’s quality management To fulfill APEGBC Code of Ethics Principle
procedures (see Section 4.0); 1 (hold paramount the safety, health and
•S
ubmit to the client a signed, sealed and welfare of the public, the protection of
dated copy of the dam safety review report; the environment, and promote health
and and safety in the workplace), Principle 8
•C
omplete a Dam Safety Review Assurance (present clearly to employers and clients
Statement. the possible consequences if professional
decisions or judgments are overruled or
After the dam safety review the qualified disregarded and Principle 9 (report to
professional engineer should respond to APEGBC or other appropriate agencies any
questions the client and/or the regulatory hazardous, illegal or unethical professional
authority may have regarding the dam safety decisions or practices), the qualified
review, the dam safety review report, and/or professional engineer must:
Dam Safety Review Assurance Statement.

•A
dvise the client in writing of the to conduct annual reviews of dams with
potential consequences of the client’s low and significant classifications in order
actions or inactions; and to confirm the current classification of the
•C
onsider whether the situation warrants dam. If the classification changes for any
notifying APEGBC, the dam owner (if reason such as increased downstream
different from the client) and/or the development, then the regulatory authority
regulatory authority of the client’s actions may review and amend the classification of
or inactions. the dam.
The above actions must be taken if a Dams subject to the Mines Act require that
hazardous condition at the dam could dam safety reviews for dams with significant,
possibly result in loss of life and/or other high, very high and extreme classifications
significant negative consequence occurring, be carried out in accordance with the CDA
or if workplace safety or the environment Dam Safety Guidelines.
is potentially jeopardized by the hazardous Before the dam safety review is initiated, the
condition at the dam. regulatory authority will:
2.2.3 The Regulatory Authority • Inform the client of the current
classification of the dam if the client is not
The regulatory authority is the department
aware of the classification;
within the Ministries that is tasked with
assigning the regulatory requirements of • Inform the client by when the dam safety
dam safety. For water reservoir dams this review must completed and dam safety
would be the department within the British review report submitted to the regulatory
Columbia government responsible for the authority; and
status and regulations of the Water Act (e.g., • Provide the client with guidelines, if they
British Columbia Dam Safety Regulation). exist, of the dam owner’s responsibilities
Details of the regulatory requirements for the safe management of dams, as
for water reservoir dams are presented in defined in the relevant legislation.
Appendix A. For mining dams this would
be the department within the British After the dam safety review, the regulatory
Columbia’s government responsible for authority will:
the status and regulations of the Mines Act. • Review the dam safety review report and
Details of the regulatory requirements for Dam Safety Review Assurance Statement;
mining dams are presented in Appendix B. • Accept the dam safety review report or,
In accordance with the British Columbia if the dam safety review report does not
Dam Safety Regulation, the regulatory comply with the requirements of the
authority assigns the classifications to relevant legislation reject the dam safety
dams. Currently only dams with high, very review report; and
high and extreme classifications require • If necessary, discuss the conclusions and
legislated dam safety reviews. Dams with recommendations of the dam safety review
low and significant classifications are not report and Dam Safety Review Assurance
required by the British Columbia Dam Safety Statement with the client and qualified
Regulation to undergo legislated dam safety professional engineer.
reviews. However, dam owners are required

2.2.4 External Review of Dam Safety Following guideline (c) of APEGBC Code of
Review Reports Ethics Principle 7, the reviewing qualified
professional engineer must:
A qualified professional engineer may be
engaged by the regulatory authority to • If authorized to do so, inform the qualified
carry out an independent external review professional engineer who prepared the
of a dam safety review report prepared by dam safety review report and Dam Safety
another qualified professional engineer. This Review Assurance Statement of the
external review process may be part of the review, the reasons for the independent
regulatory authority’s review of the dam external review and document that
safety review report. A client may also require communication;
such an independent external review. These • Ask the original qualified professional
independent external reviews are not the engineer if the reviewing qualified
same as an internal or external peer review professional engineer should know about
carried out as a part of the dam safety review any unreported circumstances that may
quality assurance/quality control activities have limited or qualified the dam safety
of the qualified professional engineer prior to review, the Dam Safety Review Assurance
submitting the dam safety review report to Statement and/or the dam safety review
the client (refer to Sections 4.3 and 4.4). report; and
In order for the reviewing qualified • With the client’s authorization, contact
professional engineer to carry out an the original qualified professional
appropriate independent external review, engineer if the results of the independent
it is helpful if the requesting regulatory external review have identified safety or
authority or client: environmental concerns, and allow the
•A
llows the intent of APEGBC Code original qualified professional engineer
of Ethics Principle 7 to be followed; to comment on the results of the
specifically, item (c), which states that a independent external review prior to
member should not, except in cases where further action.
review is usual and anticipated, evaluate The reviewing qualified professional
the work of a fellow member without the engineer’s review should be appropriately
knowledge of, and after communication documented in a letter or a report. The
with, that member where practicable; reviewing qualified professional engineer’s
•P
rovides the reviewing qualified signed, sealed and dated independent
professional engineer with a copy of the external review letter or report should
dam safety review report and Dam Safety include:
Review Assurance Statement, necessary • Limitations and qualifications with
background information, and the reason regards to the review; and
for the review; and • Results and/or recommendations arising
•D
iscusses the dam safety review report from the review.
with the reviewing qualified professional
engineer.
The reviewing qualified professional engineer
should consider whether there may be
a conflict of interest and act accordingly
(APEGBC Code of Ethics Principle 4), and
conduct himself/herself with fairness,
courtesy and good faith towards colleagues
and provide honest and fair comment
(APEGBC Code of Ethics Principle 7).

The reviewing qualified professional engineer
should respond to any questions the
regulatory authority or client may have with
regards to the review letter or report.
Occasionally, a qualified professional
engineer is retained to provide a second
opinion. This role goes beyond that of an
independent external review of the original
qualified professional engineer. The second
opinion qualified professional engineer
must carry out sufficient pre-field work,
field work, analysis and comparisons, as
required, to accept full responsibility for
his/her dam safety review.

GUIDELINES FOR PROFESSIONAL PRACTICE
3.1 GENERAL PRINCIPLES 3.2 DAM SAFETY REVIEW PHASES
A dam safety review involves a systematic Each dam safety review will consist of a
review and evaluation of all aspects of number of steps or phases that together will
the design, construction, maintenance, form the framework of the review. These
operation, processes and systems affecting steps generally need to be carried out in
a dam’s safety, including the dam safety a systematic order to achieve the desired
management system. A dam is part of results in a reasonably effective manner.
the altered natural environment and as A dam safety review will include a field
such the natural environment will impose review of the site, review of all relevant
hazards on the dam that are beyond the documentation, interviews with site staff,
control of the dam owner or dam operator. review of incident, maintenance, inspection
The hazards and risks are difficult to define and other pertinent records, testing of flow
and quantify and the understanding of discharge equipment (where applicable) or
these hazards and risks often change over review of recent test records. The dam safety
time. The knowledge and interpretation review process is based on the appropriate
of these natural hazards at the time of regulations or guidelines adapted by the
the original design and construction and regulatory authority. The dam safety review is
the engineering standards, methods and the owner’s responsibility and will typically
procedures used for the original design and start with the relevant statute requirement
construction may be significantly different and include the following initial items as
than the current engineering standards, depicted in figure 2.
methods and procedures of today. The
evaluation of the safety of the dam system
for the dam safety review must use the
current knowledge and standards for dam
engineering.
The level of service required for a dam
safety review must be commensurate with
the complexity of the dam system and
the dam classification. In addition, the
level of service required may be dictated
by the availability, or lack thereof, of
documentation and data to determine
whether or not the dam meets current
engineering design principles. Regardless
of the level of complexity required for the
dam safety review, the qualified professional
engineer must carry out the dam safety
review in sufficient detail so that the
conclusions reached and recommendations
arising out of the dam safety review can be
made with the same level of confidence.

Figure 2: Steps in Initiating a Dam Safety Review
• Type of owner/budget 1. Define roles, and responsibilities and

• Required frequency of dam safety review objective of dam safety review
• Consequence classification
• State of knowledge
• Regulatory requirements
• Potential safety concerns 2a. Develop scope of dam safety review to
meet objective
2b. Gather information
Information for dam safety review: Required

• Dam Construction competencies
• Dam History 2c. Issue Request for Proposals
for Qualified
• Design Data Professional
• Operation Data
• Surveillance Data
• Management System Define type of dam Audit Style dam Comprehensive
• Identified Issues safety review safety review Design Review
• Joint Works Agreement
3a. Confirm scope and Agreement between

Owner and Qualified Professional
Courtesy of M.A. Terry Oswell, CDA 2012.
In general, the following phases or steps • The qualified professional engineer must
should be carried out to complete a dam request from the client all available
safety review. The following information documentation and data for compilation
is intended to assist with defining the and review, such that all relevant
scope and requirements of the dam safety background information on the dam,
review. However, it is not exhaustive, and the river system (if relevant) and the
professional judgment is required when dam management system is considered
adding or subtracting specific steps. (Section 3.3). If there is uncertainty
whether any documentation is relevant,
Phase 1 (Review of available
it is the qualified professional engineer who
information and data):
must make that determination;
• I t is strongly recommended that a written • The qualified professional engineer must
agreement between the client and the understand the current dam classification
qualified professional engineer be put in as determined by the regulatory authority
place before any work is initiated. This and identify performance expectations
agreement should address, scope of work, based on current guidelines, regulations,
objectives, expectations, responsibilities, generally accepted practices, and
level of service, schedule and anticipated consideration of changed conditions
extent of the study area, as noted in (Section 3.6);
Section 2 of these guidelines;

•T
he qualified professional engineer must • If flow control equipment is present, the
provide an initial facility overview qualified professional engineer will witness
(spatial and functional model of the dam/ testing of the flow control equipment or
reservoir system) as it relates to the safety if the flow control equipment is routinely
of the dam and other barriers (water and regularly used, should satisfy
or otherwise) in the system (principal himself/herself that the equipment is
functions of components) as shown in in good working order by reviewing the
Figure 2. This should be reviewed and operating and maintenance records.
updated in Phase 3 after a site inspection
Phase 3 (Evaluation):
and further analysis; and
• Following the field review(s), the qualified
•T
he qualified professional engineer
professional engineer must confirm that
must review and assess the dam
the dam classification is appropriate or
safety management obligations and
if it should be reviewed and amended.
procedures including emergency
The qualified professional engineer
planning, operations and maintenance,
should state whether there has been
surveillance, staff training,
any changes since the last dam safety
documentation, and deficiency tracking
review that would warrant change of the
and resolution (Section 3.3).
classification and, provide an explanation
Phase 2 (Field Review): in the dam safety review report. If the
•T
he qualified professional engineer must dam classification should be reviewed
carry out field review(s) of the dam, and amended, the client and regulatory
the reservoir (or impoundment), and authority are responsible for confirming
the catchment areas both upstream that the change in the dam classification
and downstream of the reservoir or is to be carried out. Identification of the
impoundment to understand the current required dam safety criteria in relation
condition of the dam and appurtenances, to the appropriate classification (includes
the flow control equipment at the dam, considerations of changed conditions,
water management and flood control Section 3.6) should be in place prior to the
structures, the reservoir or impoundment dam safety analysis;
environment, upstream hydrological • The qualified professional engineer must
impacts (logging roads and bridges then carry out the dam safety analysis
for example) and the development for the dam using either the current
downstream of the dam; classification if it is appropriate, or any
•P
referably during the site visit, the qualified new classification and determine whether
professional engineer will interview (when or not the dam meets the dam safety
relevant) the operating personnel who criteria and whether the dam is being
conduct routine inspections, surveillance operated in a reasonably safe manner.
of the dam and maintenance of operating Evaluation of the dam performance
systems (e.g. flow control equipment). The should be carried out in relation to the
qualified professional engineer will review facility condition, applicable internal and
available maintenance records and audit external hazards and applicable failure
all the documentation that should be on modes and may follow the steps of a
site, such as the Operations, Maintenance safety assessment depicted in Figure 3;
and Surveillance (OMS) Manual and the
Emergency Preparedness Plans (EPP); and

•T
he qualified professional engineer
must then identify and characterize
deficiencies in the safe operation of
the dam and non-conformance in the
dam safety management system and
recommend the actions that should be
taken to either investigate the deficiencies
in more detail or the actions that must be
taken to rectify the deficiencies and non-
conformance; the qualified professional
engineer must also determine the severity
of the dam safety concerns;
•T
he dam safety review report and the
Dam Safety Review Assurance Statement
must then be prepared by the qualified
professional engineer and after passing the
internal quality assurance/quality control
process, be submitted to the client; and
•O
nce the client has reviewed the
dam safety review report, the qualified
professional engineer should discuss the
conclusions and recommendations with
the client and provide any clarifications
requested by the client.

Figure 3: Draft Example Dam Safety Review Process (this particular example is for
water reservoir dams but the same fundamental steps apply for mining dams)
Crest
Downstream
Max. res. El. m Filter and Drain
Upstream Rip-Rap
Upstream
Filter
Upstream Cofferdam
Downstream Shell
Upstream Shell Core
Foundation
Grout Curtain
SPATIAL MODEL OF EARTH DAM FLOW CONTROL FUNCTION

(steady state condition)
Develop spatial and functional model of the Functional System

dam / reservoir system
Immediate
Water Controlled Generation
Reservoir Downstream
Retention Discharge and Control
Area
For each element of the dam determine its
principal functions:
• Water retention or
• Flow control Water Retaining Subsystem
Left Concrete Right

Left Dam Right Dam
Analyze hazards and failure modes at Abutment Dam and Gate Abutment
detailed level
Foundation
Categorize issues into “safety concern types” DAM SAFETY OVERSIGHT ACTIVITIES
Conduct Routine Surveillance

Determine magnitude of the safety concern
at principal functional level for concern type
Dam Safety Review
d
le
du
he
Compile line item table of all functional

Sc
concerns by concern type with explanations

Authority Oversight
Does the dam meet all

safety requirements?
Perform basic calculations

Finalize safety data for individual dam
Review and check all models analyses and Yes

rationale for assigned safety parameters
Safety Assessment Report
Q/A Review
Operate and maintain dam in

conformance with dam safety goals;
maintain emergency preparedness

3.3 BACKGROUND INFORMATION Particularly with respect to older dams,
the qualified professional engineer needs
A dam safety review requires an
to be cognizant of potential changes of
understanding of the site conditions,
safety criteria particularly with respect
construction methodology and practices
to floods, earthquakes and downstream
used for the construction and ongoing
consequences. Potential updates to the
monitoring of the dam. A complete set
original design criteria may be necessary if
of design and service records provides
the classification has changed. Additional
a reliable basis for evaluations and
considerations, changed conditions
decisions regarding possible unacceptable
or increased knowledge may include
performance and potential dam safety
alteration to discharge capacity (due
improvements. This information will
to conversions of gates, settlement of
facilitate the dam safety review and must be
embankment, or obstructions such as
reviewed as part of the dam safety review;
debris or ice, undetected foundation/
if unavailable, follow-up action may be
abutment problems, or construction
required and is to be noted in the dam safety
defects).
review report. Some of this information
is listed below, a more complete listing is The qualified professional engineer must
provided in Appendix D and for mining consider the reliability of the background
dams in Appendix B. The relevant information which is reviewed as part of
documents include: the dam safety review. If information is
•O
wner and organizational information known to be available and the qualified
such as the owner’s dam safety professional engineer did not (or was not able
management system, organizational to) obtain it, the circumstances, including
charts and responsibilities; applicable any information gaps, must be discussed
regulations (water license, permits, with the client and reported in the dam
orders), and operational obligations (laws, safety review report.
regulations obligations and stakeholder This Section, Appendix D and Appendix B
agreements). for mining dams, are intended to provide a
•D
esign and construction records general outline of the type of background
including design documentation, as-built information that must be considered while
drawings, first reservoir/containment recognizing that the specifics around
filling data, and original classification. background information, including what
is relevant, will vary depending upon the
•A
nnual, routine or special dam safety
nature of the dam undergoing a dam safety
inspection documents together with the
review. Professional judgment must be used
dam performance and safety history.
for the analysis and correct interpretation
•O
peration of discharge facilities including of both primary and indirect sources of
operating parameters and procedures, information and data. The dam safety review
inflow forecasting, summary of critical, report will state the origin of the data used
maximum and other important levels in the analysis and the assumptions made
of stored volume or stored materials, by the qualified professional engineer.
emergency or unusual operations and
other items typically included in the
OMS Manual.

3.4 FIELD WORK operate reliably. This should include the
capability and availability of the operators
All dam safety reviews must include a
assigned to the dam to be able to operate,
comprehensive field review, testing of
in a timely manner, discharge facilities.
discharge facilities (when relevant),
checking site communications and staff/ • Debris loading – Episodic debris loading
owner interviews. The field work will can be critical for many dams and
generally follow a review of available reservoirs in British Columbia as debris
information and is an important first step blockage can significantly reduce the
in the (Phase 2) field review and evaluation discharge capacity of the outlet facilities.
process; the dam safety review will rely to a The containment of reservoir debris must
large extent on the information obtained be managed so that the safety of the dam
during the field work. This dam safety review is not impacted.
requirement is described in under Section • Instrumentation – Review of the dam
5.4.2 of the 2007 CDA Dam Safety Guidelines. monitoring system (if present) should be
carried out to ascertain its effectiveness in
The extent of the area reviewed will include
determining the behavior of a dam and its
both upstream reservoir rim areas and
foundation relative to the applied loading
downstream areas. Downstream areas
conditions and to detect any signs of
may be impacted by inundation by direct
abnormality.
flooding or through the triggering of other
hazards such as failure of downstream • Communications – Transmission of
facilities or downstream landslide or debris data and communication to and from
flow. The Testalinden failure near Oliver BC the dam site is also important to the
in July 2010 provides a recent example of safety of the dam and worker safety. Vital
this hazard and is discussed in more detail communications should be tested as part
in Appendix H. of the dam safety review field work.
Further information regarding important • Staff Interviews – This is described in
aspects of the field work including dam Section 5.4.2 of the 2007 CDA Dam Safety
reviews, testing of discharge facilities (if Guidelines.
present), and other information relevant
to the field work is summarized below and 3.5. DAM SAFETY ANALYSIS
described in Appendix E in more detail. (HAZARDS, FAILURE MODES, AND
This information outlines some important CONSEQUENCES ANALYSES)
issues and areas to be reviewed, though it
will be the qualified professional engineer’s 3.5.1 General
responsibility to identify the pertinent In general terms, the endeavor of dam
areas to be reviewed and apply the safety management has to recognize and
appropriate techniques: accommodate the fact that ageing and
•V
isual review(s) – Should focus on normal wear and tear present constant
functional integrity, hazards, failure challenges, and that new threats to the
modes and failure mechanisms to safety of the dam sometimes emerge. In
provide a qualitative observation-based this context, the purposes of a dam safety
analysis of the condition of the dam and review are to assess if there has been any
its surroundings. Testing of discharge significant deterioration in the level of
facilities (spillways, diversions, decants safety, which can be estimated in terms of
and low level outlets) including all an increased risk position, since the last
necessary equipment required for safe dam safety review, and to determine if the
discharge of floods must be in place overall level of risk is being maintained
and well maintained such that they within limits considered to be tolerable.

To exclude risk altogether is impossible, for individuals). Against this background is
dams or for any significant hazard. a “Hierarchy of Principles” as outlined in
Appendix F.
The dam safety review is intended to provide
a snapshot of the condition of the dam and This Hierarchy of Principles provides a
the risks that it presents as part of a process model for cascading downwards from the
of review within the requirements of the broadly based principles of a democratic
regulatory authority; and, to identify and society through the various constitutive
measure, so far as possible, new risks, such societal arrangements that govern the
that necessary improvements in the risk purposes and the professional practice of
position can be identified. The dam owner can dam safety reviews and dam safety analysis.
then use the results of the dam safety review to
This Hierarchy of Principles leads to a
initiate development of any needed designs
comparable hierarchy of purposes and
and repairs, as soon as it is practicable.
expectations of dam safety reviews, which
3.5.2 Context and Hierarchy of in turn leads to a hierarchy of types of
Principles for Dam Safety Reviews dam safety reviews. The end result of this
principles-based approach is the capacity to
The determination of what is the acceptable
provide dam safety reviews with degrees of
level of risk or safety for the various
resolution in proportion to, and appropriate
elements which are identified as being
for, the intended purposes of the dam safety
at risk is not the role of the qualified
reviews.
professional engineer and is outside the
scope of the dam safety analysis. The The following principles based approach
acceptable level of risk must be established has been developed for performing dam
and adopted by the regulatory authority in safety analysis. These principles are
consultation with the dam owner. However, presented below. The overarching principle,
an assessment of the various elements at regardless of the degree of resolution in the
risk, through the dam failure consequences analysis, being that the qualified professional
classification established by the relevant engineer should perform the dam safety
regulatory authority will guide the qualified analysis in a manner that reveals the variety
professional engineer’s dam safety analysis. of routes by which a dam can endanger
people, property and the environment
The process for analyzing dam safety
enabling the qualified professional engineer to
requires creativity, where people identify
identify the range of options to control these
the variety of routes by which an existing
threats to the performance and functional
dam could reasonably endanger people,
integrity of the dam. This would enable the
property and the environment. A range
qualified professional engineer to perform
of options to address these threats to the
the safety assessment and to make the
performance and functional integrity of
determination of the safety status of the dam.
the dam can then be identified, from which
reasonable alternatives can be identified The principles based approach to dam safety
to protect the safety of the dam. However, analysis requires:
the extent to which this process can be (i) An extensive understanding of the
applied may also depend on numerous dam and associated systems both in
factors that are outside the scope of the the present and the foreseeable future,
dam safety analysis process. Dam safety its behaviour in a variety of conditions,
analysis is carried out within the context experience of failures of other dams
of a dam safety review. However, it cannot and the measures adopted to prevent
be completed without consideration of their recurrence.
contextual factors such as these identified
in Appendix F (societal, owner and affected

(ii) An understanding of how people and avoidance of loss typically could range
organizations affect the safety of the from loss of the dam and its contents to
dam. loss of control of the functions of the dam
(iii) Imagination to identify potential which can be broadly defined in terms of
failure modes that could arise at the the concepts of containment (of the stored
dam or with the people involved in volume and/or stored material (mining
managing safety, and opportunities for dams)) and conveyance (of the flows through
prevention, control and mitigation. and around the dam in a controlled way).
The dam safety review should state the extent The dam safety analysis process involves
of the understanding gained during the consideration of the various relevant
course of the dam safety review and the degree engineered and operational safety control
to which the scope of the dam safety review measures:
permitted the analysis of failure modes and • Prevention of loss of performance
the identification of safety measures. capacity or loss of functional capability;
3.5.3 Implementation Principles • Control of the deviations from designed
performance characteristics; and
The implementation of this principles
based approach as provided above • Mitigation of the effects of loss of control
comes from the principles for dam safety of the containment and conveyance
management that are commonly adopted functions.
in dam safety assessment in Canada, as Since dam safety management involves
described in the CDA Dam Safety Guidelines. implementing preventative, control and
ICOLD provides a complementary set of mitigation measures to various degrees to
principles that serve as a basis for the ensure the functional safety of the dam,
managerial aspects of the dam safety review. the dam safety analysis should reveal the
The dam safety review can be carried out in balance across and between these measures
terms of these principles, or some other and the extent to which functional
suitable set of principles. If another set of performance is assured.
suitable principles are to be followed, they
must be clearly referenced and the basis of There are a number of engineering
their suitability documented. principles that the qualified professional
engineer may use to guide the dam safety
Dams are designed to perform certain analysis as follows:
functions, and dam safety analysis involves 1. R
edundancy: More than one way to
two fundamentally different dimensions of achieve the desired performance;
the safe performance of a dam:
2. D
iversity: Different ways to achieve the
•T
he physical capacity of the dam to same function for a dam system;
withstand applied loads associated
with the hazards of the environment at 3. S
egregation: Function served from
the dam’s location (limit of the design different locations and directions;
envelope); and 4. D
efense in depth: Large margins of
•T
he functional capacity of the dam to capacity over demand (in all systems –
safely perform its functions (containment including redundant systems);
and conveyance). 5. F
ault tolerance (include human fault
tolerance): A single fault will not cause
The engineering principles involved in
loss of dam system function; and
dam safety analysis, and in setting the
engineering dimensions of the framework 6. F
ail to a safe condition: If a part of the
for a dam safety review, can be set in terms dam system does fail, it will render the
of the management concept of “Loss dam to a safe condition.
Avoidance”. In the context of dams,

The dam safety analysis is intended to reveal dam; the degree of seriousness of each
the extent to which the above engineering hazard or combination of hazards, and
principles, or other suitable principles, have whether or not the hazard condition can
been put in place at a dam. be characterized in probabilistic terms.
Below is a summary of the important • Identify how the hazards may act on a
concepts to be followed in implementing dam, the manner in which a dam responds
this principles based approach for carrying to the influence of the hazards, and the
out dam safety reviews: consequences of functional failure of the
dam due to the hazards.
•T
he dam safety review should be framed
in the context of generally accepted • Identify all relevant functional failure
dam safety management principles. modes and the dam safety analysis must
The principles that are selected should characterize the manner in which the
be documented and their application dam responds to the influence of relevant
in the dam safety assessment should be hazards. The dam safety analysis should
explained. also demonstrate how these failure modes
can be transformed into physical failure
•T
he dam safety review must identify the
mechanisms.
performance capacity dimensions and the
functional capability dimensions of the • Consider the functionality of the dam as a
dam safety analysis. containment and conveyance system after
significant natural events.
•T
he dam safety review must identify the
degree to which preventive, control and • Consider the possible impacts of other
mitigation measures are in place at a interdependencies between conditions
dam, and the analysis should determine such as management, procedural and
the adequacy of these measures both operational factors on the functionality of
individually and collectively as a “safety the dam after significant natural events.
system”. • Report the results of the analysis of
•T
he dam safety analysis should identify the relationships between the hazards
the degree to which the six established and failure modes, as well as any
engineering principles described above interdependencies between hazards and
have been implemented. failure modes in the dam safety review
report.
3.5.4 Elements of Dam Safety Analysis:
Hazards, Failure Modes, Failure Effects • The consequences analysis component of
and Consequences the dam safety analysis should be the basis
for establishing the classification of a dam
Dam safety analysis involves the analysis of based on the extent of the inundation
hazards, failure modes, failure effects and arising from the failure of one or both of
the consequences of functional failures. the containment or conveyance functions.
This includes combinations of hazards and • The consequences analysis should be
failure modes as well as analysis of structured to provide data on loss of
the relationship between hazards and life; environment and cultural values;
failure modes. and, infrastructure and economics in
The following is a summary of the most accordance with the requirements of the
important concepts to be considered when regulatory authority.
carrying out a dam safety analysis: • The consequences analysis should state
• I dentify all relevant external and the manner in which the downstream
internal hazards or threats, and their region was modeled and identify the
combinations that have the potential to entities and objects considered in the
interfere with the safe functioning of a model.

•T
he consequences analysis should state • Type of design and method of
the degree of resolution of the analysis. construction of the dam.
•T
he consequences analysis should state • Previous dam safety management history.
the manner in which the impacts of the • Previous dam safety reviews.
flows from the dam were determined
including any dynamic space and time • Recent and on-going performance
considerations. observations and analyses of the dam.
Further detail on the considerations which The types of dam safety review can be
need to be addressed when carrying out broadly considered to cover a spectrum
a dam safety analysis so the intent of the ranging from an audit-type review to
above referenced concepts are met, is a comprehensive and detailed design
provided in Appendix G. and performance review. The qualified
professional engineer should recommend
3.5.4.1 External Hazards of Particular an approach to the dam safety review that
Importance in British Columbia will cause the result of the dam safety
The natural environment and climate review to be appropriate for its intended
of British Columbia, and its associated purpose. Secondary considerations will
natural hazards require that the dam safety involve factors such as being appropriate
review pays particular attention to possible for the dam safety management needs
meteorological; geological; environmental; and the existing dam safety management
and seismological events. These are arrangements. It may be necessary for the
generally considered in terms of floods, qualified professional engineer to recommend
landslides and seismic events, although a phased approach to the dam safety review.
such simple categorization masks the This would be appropriate in instances
complexity of these hazards, which can act where the actual end use of the dam safety
in combination. review is to inform a debate in the public
domain concerning a matter of significant
The dam safety review should take societal importance, but where the existing
appropriate account of the nature and dam safety management arrangements
complexity of these hazards and should may be insufficient to support a dam safety
explain how they have been addressed in review that would be suitable to inform a
the dam safety review. public debate.
Refer to Appendix H for information on In many cases an iterative approach may
how loadings from natural hazards can be appropriate beginning with an audit-
be included in a dam safety review both type review with recommendations for
individually or in combination. subsequent reviews of increasing detail
3.5.5 Methods of Dam Safety Review and rigour as considered necessary to meet
the end-use objective which includes the
Since there is no standardized and relevant regulatory requirements.
generally accepted method of dam safety
review, the qualified professional engineer The following is a summary of the most
should recommend a suitable level of important concepts for implementing an
service based on several factors including appropriate methodology when carrying
but not restricted to: out a dam safety review:
• Current classification of the dam. • All aspects of the dam safety review
should conform to the current APEGBC
• Age of the dam. guidelines on quality management of
• Use of the dam. engineering services.

•T
ypically, a dam safety review shall be updating of information and upgrading of
carried out by one or more qualified the dam. However, changes over time will
professional engineer(s). Where a team is render the audit-type basis for the review
involved the lead qualified professional no-longer current or adequate.
engineer will be the responsible qualified
Adoption of an audit-type dam safety review
professional engineer. The qualified
may be appropriate as an interim measure
professional engineer responsible for
or as a precursor to more detailed forms
an audit type review is expected to
of dam safety review at the next scheduled
be sufficiently knowledgeable and
formal review.
experienced to act as the responsible
qualified professional engineer for all 3.5.5.2 Comprehensive Dam Safety
aspects of a dam safety review. Review
•T
he methodology is consistent with the A comprehensive dam safety review
expectations of the regulatory authority. comprises all of the elements of an audit-
•T
he method used for a dam safety review type of dam safety review, but with each
should suit its intended purpose, and element carried out in a more in-depth
be in accordance with the results based way by a qualified professional engineer
contextual factors and principle based under the direction of the lead qualified
approach described in Section 3.5.2. professional engineer. In this regard, the
• I n all cases, and to the extent that is review of documentation, site reviews,
appropriate in terms of established and interviews with operating staff will be
methods of safety assessment, the dam more detailed, and may include a second
safety review should disclose the evidence verification site visit at the dam safety review
developed in the dam safety review and report preparation stage. The engineering
the line of reasoning that connects that analysis will involve a routine design-basis
evidence to the determination of the check of calculations with subsequent site
safety status of the dam. verification.
3.5.5.1 Audit-Type Dam Safety Review 3.5.5.3 Detailed Design-Based

Multi-Disciplinary Dam Safety Review
The audit-type dam safety review is intended
to review the currency and adequacy of all A detailed design-based multi-disciplinary
of the safety management arrangements dam safety review is carried out by a team
in place for a dam on the basis of a review of qualified professional engineers under
of documentation, site reviews, interviews the guidance and direction of the lead
with operating staff and preliminary qualified professional engineer who is
engineering analysis. The currency responsible for the integrity of the review
dimension of the review focuses on the as a whole. A detailed design-based
suitability of all information, systems, multi-disciplinary dam safety review is
and safety controls used and dam safety equivalent to a full scale independent
management in the context of established design review of an engineered system.
dam engineering practices. The adequacy The review of documentation, site reviews,
dimension of the review focuses on the and interviews with operating staff may
extent to which the safety management require several site visits or even a period
arrangements that are in place meet of residence at the site for the purpose of
or exceed industry norms, and the verifying the integrity of the input data to
expectations of the regulatory authority. the analysis.
By definition, there will be a limit to how

often an audit-type dam safety review can
be carried out for an individual dam unless
there has been a continual process of

3.5.5.4 Comprehensive and Detailed unlikely event that adequate safety
Design and Performance Review cannot be demonstrated in terms of
established practices and precedents,
A comprehensive and detailed design and
and engineering principles. In
performance dam safety review includes a
such an event, the dam safety review
detailed performance analysis of the dam
should demonstrate the extent to
over its operating life but also considers
which practices and precedents, and
the attributes of a detailed design-based
engineering principles can be applied.
multi-disciplinary dam safety review. A
dam safety review of this scale and rigour In all cases, the determination as to what
can be expected to take a considerable constitutes “acceptably safe” is not part
period of time and be highly resource of the dam safety review process. Rather,
intensive. In many cases, essential design with respect to safety determinations
and performance information may be based on practices and precedents and
lacking thereby necessitating exploratory engineering principles, the onus is on the
investigations and detailed sub-studies to qualified professional engineer to understand
assemble sufficient evidence and knowledge whether the dam conforms to appropriate
on which to base the dam safety review. design, operation and maintenance
norms for a dam. In such cases, the actual
3.5.6 Consideration of Safety and Risk
determination of the safety status of a dam
The purpose of the dam safety review is to: relative to these norms will be a matter
• Determine whether the dam is safe; and of reasoned judgment by the qualified
professional engineer.
• If it is determined that the dam is not safe,
to determine what actions are required to In those cases where there is consideration
make the dam safe. of what is an acceptable level of safety to
those elements at risk downstream, in
Additional considerations for environmental the determination of the safety status of
safety of mining dams are presented in the dam, the onus is on the dam owner
Appendix B. in consultation with the regulatory
Since, safety is a relative concept, and since authority to determine what constitutes
the safety of a dam changes over time in an unacceptable degree of risk. Such
response to changing conditions internal a determination by the dam owner and
and external to the dam, the dam safety the regulatory authority would include
review can do no more than provide considerations regarding people, property
a “snapshot in time” of the safety status of and the environment downstream of a dam,
the dam in relative terms. and the extent to which any risk-informed
safety determination should err on the side
The safety status of a dam can be of safety. Any such determinations should
determined relative to, and in terms of: be included in the dam safety review.
(i) Established dam designs and generally
accepted dam safety management 3.5.6.1 Consideration of Functional
measures that are used in the industry. Integrity of a Dam as Part of a System
(ii) Conformance to established The various components of a dam are to be

engineering principles for the design, considered in their entirety as an overall
construction, maintenance and dam system. How the various components
operation of dams that represent a of a dam system interact must be taken into
similar degree of risk. consideration as part of a dam safety review.
Please refer to Appendix G for further
(iii) If necessary, formal consideration of
discussion on this matter.
the tolerability of the risks associated
with the dam may be required in the

3.5.6.2 Consideration of Uncertainty • The engineering principles described in
these guidelines (see Section 3.5.3);
It is acknowledged that there is a certain
level of uncertainty associated with many • The principles of the CDA Dam Safety
aspects of dam safety assessments. Please Guidelines;
refer to Appendix G for further discussion • Generally recognized international
on this matter. practices;
3.5.6.3 Role of Dam Safety Analysis • The expectations of the regulatory
and Risk in the Dam Safety Review authority; and/or
Assurance Statement • A set of dam specific enhanced safety
The Dam Safety Review Assurance Statement management monitoring, surveillance
introduces the term “reasonably safe” and emergency intervention plans agreed
which, in terms of these guidelines is to by the regulatory authority.
intended to mean that the dam owner has The achievement of a reasonably safe
implemented all dam safety management condition can also be demonstrated
measures which conform to those norms in terms of a detailed quantitative risk
that are considered by the regulatory assessment that has been independently
authority and the qualified professional reviewed by recognized experts acceptable
engineer to reasonably reflect established to the regulatory authority.
engineering and dam safety management
practices. In all of the above, it is not intended that
the qualified professional engineer would be
In this regard, it is expected that the required to carry out the demonstration
dam owner would implement reasonably that a reasonably safe condition has been
practicable measures to assure the safety established. Rather, it is the responsibility
of the dam based on the engineering of the qualified professional engineer to verify
principles set out in these guidelines. that such a safety demonstration has been
Conformance to the engineering principles established by the owner.
described in these guidelines together with
conformance to the principles of the CDA In discharging their professional
Dam Safety Guidelines, generally recognized responsibilities with respect to these
international practices, and compliance guidelines, the qualified professional engineer
with expectations of the regulatory authority would be expected to provide a clear
would normally constitute an effective explanation as to why the assurance that
demonstration of the reasonableness of the the dam is reasonably safe can be accepted
safety management measures provided in by the dam owner and the regulatory
the Dam Safety Review Assurance Statement. authority. Such a demonstration would link
the conclusion that the dam is reasonably
Alternative arrangements of safety safe to the supporting evidence by means
management measures to achieve a of lines of reasoning and inference rules
reasonably safe condition are available to that connect the evidence to the conclusion
the dam owner should conformance to the (Figure 4).
engineering principles, accepted norms
and regulatory expectations prove to be
impracticable either in the short term or in
the long term. Under such circumstances,
developing a suite of safety management
measures to identify that a reasonably
safe condition has been achieved can be
established by demonstrating conformance
to the following:

Figure 4: Conclusions-Argument-Evidence Structure to Support
Dam Safety Review Assurance Statement
Claim
(dam is reasonably safe)
Inference rule
Inference rule
Argument Structure
Sub-claim Evidence Evidence
Evidence Evidence
A conclusion that a dam is not reasonably In some cases, the minimum level of
safe would be explained in a similar way safety of a dam can be achieved by means
whereby the evidence could be shown to be of different configuration of containment
inadequate in terms of accepted norms and and conveyance, and different degrees
where logical inferences cannot be made of reliance on preventative, control and
to properly connect the evidence to the mitigation safety measures. The dam
conclusion. safety review should consider the different
configuration of safety arrangements that
3.5.6.4 Risk-Informed Dam-Safety
could be in place at a dam.
Decisions and Improvements
The results of the safety assessment may be
One purpose of the dam safety review
represented in various ways as illustrated
is to enable the dam owner to use the
in ICOLD Bulletin 154 and in the concepts
results of the dam safety review to initiate
of risk-informed identification of safety
development of designs and repairs to
engineering solutions. One method of
restore the level of safety of the dam as soon
illustrating the various extents to which
as it is practicable.
the fundamental principles of protection,
The following outlines the risk-informed control and mitigation are represented in
approach to selecting the most appropriate the safety arrangements for a dam is by
of the available options for improving the means of the graphical “bow-tie” safety
safety of a dam. The result of the dam safety management model (ICOLD Bulletin
review combined with the result of the dam 154). These “bow-tie” models of safety
safety improvements should then provide analysis and safety management clearly
key input to the next dam safety review. illustrate the relationship between accepted

practices, safety assessment and safety
management methods. In particular, the
three categories of activities listed above
can be found as barriers in this analysis.
Typically, the safety status of the dam
that has been the subject of the dam
safety review, the “as-is condition”, can
be represented in terms of the left most
option (option 1) of the options illustrated
in Figure 5 below (upper diagram).
Available options for improvement of
safety, some of which may be identified in
the dam safety review, can subsequently be
developed and the costs and benefits of the
improvements illustrated along-side the
safety status of the dam as determined in
the dam safety review.
The nature, form and type (preventive,
control, mitigative) of the safety
improvements that are selected for
implementation can be illustrated in the
“bow-tie” model Figure 5 (lower diagram).

Figure 5: Risk-Informed Dam Safety Improvements (ICOLD, B154, 2011)
Range of different design options meeting

functional requirements Generally unacceptable
Risk cannot be justified except in
Dam Safety arrangements extraordinary circumstances
Risk
generally considered to
be deficient
Generally conforms to minimum expectations
Typical range of dam safety
arrangements meeting functional
Tolerable only if risk reduction is impractical
requirements and safety or if its cost is grossly disproportionate to the
expectations improvements gained
(degree of)
Tolerable if risk reduction would exceed the

1 improvements gained
2 Generally exceeds expectations

3 Necessary to maintain assurance that risk
4 remains at this level
5
Safety
Safety Management Effort Negligible Risk
Events, circumstances and scenarios
Harm to people and damage to

assets and the environment
Consequences
Undesirable
event with
HAZARDS
the potential
for harm or
damage
Engineering Activities
Maintenance Activities
Operations Activities

3.6 CONSIDERATIONS OF CHANGED The dam safety review cannot consider the
CONDITIONS impacts of climate change on the safety
status of the dam within the period for
The dam safety review is a snapshot at a which the dam safety review report is valid.
particular point in time of the assessment of
whether the dam is being reasonably safely
3.7 DAM SAFETY REVIEW REPORT
operated using the current state of practice
for dam safety analysis. Dams are physically Written reports are the means by which the
located in an ever changing environment qualified professional engineer communicates
and downstream developments may impact the results of his/her dam safety review
the classification of the dam. In addition, to the client and, along with the Dam
the understanding of the natural hazards Safety Review Assurance Statement, to the
imposed on the dam is continuously regulatory authority. Report formats will
evolving and technical methodologies vary depending on the complexity of the
for dam safety analyses are continuously dam safety review and level of service.
developing as new knowledge is acquired The qualified professional engineer should
in various aspects of dam safety. Changes consider reviewing the format and content
beyond the control of the dam owner can of the dam safety review report with the
include the operating regime of the dam client prior to finalizing the report.
resulting from new demands for power or
While the structure and composition
water or storage capacity and changes to
of the report is largely the qualified
the inflow into the reservoir as a result of
professional engineer’s responsibility, there
changes to the operating regime of upstream
is some documentation that is required
dams. The condition of the dam itself could
to be included into the dam safety review
change over time as the dam ages and the
report to allow the qualified professional
dam material and equipment deteriorate.
engineer’s work to be replicated and made
The qualified professional engineer cannot transparent to understanding how the
foresee and cannot be expected to forecast qualified professional engineer arrived at his/
the impact of potential future changing her conclusions and recommendations.
conditions on the assessment of the safe Typically, a dam safety review report should
operation of the dam for a specific dam include the following:
safety review. The dam safety review should • Executive summary highlighting the key
assess the dam in its current state and conclusions and recommendations;
environment using the current state of
• Introduction which defines purpose of
practice for dam safety analysis. However,
the dam safety review and the scope
if it is clear during the review process, that
of services of the qualified professional
imminent changes are to be made, or are
engineer;
in the process of being made, to the dam
or the dam’s environment, the qualified •G
eneral description of the dam and
professional engineer should assess the related structures, including the general
impact of these changing conditions on the arrangement, design and construction
safe operation of the dam in the immediate history, recent history of the dam since
future and document these impacts in the previous dam safety review, the
the dam safety review report. Examples of assessment of the classification of
changing conditions that are planned or the dam in the present environment,
actual include changes to downstream and descriptions of the flood, seismic
development that would possibly change reservoir and slope stability hazards;
the classification of the dam or imminent
construction of safety improvements to the
dam aimed at resolving prior deficiencies.

•A
summary of the finding of the previous • The “shelf life” of the dam safety review
dam safety review, if any, and any actions report (see Section 3.8).
taken since the previous dam safety
Supporting documents, such as the site
review to rectify deficiencies and non-
visit report, can be included in appendices.
conformances;
Dam safety review reports should be
•T
he identification of the external and accompanied by drawings, figures,
internal hazards and failure modes and sketches, photographs, other tables and/
compilation of these hazard and failure or other support information as required.
mode pairs into a hazards and failure Graphic information should be consistent
modes matrix; with the information in the text.
•A
summary of the owner’s compliance The dam safety review report should be
with the regulatory requirements; clearly written with sufficient detail
•T
he details of the assessment of each to allow the client, regulatory authority
component of the dam including the and others reviewing the dam safety
reservoir or impoundment (mining review report to understand the methods,
dams), giving a general description of information used and supporting rationale
the component, the monitoring and for conclusions and recommendations,
performance of the component over without necessarily visiting the dam site.
the period since the previous dam safety
review, if any, and any deficiencies and A peer review of the dam safety review report,
non-conformances identified during the prior to its submission to the client, is strongly
assessment of the particular component; encouraged as part of the quality assurance/
quality control program (refer to Section 4.0).
•T
he details of the assessment of the
operations, maintenance and surveillance
3.8 LIMITATIONS AND
practices at the dam including the
assessment of the overall dam safety QUALIFICATIONS IN DAM SAFETY
management system and identification of REVIEWS
any non-conformances; Most consulting firms have their standard
•T
he details of the review of the emergency limitations that are routinely included in
planning, including documentation and reports. However, for dam safety reviews,
training of personnel and testing of the a number of other limitations will be
emergency plans, and identification of unavoidable. The original design and
any non-conformances; construction, design upgrades and any
• I dentify information that was not other safety assessments done on the
available; dam in the past are likely done by other
professionals and the only evidence of this
• The details of all design assumptions; previous work, is in the form of reports. The
•A
summary of design calculations qualified professional engineer has to review
performed to support the technical and interpret the data provided in these
analyses; existing reports, to form an opinion on the
•T
he conclusions and recommendation current safety status of the dam. Reliance on
of the dam safety review including work performed by other professionals in the
the key findings, prioritized list of past is therefore used in the dam safety review
deficiencies and non-conformances, and the qualified professional engineer may
and recommended actions to be taken wish to include limitations and qualifications
to correct any hazardous conditions in the dam safety review report where he/she
identified during the dam safety review at has relied on the previous work by other
the dam; and professionals.

In addition, the determination of the flood 3.9 FOLLOW-UP TO DAM SAFETY
and seismic hazards are usually carried REVIEW REPORTS
out independently of the dam safety review
by specialists in the respective fields. If deficiencies exist that compromise the
This work is highly specialized and it safety of the dam, these must be addressed.
is usually not possible for the qualified A dam must not be permitted to remain in
professional engineer to be expected to such a state that it imposes an unacceptable
accept responsibility for the determination risk to people or property or fails to meet
of these natural hazards. Therefore in most required safety criteria. Reducing the risk
cases, the qualified professional engineer to tolerable levels may be done either by
must rely on the work done by others to reducing the consequences or reducing the
define the natural hazards on the dam risk of failure. Where financial constraints
and the dam safety review report should be do not allow immediate corrective actions,
qualified to this regard. measures such as reduced reservoir or
impoundment levels may be implemented
A dam safety review report is not intended to until the necessary corrective actions can be
reflect the safety status of the dam for any undertaken. Other early actions may range
significant time in the future. The report from enhanced monitoring, additional
documents the current safety status of the instrumentation, or other operational
dam. The client and the qualified professional changes. Some findings which typically
engineer should attempt to anticipate warrant follow-up are captured in Section
reasonable changes to the environment 4.0 of the 2007 CDA Dam Safety Guidelines.
in which the dam system is located. These
could include such things as possible The dam safety review report will document
downstream development and changes that the deficiencies and other dam safety
could occur in the condition of the dam over issues found. The dam owner must then
a short period of time in the future, such as prioritize and provide a plan to resolve
deterioration of flow control equipment. In the deficiencies and issues within the
the case of mining dams, such changes may appropriate regulatory, legal, financial and
include modifications to the processing risk framework. This follow-up may be
plant, expansion of production or included as a subsequent phase or separate
impending closure. The “shelf life” of the project, but is not typically included in the
dam safety review report is limited and so it scope of a dam safety review. A partial list of
should be identified that its currency is only these issues follows:
for the dam at the time that the dam safety • Owner’s Dam Safety Management System
review was conducted. · Overall dam safety planning;
Limitations and qualifications, including · Prioritization of concerns and decision
those associated with background process;
information, assumptions, sources of error, · Owner’s values and organizational
ranges of values and subjective opinions, structure;
should be described clearly in the dam
safety review report. · Roles and responsibilities;
· Mitigating actions – defense of depth,
corrective and/or protective measures;
· Operational and surveillance activities;
and
· Emergency preparedness and response.

• Dam Safety Improvements · Operational improvements – advanced
·R
isk assessment – indication of threat drawdown, conservative rule curves,
the dam represents to the public or the flash board/stoplog removal; and
environment; · Surveillance improvements – increased
·A
ssessment of deficiency and corrective frequency/situational (enhanced
action; attendance during floods) inspections,
additional instrumentation.
· I mplementation of required upgrades
(interim and longer term actions); Typical follow-up steps to a dam safety
review are depicted below in Figure 6.
Figure 6: Follow-up Steps to a Dam Safety Review
3d. Carry out site visit and interviews
3e. Identify functions and Failure Modes
May be done as part of the dam

safety review scope or as a
3f. Assess safety of dam separate project outside of the
dam safety review
Analyses required and approved? 3g. Carry out analyses
4. Prepare dam safetey review report

Carry out further investigation,
analysis and assessment
5. Review report,
prioritize deficiencies and
make plans to address Fix or
deficiencies Next steps? decommission
• Regulatory
• Legal Regulatory
• Rinancial acceptance of risk
• Risk
Courtesy of M.A. Terry Oswell, CDA 2012.

QUALITY ASSURANCE/QUALITY CONTROL
A qualified professional engineer must carry • Documented field reviews of projects
out quality assurance/quality control during implementation or construction –
(QA/QC) during all phases of a dam safety Bylaw 14(b)(3)
analysis as part of the preparation of a · When carrying out dam safety reviews,
dam safety review report. The Assurance the qualified professional engineer must
Statements in Appendix C include meet the intent of the APEGBC Quality
confirmation that in preparing the dam Management Guidelines – Documented
safety review report the intent of APEGBC’s Field Reviews During Implementation
quality management bylaws have been met. or Construction. For example, if the
qualified professional engineer makes
4.1 APEGBC QUALITY MANAGEMENT specific recommendations in the
REQUIREMENTS dam safety review report regarding
the implementation or construction
Qualified professional engineers are obligated
of remedial engineering works, the
to abide by the quality management
qualified professional engineer has
requirements under the Engineers and
an obligation to see that the client is
Geoscientists Act and Bylaws. In order
informed in writing that those works
to meet the intent of the requirements,
must be carried out by or under the
qualified professional engineers shall
direct supervision of a professional
establish and maintain documented quality
engineer. Upon confirmation of this,
management processes for their practices
the qualified professional engineer would
which shall include as a minimum;
place this document in their file. If no
•T
he application of the relevant APEGBC such confirmation is provided then the
Professional Practice Guidelines qualified professional engineer must refer
·E
ngineers and Geoscientists Act, to Section 3.7 of the APEGBC Quality
s. 4(1) and Bylaw 11(e)(4)(h) Management Guidelines – Documented
Field Reviews During Implementation or
·W
hen carrying out dam safety reviews, a
Construction.
qualified professional engineer must have
sufficient broad based knowledge of, • Documented independent review of
and experience in, these guidelines. structural designs – Bylaw 14(b)(4)
•R
etention of complete project · If structural analysis is carried out
documentation – Bylaw 14(b)(1) as part of a dam safety review, an
independent review must be carried
·W
hen carrying out dam safety reviews,
out on the analyses/calculations. The
the qualified professional engineer must
extent of the independent review is
meet the intent of the APEGBC Quality
to be determined by the reviewer. The
Management Guidelines – Retention of
qualified professional engineer must
Project Documentation
meet the intent of the APEGBC Quality
•R
egular, documented checks using a Management Guidelines – Documented
written quality control process – Independent Review of Structural Designs.
Bylaw 14(b)(2)
·W
hen carrying out dam safety reviews,
the qualified professional engineer
must meet the intent of the APEGBC
Quality Management Guidelines –
Documented Checks of Engineering and
Geoscience Work

•A
uthentication of professional documents • Amount of instruction, supervision and
by the application of the qualified review of the subordinate is required.
professional engineer’s professional seal –
Field work is one of the most critical aspects
Engineers and Geoscientists Act, s. 20(9)
of a dam safety analysis. Therefore, careful
·T
he qualified professional engineer must consideration must be given to delegating
apply their professional seal to dam field work. Due to the complexities and
safety review reports prepared in their subtleties of dam safety analysis, direct
professional capacity or under their supervision of field work is difficult and
direct supervision and the qualified care must be taken to see that delegated
professional engineer or the lead qualified work meets the standard expected of
professional engineer must apply their the qualified professional engineer. Such
seal to the Dam Safety Review Assurance direct supervision could typically take the
Statement. The qualified professional form of specific instructions on what to
engineer must meet the intent of the observe, check, confirm, test, record and
APEGBC Quality Management Guidelines report back to the qualified professional
– Use of the APEGBC Seal engineer. The qualified professional engineer
•P
rofessional engineering activities should exercise judgment when relying on
can only be delegated to subordinates delegated field observations by conducting
under direct supervision – Engineers and a sufficient level of review to be satisfied
Geoscientists Act, s. 1(1) and 20(9) with the quality and accuracy of those field
· I f certain aspects of the dam safety observations.
review, such as field work, are
delegated to non-professionals or other 4.3 CHECKING AND REVIEW
subordinate engineers, they must be As referenced in Section 4.1 of these
carried out under direct supervision guidelines and consistent with the
of the qualified professional engineer. requirements of APEGBC Quality
The qualified professional engineer Management Bylaw 14(b)(2), as a minimum,
assumes full responsibility for all a dam safety review report must undergo a
work delegated. documented checking and review process
before being finalized and delivered to
4.2 DIRECT SUPERVISION the client and/or the regulatory authority.
The Engineers and Geoscientists Act s. 1(1), This documented checking and review
states that direct supervision means taking process would normally involve an internal
responsibility for the control and conduct review by another qualified professional
of the engineering or geoscience work engineer within the same firm. Where
of a subordinate. With regard to direct an appropriate internal reviewer is not
supervision, the qualified professional available, an external reviewer may be
engineer having overall responsibility engaged or where this is not practical it
should consider: may be appropriate, based on the elements
at risk, to have the qualified professional
•T
he complex nature of the dam being engineer who originally prepared the report
reviewed and the nature of the values check the report at a point removed in
at risk; time. Where an internal/external review
•W
hich aspects of the dam safety analysis, has been carried out this must be clearly
and how much of those aspects, may documented in the dam safety review report.
be delegated; The level of review should be discussed
•T
raining and experience of individuals to with the client and the relevant regulatory
whom work is delegated; and authority but is based on the professional
judgment of the qualified professional

engineer. Considerations should include The independent peer review process
the complexity of the site, the nature of the should be more formal than the checking/
dam, elements at risk, availability, quality review process carried out under Bylaw
and reliability of background information 14(b)(2). An independent peer reviewer
and field data, the degree of judgment, on should submit a signed, sealed and dated
which the assessment is based, and the letter or report, to be either included with
qualified professional engineer’s training and the dam safety review report or put on file,
experience. which includes the following:
• Limitations and qualifications with
4.4 INDEPENDENT PEER REVIEW regard to the independent peer review;
An independent peer review is an and
additional level of review beyond the • Results of the independent peer review.
minimum requirements of Bylaw 14(b)(2)
When an independent peer review is carried
that may be undertaken for a variety of
out, the qualified professional engineer who
reasons (such as those listed in Section 4.3)
signed the dam safety review report remains
by an independent qualified professional
the Engineer of Record (EOR).
engineer not previously involved in the
project. At the discretion of the qualified The independent peer review discussed
professional engineer, in consultation with above is not the same as an independent
the reviewer(s) involved in the regular review or advisory service provided by
checking/review process outlined above, a qualified professional engineer who is
such an additional level of review may be retained by the regulatory authority, or
deemed appropriate. Alternatively, a local sometimes a client.
government or other approving authority
may request an independent peer review to
support project approval. An independent
peer review may be undertaken by another
qualified professional engineer within
the same firm, or an external qualified
professional engineer.

PROFESSIONAL REGISTRATION; EDUCATION,
TRAINING AND EXPERIENCE
5.1 PROFESSIONAL REGISTRATION 5.2 EDUCATION, TRAINING
The following is the professional AND EXPERIENCE
registration requirements for a qualified A dam safety review, as described in these
professional engineer performing dam safety guidelines, requires minimum levels of
reviews for dams in British Columbia which education, training and experience in
are addressed in these guidelines: many overlapping areas of engineering
British Columbia Dam Safety Regulation and geoscience. A qualified professional
indicates (Section 7(1)) that dam engineer must adhere to APEGBC Code
safety reviews must be carried out by a of Ethics Principle 2 (to undertake and
professional engineer “with qualifications accept responsibility for professional
and experienced in dam safety analysis”. assignments only when qualified by
training or experience), and, therefore,
CDA Dam Safety Guidelines form the basis must evaluate his/her qualifications and
for dam safety reviews required by the possess appropriate education, training
Mines Act permit conditions. The CDA and experience consistent with the services
Dam Safety Guidelines states that “dam provided.
safety reviews should be carried out by,
or under the direction of, a registered When applying the guidance provided in
professional engineer with a background this section the level of education, training
in design, construction, performance and experience required for a dam safety
analysis, and operation of dams.” review should be commensurate with the
complexity of the dam system and the dam
A qualified professional engineer as described classification.
above must be a person registered, and
in good standing with APEGBC, as a Education, training and experience can
professional engineer under the Engineers and vary depending on the qualified professional
Geoscientists Act. The qualified professional engineer’s background and whether
engineer is typically registered with APEGBC specialty services are being provided.
within the discipline of structural, civil, Whether carrying out a dam safety review
geological or mining engineering. As the or providing specialty services, appropriate
complexity of the dam and site conditions experience can only be gained by working
increase, the characterization and sound under the direct supervision of a suitably
understanding of the hazard and failure knowledgeable and experienced qualified
mode processes becomes more critical. professional engineer.
Not all professional engineers registered in Depending on the size and complexity
the disciplines noted above are qualified of the dam and site conditions, dam
professional engineers in dam safety reviews. safety reviews may be carried out by an
It is the responsibility of the professional individual qualified professional engineer or
engineer to determine whether he/she a multidisciplinary team of professionals
is qualified by training or experience to lead by an experienced lead qualified
undertake and accept responsibility for professional engineer. The recommended
dam safety reviews for proposed dam and minimum qualifications for these two
site conditions (APEGBC Code of Ethics positions follow.
Principle 2) and should meet the intent of
the requirements that follow.

Prior to conducting a dam safety review, an • Current knowledge of the British Columbia
individual qualified professional engineer or a Dam Safety Regulation, CDA Dam Safety
lead qualified professional engineer must: Guidelines and other international dam
•B
e knowledgeable in the design, safety standards.
construction, performance analysis and • In the case of mining dams, current
operations of dams; knowledge of the regulations applicable
•B
e knowledgeable about the British to the Mines Act and the Health, Safety
Columbia Dam Safety Regulation and and Reclamation Code for Mines in British
applicable legislation; Columbia, and the CDA Dam Safety
Guidelines.
• I n the case of mining dams, be
knowledgeable about the regulations • Not participated in the design,
applicable to the Mines Act and the Health, construction, safety management
Safety and Reclamation Code for Mines in (surveillance, deficiency investigation,
British Columbia; capital improvement) on the specific dam
in question.
•B
e knowledgeable about the various
technical dam safety guidelines, Lead Qualified Professional Engineer
specifically the CDA Dam Safety Guidelines for a Multidisciplinary Team
and associated technical bulletins; Minimum qualifications for a lead qualified
•B
e knowledgeable about the system professional engineer coordinating a
approach to dam safety analysis required multidisciplinary team of professionals for
for the review; and a dam safety review, is as follows:
•C
onfirm that he/she has the appropriate • Current registration with APEGBC as a
training and experience to conduct the professional engineer.
dam safety review associated with the • Previous involvement with at least two
particular type of dam and complexity dam safety reviews, as lead technical
of the associated overall dam system person or under the direct supervision
of containment of the reservoir and of a suitably knowledgeable and
conveyance of the river flows past the experienced qualified professional engineer.
dam, and if not, involve the required
specialists to provide assistance in the • Have at least 10 years of related
relevant areas. experience in design, construction,
performance evaluation and/or operation
Individual Qualified Professional of dams.
Engineer
• Current knowledge of the British Columbia
Minimum qualifications for an individual Dam Safety Regulation, CDA Dam Safety
qualified professional engineer carrying out Guidelines and other international dam
the dam safety review, is as follows: safety standards.
• Current registration with APEGBC as a • In the case of mining dams, current
professional engineer. knowledge of the regulations applicable
• Previous involvement with at least three to the Mines Act and the Health, Safety
dam safety reviews. and Reclamation Code for Mines in British
Columbia, and the CDA Dam Safety
• Have at least 15 years of related Guidelines.
experience in design, construction,
performance evaluation and/or operation • Not participated in the design,
of dams. construction, safety management
(surveillance, deficiency investigation,
capital improvement) of the specific dam
in question.

Under the multidisciplinary team approach, through continuing professional
the lead qualified professional engineer may development, with the evolving topics of
have less experience than an individual dam safety, surveillance, construction,
qualified professional engineer as he/she is rehabilitation and other specialized
supported by a team of qualified professional services offered (refer to APEGBC Code of
engineers and specialists. However, the lead Ethics Principle 6). Continuing professional
qualified professional engineer is expected to development can include taking formal
direct and be involved throughout the dam courses; attending conferences, workshops,
safety review process. seminars and technical talks; reading new
texts and periodicals; searching the web;
Qualified Professional Engineers
and participating in field trips.
Minimum qualifications for all qualified
professional engineers who carry out dam 5.3 SPECIALTY SERVICES
safety reviews whether as an individual,
as a lead qualified professional engineer or As the complexity of the dam and site
as a specialist team member, must have conditions increase, so does the need
the appropriate education, training and for a multi-disciplinary team approach
experience that specifically encompasses to the delivery of a dam safety review. It
the area of expertise required of them. may be the case that it is neither expected
It is the qualified professional engineer’s nor reasonable that any given qualified
obligation to have and document their professional engineer has a broad enough
education, training and experience to education and experience to address all
be able to practice and maintain their of the components of a dam safety review.
competency in this field. Depending on the facility characteristics
(including upstream and downstream
As previously noted, as the complexity of conditions), background of the qualified
the dam and site conditions increases, and professional engineer and skill sets of the
depending on the location in the province, dam safety review team, specialty services
the minimum qualifications should be may be required, such as inundation
supplemented by training and experience studies; seismic determination and
in additional subject areas, as required. response; concrete technology; or
Specialists may have to be retained to instrumentation.
supplement experience in some of these
areas and provide the necessary range of A specialist who offers specialized
disciplines necessary for the specific dam services may require specific education,
and site conditions. training and experience in addition to
that, discussed in Section 5.2. The qualified
The academic training for the above skill professional engineer engaging the specialist
sets can be acquired through formal has a responsibility to confirm that the
university or college courses, or through specialist has the appropriate skills and
continuing professional development. competencies required to complete the
There may be some overlap in courses activity they are engaged to carry out.
and specific courses may not correlate to
specific skill sets. A qualified professional
engineer should also remain current,

REFERENCES AND RELATED DOCUMENTS
Not all the following documents are Canadian Dam Association (CDA) (2007).
referenced in the text or appendices. Some Dam Safety Guidelines and associated
are related sources of useful information. Technical Bulletins.
Where documents are known to be
Canadian Dam Association (CDA) (2011).
available on the world wide web, they are
Guidelines for Public Safety Around Dams
noted as [web].
with Technical Bulletins.
Association of Professional Engineers and
Canadian Dam Association (CDA) (2011).
Geoscientists of British Columbia (2012)
Dam Safety Review Working Group, DSR
Bylaws of the Association (as amended June
Process Diagram presented at the CDA
2012). [web]
Conference in Fredericton, October 2011.
Association of Professional Engineers and [web]
Geoscientists of British Columbia (2012)
Engineers and Geoscientist Act, R.S.B.C.
Code of Ethics, Section 14 of the Bylaws of
1996, Chapter 116, as amended. [web]
the Association. [web]
Hartford, DND, and G.B. Baecher (2004).
Association of Professional Engineers
Risk and Uncertainty in Dam Safety.
and Geoscientists of British Columbia
Thomas Telford.
(2013) Quality Management Guidelines -
Retention of Project Documentation. [web] International Boundary Water Treaty Act,
Revised Statutes of Canada 1985, Chapter
I-17. [web]
and Geoscientists of British Columbia
(2013) Quality Management Guidelines International Commission on Large Dams
- Documented Field Reviews During (ICOLD) (2000). Bulletin 124, Reservoir
Implementation or Construction. [web] Landslides: Investigation and Management,
Guidelines and Case Histories.
and Geoscientists of British Columbia International Commission on Large
(2013) Quality Management Guidelines Dams (ICOLD) (2005). Bulletin 130, Risk
– Documented Independent Review of Assessment in Dam Safety Management, a
Structural Designs. [web] Reconnaissance of Benefits, Methods and
Current Applications.
Association of Professional Engineers and
Geoscientists of British Columbia (2013) International Commission on Large Dams
Quality Management Guidelines – Use of (ICOLD) (2012). Bulletin 154,
the APEGBC Seal. [web] Dam Safety Management: Operational
Phase of the Dam Life Cycle.
Bacon, J. H., (1999). Categories and
Structures of Man-made Risks and Related International Commission on Large Dams
Basic Problems – A Risk-Regulator’s (ICOLD) (2012). Bulletin 158,
Perspective. Forum Engelberg - Risks and Dam Surveillance Guide.
Safety. 23/24 March.
Mines Act, R.S.B.C. 1996, Chapter 293. [web]
British Columbia Dam Safety Regulation,
Ministry of Energy, Mines and Petroleum
British Columbia Regulation 44/2000
Resources, Mining and Minerals Division
including revised amendments B.C. Reg.
(2008). Health, Safety and Reclamation
108/2011 (June 2011) and B.C. Reg. 163/2011
Code for Mines in British Columbia. [web]
(September 2011). [web]

Ministry of Energy and Mines(2012). National Resources Canada, Geological
Guideline for Annual Dam Safety Survey of Canada (2005). Open File 4459,
Inspection Reports. October. Fourth generation Seismic Hazard Maps
of Canada; Values for over 650 Canadian
Ministry of Forests, Lands and Natural
Localities intended for the 2005 National
Resource Operations, Water Stewardship
Building Code of Canada. J. Adams and
Division (2010). Review of the Testalinden
S. Halchuk. [web]
Dam Failure. [web]
Natural Resources Canada. Determine 2010
National Building Code of Canada Seismic
Resource Operations, Water Stewardship
Hazard Values. [earthquakescanada.nrcan.
Division (2010). Dam Safety Inspection
gc.ca/hazard-alea/interpolat/index_2010-
Checklist – for Dam Safety Reviews
eng.php]
(Excel file) [web]
Natural Research Council of Canada (2010).
National Building Code of Canada.

APPENDIX A: LEGISLATIVE FRAMEWORK –
WATER RESERVOIR DAMS
The regulation of water reservoir dams and When starting a dam safety review, the
issue of water licenses in British Columbia is qualified professional engineer should
a provincial responsibility and the Water Act determine whether or not the operations
(RSBC 1996, Chapter 483), and the associated of the particular dam are affected by any
regulation, the British Columbia Dam Safety orders issued by the IJC or whether or
Regulation, is the statute and regulation that not the dam falls within the ambit of the
governs dam safety in British Columbia. Columbia River Treaty.
The dam owner has the responsibility for The Water Act of British Columbia contains
carrying out dam safety reviews on their dams very little detail that affects dam safety.
for certain classifications and at the intervals The British Columbia Dam Safety Regulation
provided by the British Columbia Dam Safety specifically addresses the responsibilities
Regulations. of the dam owner for the safe operation
of a dam and prescribes documentation
Several rivers in British Columbia flow
requirements, such as OMS Manuals and
across the international border with the
Emergency Preparedness plans for the dam.
United States of America. The International
It also prescribes surveillance activities,
Joint Commission (IJC) was established by
dam safety reviews and operational testing
the governments of Canada and the USA
of flow control equipment. The British
under the Boundary Water Treaty of 1909.
Columbia Dam Safety Regulation includes
The mandate of the IJC is to try to prevent
the determination of the classification
or to resolve disputes involving waters in
of dams based on the consequences of a
rivers common to both countries. The IJC
postulated failure of the dam. The British
has set up Boards to help them carry out
Columbia Dam Safety Regulation does not
their duties. Although the IJC has no direct
contain any specific technical details
mandate to deal with the regulation of dam
pertaining to dam safety engineering.
safety in British Columbia, certain operating
parameters of some dams in Canada which The latest version of the CDA Dam Safety
are on the affected rivers, are set by the IJC. Guidelines and associated technical
In British Columbia, some of these dams are bulletins, issued in 2007, provides guiding
on the Columbia, Kootenay and Osoyoos Rivers. principles for the management of dams
and the technical bulletins suggest
The Columbia River Treaty was signed
methodologies and procedures for use
by Canada and the USA in 1964 and is
by professional engineers as they carry out
an international agreement between the
dam analyses and safety assessments.
two countries to coordinate flood control
The CDA Dam Safety Guidelines were
and to optimize hydroelectric energy
developed by working groups of the CDA
production on both sides of the border. On
who represented a cross section of dam
the Canadian side of the border, the dams
engineering professionals across Canada.
under the Columbia River Treaty are Mica
The CDA Dam Safety Guidelines have no
Dam, Keenleyside Dam and Duncan Dam.
legal status and the British Columbia Dam
Operation of these dams is dictated by the
Safety Regulation takes precedence over the
requirements of the treaty. The Columbia
CDA Dam Safety Guidelines. However, the
River Treaty does not have any direct
CDA Dam Safety Guidelines are considered
influence on dam safety aspects of these
to be the principal technical document in
dams with the exception of the operation
Canada for conducting dam safety reviews.
of these dams.

APPENDIX B: MINING DAMS –
CONSIDERATIONS IN DAM SAFETY REVIEWS
INTRODUCTION registered professional engineer with APEGBC
and has the necessary education, training
Mining dams include structures that
and experience detailed in Section 5.0
impound contaminated water and/or
of these guidelines with particular
tailings or acid generating waste rock,
experience related to the design, operation
or water treatment sludge and require
and management of mining dams. In
additional considerations with respect to
addition, the qualified professional engineer
dam safety reviews. This appendix identifies
must have current knowledge of the Health,
the key considerations which include:
Safety and Reclamation Code for Mines in
construction, operations and closure;
British Columbia and the permit conditions
environmental; and regulations.
under the Mines Act applicable to the dam
Tailings dams and other mining dams can or dams being reviewed. The qualified
be evolving structures and this should be professional engineer should also have current
taken into account when establishing the knowledge of the CDA Dam Safety Guidelines,
appropriate frequency of dam safety reviews. the associated CDA technical bulletin for
A dam safety review should also be carried mining dams and other international dam
out when there is a substantive change in safety standards.
the operation of a mining dam, if there are
The CDA Dam Safety Guidelines (and the
significant changes occurring downstream,
associated bulletin for mining dams) focuses
or if applicable regulations change.
on the structural failure modes of a dam
The CDA Dam Safety Guidelines (CDA (sliding, overtopping, internal erosion,
Ref.1) includes a section that details the etc.). However, there are other failure
information that is required for completing modes associated with mining dams that
a formal dam safety review. The CDA is are non-structural in nature and related to
in the process of developing a Bulletin environmental protection.
for the Application of 2007 CDA Dam
Guidance on tailings dam design;
Safety Guidelines to Mining Dams – Design
management; operations, maintenance and
Considerations (CDA Bulletin Ref. 2). The
surveillance; and, closure are provided in
bulletin indicates that the requirements
guidelines developed by the ICOLD (Ref. 8
for a dam safety review, described in
and Ref. 9) and the Mining Association of
Section 5 of the CDA Dam Safety Guideline,
Canada (Ref. 10, Ref. 11 and Ref. 12).
are applicable to mining dams in the
“Operation Phase”. In addition, the mining
dams bulletin addresses aspects of dam
safety reviews that are relevant to closure
including “Closure – Transition Phase”,
“Closure – Active Care Phase” and “Closure
– Passive Care Phase”.
The dam safety review for mining dams
should be carried out by a qualified
professional engineer or multidisciplinary
team of professional engineers reporting to
the qualified professional engineer who is a

CONSTRUCTION, OPERATIONS • The Inflow Design Flood (IDF) should be
AND CLOSURE managed by providing storage within
the impoundment or through the
Mining dams are often constructed with a construction of temporary spillways to
“starter” dam and raised over the life of the route the flood. Adequate storage capacity
mine to store the waste products. The dams is required in the event of failure of
are also subject to on-going changes during diversion structures during the design
the life of the mine and over the long term event. The temporary spillways should
for closure conditions. The dam safety have adequate capacity to route the IDF.
review should consider the unique aspects
of the facility, which include, but are not • If decants are used they should operate
limited to the following: according to the design and there should
be adequate capacity for the design flood
Mining dam design sections vary from dams event.
constructed almost entirely of tailings to
conventional earth/rockfill dams. Some A very important design aspect of mining
of the unique aspects which could be dams is the objective of minimizing the long
considered include: term liability associated with closure of the
facility. Dam safety reviews are required for
•C
yclone sand dams: The cyclone sand both operating dams and closed dams and
should be suitable for placement and, if some of the unique considerations include:
required, compaction. Loose, saturated
cyclone sand susceptible to liquefaction • The dam design criteria (flood and
under seismic loading should not be seismic) should be appropriately updated
placed within the dam embankment. to reflect the increased risk of the long
term closure time period as outlined in
•U
pstream dams: Adequate segregation the CDA Mining Dams Bulletin.
of the spigotted tailings is required and
underdrains should be provided to control • The dam design should be amenable to
the phreatic surface to mitigate the closure or design measures should be
potential for static liquefaction. Adequate implemented during operations to reduce
density and/or drainage is required to the risks upon closure.
mitigate the potential for liquefaction • The development of new settlements
under seismic loading. downstream of the dam should be
considered as this could change the dam
Water management systems of tailings consequence classification.
facilities are constructed and managed to
contain mine contact (contaminated) water, • Long term geochemical actions that could
divert non-contact water and manage water lead to exceedance of the water quality
inflows and recycle of water to the process design components should be considered.
plant. Some of the unique considerations
could include:
•T
he water balance should be managed to
provide storage for operational water, and
seasonal inflows, while providing storage
for the Environmental Design Flood (EDF)
and freeboard.

ENVIRONMENTAL • Environmental flood containment. The
water balance of the impoundment
Mining dams typically store contaminated
should be assessed to assure that there is
water and/or solids. Consequently, the
adequate freeboard to store the EDF.
dam safety review needs to appropriately
consider if the dam is meeting the • For some facilities, dust can be generated
environmental objectives of its design. from tailings sand dams which can be a
Environmental design criteria should be public health and environmental concern.
clearly documented and should include the Accordingly, the dam safety review should
“allowable” seepage rate, the EDF and the assess if the dust mitigation measures are
water flow and water quality requirements meeting the design objectives.
for any release of surface water. The main In 2009, Environment Canada issued an
components that need to be assessed in Environmental Code of Practice for Metal
the dam safety review include, but are not Mines (EC Ref.3). This document provides
limited to, the following: a series of recommended environmental
•T
he properties of contaminants of practices pertinent to mining dams
potential concern. These could include throughout the life of a mining dam. The
parameters such as pH, metal and focus of the code of practice document
metalloid concentrations, total suspended is on metal mines (including uranium).
solids, etc. During mine operations the The document can be used to assist with
concentrations of certain parameters may defining the objectives and criteria for
increase due to recycling of water and mining dams with respect to environmental
input from leached mine rock. Unless protection requirements.
considered in the original design, the
increase in concentrations may require REGULATIONS
additional seepage mitigation or water
discharge/treatment facilities. The management and safe operation of
dams constructed for impoundments on a
•T
he efficiency of seepage mitigation. mine site is the responsibility of the owner.
This could include assessment of the Authorization to construct and operate
seepage rate and efficiency of seepage an impoundment and associated dams on
mitigation works, which may include: mine sites in British Columbia is provided
grout curtains, low hydraulic conductivity in a Mines Act permit issued by the Ministry
core zones or impoundment lining, of Energy and Mines. The permit includes
geomembrane or geosynthetic clay liners, conditions under which the impoundment
seepage interception ditches or seepage and dams are to be operated and managed.
pump-back wells, etc.
•W
ater releases and risks of water release.
Water releases can be via groundwater
or direct discharge. Monitoring of
groundwater wells downstream of the
facility provides an indication of potential
contaminant migration and can be used
to estimate and confirm potential seepage
rates. Tracking of parameters which
attenuate very little (such as sulphate)
provide an early indication of seepage
effects. Surface water releases must meet
site specific and/or regulatory discharge
water quality criteria, which may also
include allowable assimilative capacity of
the receiving environment.

The design, construction and operation of included as a permit condition and specifies
dams on a mine site in British Columbia are that dam safety reviews be completed by a
covered by regulations and requirements professional engineer in accordance with
under the Mines Act (Ref.4) and the the frequency provided in the CDA Dam
Health, Safety and Reclamation Code for Safety Guidelines. Dams on a mine site that
Mines in British Columbia (Code Ref.5). require a water licence are also subject to
The Health, Safety and Reclamation Code regulations under the Water Act (ref.6).
for Mines in British Columbia requires
A Memorandum of Understanding (MOU
that major impoundments, water
Ref. 7) specifies the responsibilities for
management facilities and dams be
the regulation of impoundments, dams
designed in accordance with the criteria
and water diversions on a mine site. The
provided in the CDA Dam Safety Guidelines.
individual and joint responsibilities for
Specific sections of the Health, Safety
the various impoundments and dams
and Reclamation Code for Mines in British
constructed on a mine site are shown in
Columbia require that long-term stability
Table C-1. The purpose of the MOU is to
of exposed slopes of major impoundments
define the role of the Ministry of Energy
meet the criteria provided in the CDA Dam
and Mines, the Ministry of Forests,
Safety Guidelines and that all permanent
Lands and Natural Resource Operations,
spillways be designed by a professional
and the Ministry of Environment in the
engineer in accordance with the CDA Dam
siting, design, construction, operation,
Safety Guidelines and installed prior to
maintenance, abandonment, reclamation
final abandonment of the dam. Although
and regulation of impoundments and
the current regulations do not specifically
diversions on a mine site, in order to protect
mention the requirement to carry out dam
the public, the environment, and the users
safety reviews this requirement is usually
of water in the affected watershed.
Table C-1: Regulatory Responsibility for Impoundments, Dams and Diversions on a
Mine Site
Type of Ministry of Energy Ministry of Joint
impoundment and Mines** Forests, Lands and responsibility
Natural Resource if water licence
Operations required
Tailings Storage
Facility √ √
Flooded
Impoundment √ √
Water Storage
Facility √
Sedimentation
Control Pond √ √
Sludge Pond √ √
Diversion Dams and
Channels √
Impoundment
requiring a water √
licence
** Additional requirements may need to be satisfied for facilities that are not checked under the responsibility
of the Ministry of Energy and Mines in the table above but are otherwise defined as “major dams” or “major
impoundments” as per the Health, Safety and Reclamation Code for Mines in British Columbia.

The Health, Safety and Reclamation Code tailings and water management facilities
for Mines in British Columbia includes and associated dams. A report, prepared
standards for the design, operation and by a qualified professional engineer and
closure of major impoundments, water following the Ministry of Energy and Mines
management facilities and dams. A major Guidelines for Annual Dam Safety Inspection
dam is defined as a dam used to store and Reports must be submitted to the chief
control water, slurry, or solids and has a inspector. The requirement for an annual
height at any point that exceeds 15 m or dam safety inspection is in addition to the
is between 10 and 15 m in height with a formal dam safety review that is required as
crest length that exceeds 500 m, a flood a condition of the permit.
discharge rate that exceeds 2000 m3/s or a
All major dams require an Operation,
reservoir capacity that exceeds one million
Maintenance and Surveillance Manual
m3, or any other dam so declared by the
that should specify the frequency for
chief inspector. A major impoundment
undertaking formal dam safety reviews.
is defined as an impoundment that has a
Major impoundments with a dam
maximum depth of material greater than
classification of high, very high or extreme
10 m at any point, or a maximum height
failure consequence during operation
of retaining dam or dike at any point
and closure also require an up-to-date
that exceeds 15 m, or is a storage facility
Emergency Preparedness Plan.
designed to contain more than one million
m3 of material or is constructed with dams A dam safety review is required based on
or dikes that contain more than 50,000 m3 the dam failure consequence classification
of fill, or any other impoundment or water determined for the dam and the frequency
management facility so declared by the specified in the CDA Dam Safety Guidelines
chief inspector. Section 10.5.3 of the Health, as shown in Table C-2. It should be noted
Safety and Reclamation Code for Mines in that these frequencies differ somewhat
British Columbia requires that a dam safety from those outlined in the British Columbia
inspection be completed every year for all Dam Safety Regulation.
Table C-2: Suggested Frequency for Dam Safety Reviews

(Reproduced from the CDA Dam Safety Guidelines)
Dam Classification frequency
Extreme Every 5 years
Very High Every 5 years
High Every 7 years
Significant Every 10 years
Low Note 1
Note 1. A dam safety review is not required for low

consequence dams. However, the consequences of
failure should be reviewed periodically, since they
may change with downstream development. If the
classification increases, a dam safety review is
required at that time.

ENGINEER OF RECORD Ref.7: BC Ministry of Environment, BC
Ministry of Energy and Mines, and BC
Mining dams often evolve over time with
Ministry of Forest Lands and Natural
a long and complex design, construction
Resource Operations. 2014. Memorandum
and operational history. Also, there can
of Understanding – Regulation of
be frequent changes among the mining
Impoundments and Diversions on a Mine Site.
company personnel that are responsible
[empr.gov.bc.ca/Mining/Permitting-
for the safety of the dams and the EOR
Reclamation/Geotech/Documents/
provides the continuity between personnel.
MOU_Impoundments_Diversions.pdf]
In addition, ownership changes can
result in changes to staff responsible for Ref.8: ICOLD (2012) International
dam safety. The concept of the EOR is an Commission on Large Dams: Sustainable
important consideration for mining dams Design and Post-Closure Performance of
as there can often be several engineers and Tailings Dams. Preprint Bulletin 153.
engineering firms involved in the design [icold-cigb.org/GB/Publications/
and construction of a single mining dam publications.asp]
over its life and it may not be clear who the
Ref.9: ICOLD (2011) International
EOR is for the dam. For each dam, the EOR
Commission on Large Dams: Improving
should be identified by the owner.
Tailings Dam Safety – Critical Aspects
The qualified professional engineer carrying of Management, Design, Operation and
out the dam safety review should consult Closure. Bulletin 139. [icold-cigb.org/GB/
with the EOR through interviews or Publications/publications.asp]
participation in workshops.
Ref.10: MAC (2011) Mining Association
of Canada: Developing an Operation,
REFERENCES Maintenance and Surveillance Manual for
Ref.1: CDA. 2007. Dam Safety Guidelines. Tailings and Water Management Facilities.
[imis100ca1.ca/cda/CDA/Publications_ [mining.ca/resources/guides-manuals]
Pages/Dam_Safety_Guidelines.aspx] Ref.11: MAC (2011) Mining Association
Ref.2: CDA. Bulletin: Application of 2007 of Canada: Second Edition. A Guide to the
Dam Safety Guidelines to Mining Dams – Management of Tailings Facilities.
Design Considerations. (Draft in progress) [mining.ca/resources/guides-manuals]
Ref.3: Environment Canada. 2009. Ref.12: MAC (2011) Mining Association of

Environmental Code of Practice for Metal Canada: Audit and Assessment of Tailings
Mines. Issued by the Mining Section, Facility Management. [mining.ca/resources/
Environmental Stewardship Branch, guides-manuals]
document 1/MM/17.
Ref.4: Mines Act, RSBC. 1996 c. 293
(Updated to 2007).
Ref.5: BC MEMNG. 2008. Health, Safety,
and Reclamation Code for Mines in British
Columbia. British Columbia Ministry of
Energy, Mines, and Petroleum Resources.
[empr.gov.bc.ca/Mining/HealthandSafety/
Documents/HSRC2008.pdf]
Ref.6: Water Act, RSBC.1996 c. 483.

APPENDIX c: DAM SAFETY REVIEW
ASSURANCE STATEMENTS
C1 - Dam Safety Review Assurance Statement
for Dams Regulated under the BC Dam
Safety Regulation
C2 - Dam Safety Review Assurance Statement
for Dams Regulated under the Mines Act

APPENDIX C1: DAM SAFETY REVIEW ASSURANCE
STATEMENT – WATER RESERVOIR DAMS
Note: This Statement is to be read and completed in conjunction with the current APEGBC Guidelines for Legislated
Dam Safety Reviews in BC, (“APEGBC Guidelines”) and is to be provided for dam safety review reports for the purposes
of the British Columbia Dam Safety Regulation, B.C. Reg. 44/2000 as amended. Italicized words are defined in the
APEGBC Guidelines.
To: The Owner(s) Date:__________________________
Name
Address
With reference to the British Columbia Dam Safety Regulation, B.C. Reg. 44/2000 as amended.
For the dam:
UTM (Location):________________________________________________________________________________
Located at (Description):_________________________________________________________________________
Name of dam or description:_____________________________________________________________________
Provincial dam number:_ ________________________________________________________________________
Dam function:__________________________________________________________________________________
Owned by:_ ____________________________________________________________________________________
(the “Dam”)
Current Dam classification is:
Check one
Low
Significant
High
Very High
Extreme
The undersigned hereby gives assurance that he/she is a qualified professional engineer.

I have signed, sealed and dated the attached dam safety review report on the dam in accordance with the APEGBC
Guidelines. That report must be read in conjunction with this Statement. In preparing that report I have:
Check to the left of applicable items (see Guideline Section 3.2):
_ ___ 1. Collected and reviewed available and relevant background information, documentation and data.
_ ___ 2. Understood the current classification for the dam, including performance expectations.
_ ___ 3. Undertaken an initial facility review.
_ ___ 4. Reviewed and assessed the dam safety management obligations and procedures.
_ ___ 5. Reviewed the condition of the dam, reservoir and relevant upstream and downstream portions of the river.
_ ___ 6. Interviewed operations and maintenance personnel.
_ ___ 7. Reviewed available maintenance records, the Operations, Maintenance and Surveillance (OMS) Manual
and the Emergency Preparedness Plan.
_ ___ 8. Confirmed proper functioning of flow control equipment.
_ ___ 9. After the above, reassess the consequence classification, including the identification of required dam
safety criteria.
_ ___ 10. Carried out a dam safety analysis based on the classification in 9. above.
_ ___ 11. Evaluated facility performance.
_ ___ 12. Identified, characterized and determined the severity of deficiencies in the safe operation of the dam and
non-conformances in dam safety management system.
_ ___ 13. Recommended and prioritized actions to be taken in relation to deficiencies and non-conformances.
_ ___ 14. Prepared a dam safety review report for submittal to the regulatory authority by the owner and reviewed the
report with the owner.
_ ___ 15. The dam safety review report has been reviewed in meeting the intent of APEGBC Bylaw 14(b)(2).
Based on my dam safety review, the current dam classification is:
Check one
Appropriate
Should be reviewed and amended
I undertook the following type of dam safety review:
Check one
Audit
Comprehensive
Detailed design-based multi-disciplinary
Comprehensive, detailed design and performance

I hereby give my assurance that, based on the attached dam safety review report, at this point in time:
Check one
The dam is reasonably safe in that the dam safety review did not reveal any unsafe or unacceptable conditions in
relation to the design, construction, maintenance and operation of the dam as set out in the attached dam safety
review report.
The dam is reasonably safe but the dam safety review did reveal non-conformances with the British Columbia Dam
Safety Regulations as set out in section(s) ____ of the attached dam safety review report.
The dam is reasonably safe but the dam safety review did reveal deficiencies and non-conformances as set out in
section(s) ____ of the attached dam safety review report.
The dam is not safe in that the dam safety review did reveal deficiencies and/or non-conformances which require
urgent action as set out in section(s) ____ of the attached dam safety review report.
Name Date
Signature
Address
Telephone (Affix Professional Seal here)
If the qualified professional engineer is a member of a firm, complete the following:
I am a member of the firm _ _____________________________________________________________________________

and I sign this letter on behalf of the firm. (Print name of firm)

APPENDIX C2: DAM SAFETY REVIEW
ASSURANCE STATEMENT – MINING DAMS
Note: This Statement is to be read and completed in conjunction with the current APEGBC Guidelines for Legislated
Dam Safety Reviews in BC (“APEGBC Guidelines”) and is to be provided for dam safety review reports in accordance
with permit conditions and the Health, Safety and Reclamation Code for Mines in British Columbia or the British
Columbia Dam Safety Regulation, B.C. Reg. 44/2000 as amended (refer to Table C-1 in Appendix C). Italicized words
are defined in the APEGBC Guidelines. An assurance statement is required for each dam that is assessed
To: The Owner(s) Date:__________________________
Name
Address
With reference to the permit conditions and the Health, Safety and Reclamation Code for Mines in British Columbia or the
British Columbia Dam Safety Regulation, B.C. Reg. 44/2000 as amended (refer to Table C-1 in Appendix C).
For the dam:
UTM (Location):________________________________________________________________________________
Located at (Description):_________________________________________________________________________
Name of dam or description:_____________________________________________________________________
Provincial dam number:_ ________________________________________________________________________
Dam function:__________________________________________________________________________________
Owned by:_ ____________________________________________________________________________________
(the “Dam”)
Current dam classification is:
Check one
Low
Significant
High
Very High
Extreme
The undersigned hereby gives assurance that he/she is a qualified professional engineer.

I have signed, sealed and dated the attached dam safety review report on the dam in accordance with the APEGBC
Guidelines. That report must be read in conjunction with this Statement. In preparing that report I have:
Check to the left of applicable items (see Guideline Section 3.2):
____ 1. Collected and reviewed available and relevant background information, documentation and data.
____ 2. Reviewed the environmental objectives for the materials stored in the impoundment and related design
requirements.
____ 3. Understood the current classification for the dam, including performance expectations.
____ 4. Undertaken an initial facility review.
____ 5. Reviewed and assessed the dam safety management obligations and procedures.
____ 6. Inspected the condition of the dam, impoundment area and relevant areas upstream and downstream
of the facility.
____ 7. Interviewed operations and maintenance personnel.
____ 8. Interviewed the Engineer of Record.
____ 9. Reviewed available maintenance and operating records, the Operations, Maintenance and Surveillance
(OMS) Manual and the Emergency Preparedness Plan.
____ 10. Confirmed proper functioning of mine waste and water management systems and environmental
control systems.
____ 11. After the above, reassessed the consequence classification, including the identification of required dam
safety criteria.
____ 12. Carried out a dam safety analysis based on the classification in Item 11.
____ 13. Evaluated facility performance and conformance with design basis and operating criteria.
____ 14. Identified, characterized and determined the magnitude of deficiencies in the safe operation of the dam
and non-conformances in the dam safety management system.
____ 15. Recommended and prioritized actions to be taken in relation to deficiencies and non-conformances.
____ 16. Prepared a dam safety review report for submittal to the regulatory authority by the owner and reviewed the
report with the owner.
____ 17. The dam safety review report has been reviewed in meeting the intent of APEGBC Bylaw 14(b)(2).
Based on my dam safety review, the current dam classification is:
Check one
Appropriate
Should be reviewed and amended

I undertook the following type of dam safety review:
Check one
Audit
Comprehensive
Detailed design-based multi-disciplinary
Comprehensive, detailed design and performance
I hereby give my assurance that, based on the attached dam safety review report, at this point in time:
Check one
The dam is reasonably safe in that the dam safety review did not reveal any unsafe or unacceptable conditions
in relation to the design, construction, maintenance and operation of the dam as set out in the attached dam
safety review report.
The dam is reasonably safe but the dam safety review did reveal non-conformances with the regulatory
requirements as set out in section(s) ____ of the attached dam safety review report.
The dam is reasonably safe but the dam safety review did reveal deficiencies and non-conformances as set
out in section(s) ____ of the attached dam safety review report.
The dam is not safe in that the dam safety review did reveal deficiencies and/or non-conformances which
require urgent action as set out in section(s) ____ of the attached dam safety review report.
Name Date
Signature
Address
Telephone (Affix Professional Seal here)
If the qualified professional engineer is a member of a firm, complete the following:
I am a member of the firm _ _____________________________________________________________________________

and I sign this letter on behalf of the firm. (Print name of firm)

APPENDIX D: DAM SAFETY REVIEW
BACKGROUND INFORMATION
A continuous set of design and service - Seismicity;
records provides a reliable basis for - Stability of structures;
evaluations and decisions regarding
possible unacceptable performance and - Design details (design sections,
potential dam safety improvements. foundation prep, instrumentation,
This appendix is intended to provide a etc.); and
general outline of the type of background - Reservoir rim assessment.
information that should be considered · As-built drawings;
while recognizing that the specifics around
· Construction and quality control;
background information including what
is relevant will vary depending upon · Equipment specifications;
the nature of the dam undergoing a dam · First reservoir filling data;
safety review. Careful judgment must be · Original consequence classification; and
used for the analysis and interpretation
of both primary and indirect sources of · Functional performance relative
information and data. The dam safety review to key capabilities and as-designed
report should state the origin of the data performance objectives.
used in the analysis and the assumptions • Annual and routine client dam safety
that have been made. inspections
•O
wner and Organizational Information · Annual or semi-annual inspection
·O
wner’s dam safety policy/management documents;
system; · Special inspection documents;
·O
rganizational charts and · Instrumentation records and
responsibilities; documents;
·A
pplicable regulations (water license, · Checklists (if not included in above); and
permits, orders); · Photographs and videos.
·P
urpose of structure (key capabilities • Operation of discharge facilities
and as-designed performance
objectives); and · Operations, Surveillance and
Maintenance Manual;
·O
perational obligations (laws,
regulations obligations and stakeholder - Operating parameters and procedures;
agreements). - Inflow forecasting;
• Design and construction records - Summary of critical, maximum and
· Design documentation; other important water levels;
- Pre-design/Conceptual design reports; - Emergency or unusual operations;
- Location and physiography; - Flow control systems;
- Site Investigations; - Testing and maintenance

requirements;
- Field and laboratory testing;
- Surveillance requirements;
- Geologic/hydrogeologic conditions;
- Instrumentation;
- Hydrology;
- Site communications; and
- Water quality;
- Site safety and security.

· Test records (annual, monthly, etc.); · Operating requirements – normal
· Inspection records; operations and operations during
floods and adverse weather conditions,
· Operational records; emergencies, discharge restrictions and
-T
he OMS Manual should be reviewed reservoir evacuation, flood forecasting,
as part of the dam safety review. It ice and debris management;
should provide pertinent information · Maintenance requirements –
for the site review, staff interviews and inspections, testing and supporting
discharge facilities testing. The OMS documentation including operating and
Manual is required under the British maintenance instructions, hydraulic
Columbia Dam Safety Regulation and and backup power information.
serves as a vital component of facility Component requirements, such as,
documentation. For mining dams the concrete structures, outlets, access
OMS Manual is required under the routes;
Health, Safety and Reclamation Code for
Mines in British Columbia. It should, · Surveillance Requirements – routine,
therefore, be critically reviewed in the periodic and enhanced surveillance
office and in the field by the qualified plans together with inspection
professional engineer and assessed as checklists, qualification of staff;
to whether the document is current · Instrumentation – objectives, listings,
(latest revisions, organizational charts, drawings, calibration requirements,
etc.), adequate, and understandable. reservoir level redundancy, data
As importantly, are the instructions management procedures;
in the OMS Manual being followed by · Site communications – modes, records,
operations and site staff (interviews). maintenance requirements;
-T
he OMS Manual should state the · Emergency Preparedness (may be a
classification and complexity of separate document) – response, training,
the dam and appurtenant facilities materials and equipment;
and clearly state the frequency
and requirements of inspections, · Security and public safety.
monitoring and testing. It should also • Dam Performance and Safety History:
include a surveillance plan which · Previous dam safety reviews or
considers the dam’s consequence, comprehensive inspection reports;
failure modes and performance
· Updated inundation studies and
indicators. The OMS Manual should
mapping;
include:
· Emergency Preparedness Plan;
·D
escription of facility, location, access
(access restrictions) and dam history; · Deficiency Investigations;
·O
wner description – Organizational · Dam safety improvements, repairs or
relationship between owner, operator, upgrades;
dam safety and other departments, site · Updated drawings; and
staff organization and qualifications; · Updated information (hydrological,
·L
egal requirements – Government seismic, structural, geotechnical).
regulations, discharge requirements,
downstream interests;
·A
s-built drawings and pertinent
documentation;
·K
ey and critical levels and expected
performance;

•O
ther owner information (generally • Potential updates to the original design
included in the OMS Manual): criteria may include (see Section 3.4.4
· Site location and access; changed conditions):
· Access restrictions; · IDF;
·T
raining/safety aspect for site access · Maximum Design Earthquake (MDE);
(or specific areas); · Water, ice, sediment;
· Site staff qualifications; and · Uplift and seepage;
· Site staffing schedule. · Undetected adverse foundation
•O
ther information and data sources conditions;
that may be available to the qualified · Construction defects;
professional engineer include: · Reservoir and Unexpected conditions;
·R
egional Dam Safety Officer or the Dam · Functional availability and reliability
Safety section in Victoria, B.C., or the objectives; and
geotechnical engineering section of the
British Columbia Ministry of Energy and · Risk-informed performance
Mines; expectations.
·L
arge and small scale topographic and • Additional considerations, changed
cadastral maps; conditions or increased knowledge may
include:
·M
aps that show existing and proposed
infrastructure, such as, transportation · Alteration to discharge capacity – due
routes, utilities, residential and to conversions of gates, settlement of
commercial subdivisions (information embankment or changes in available
from local approving authority); free board. Obstructions such as debris,
ice, landslides, debris flows or rockfall.
·A
irphotos of different years (historical Failure to operate due to power, control
to present) and scales; high-resolution or overtopping of gates. Inconsistencies
satellite imagery, and Light Detection and incompatibilities in procedures;
and Ranging (LiDAR) images that
can be also used for geological and · Foundation/Abutment problems –
geomorphological mapping and/or Undetected geological defects, such
topographical mapping; as, open fissures, erodible or soluble
materials, etc., have led to some notable
·T
errain maps, terrain stability maps, dam failures including Teton Dam (1976)
bedrock and surficial geology; where core fines were transported in the
·F
lood plain mapping and alluvial fan foundation. Excessive settlements can
mapping; occur due to hydrogeological changes in
·P
revious development, including the foundation or natural ground may
residential and non-residential, and be poorer than considered in design.
associated infrastructure; and Potential liquefaction should also be
considered; and
·S
eismic data including: seismic hazard
maps and reports; ground motion data,
seismic site class, and modal magnitude
values of the design earthquake.

·C
onstruction defects – Defects that • A comprehensive list of references
result in conditions not considered in presented by topic (general
design include inferior materials and studies, drawings, monitoring,
poor workmanship, particularly in equipment, etc.);
older dams. Defective joints, inadequate • Any expert reports;
foundation treatment and defective
drains have resulted in excessive uplift. • Photos and videos during construction
Construction interruptions (winter and under operation;
stoppages, etc.) can result in drying or • Reservoir bathymetry and hydraulic
freezing and creation of preferential balance (to be updated each 2 years and
seepage paths at different levels in after any major hydrological event);
the dam. Inadequate compaction • Executive summary of environmental
at abutments, conduits, and other impact and economical studies; and
interfaces. Instrumentation problems
• Names and phone numbers of persons to
associated with inadequate compaction
be contacted for each specific event.
or sealed lead trenches.
The “briefcase” should be placed under the
It is noted that ICOLD recommends that
specific responsibility of the dam owner
the management of dam documentation
and permanently updated particularly
include the preparation and updating at
for monitoring data analysis, periodic
regular intervals of a “briefcase” containing
reviews, repair or maintenance works and
all relevant information, such that it
bathymetry. The most convenient way for
is easily transportable in digital form
gathering, retrieving and updating dam
along with a hard copy of frequently used
documentation may be achieved using a
documents including:
geographical information system. It needs,
•S
ynoptic description of the dam and its however, a significant effort to build, and is,
appurtenant works; therefore, only justified at present for very
•M
ain drawings including layout, large dams.
excavation, geology, ancillary works, “Ensuring the long-term integrity and
foundation treatment, instrumentation, continuous availability of data and
hydro-electromechanical equipment; important documents is a critical issue,
•D
escription and justification of design considering threats associated with
options, updated according to adaptations fire, power outages, software changes
introduced during construction or with time, and hardware changes with
operation; time. Important considerations include
•H
istory of the dam since its first developing and maintaining reliable
impoundment, with a chapter on any back-up systems, regularly updating
issue or item requiring special attention; software file systems, and preserving data
and important documents in more than
•E
nd of construction reports, especially
one form (paper copies, electronic files,
those related to quality control;
including different types and methods of
•L
atest report on instrumentation data electronic files, etc.)”…, ICOLD B158.
analysis and site reviews;
•N
ote on any eventual large repair works
carried out or on hold;
• Maintenance instructions;

APPENDIX E: DAM SAFETY FIELD WORK
DAM REVIEWS a generalized outline of a field review
checklist developed by the province of BC
Visual review(s) focused on functional
(Dam Safety Section) can be downloaded
integrity, hazards, failure modes and failure
from the Ministry’s Water Management
mechanisms constitute an important and
Branch website http://www.env.gov.bc.ca/
necessary component of the dam safety
wsd/public_safety/dam_safety/
review field work by providing a qualitative
observation-based analysis of the condition The extent of a field review should be
of the structure and its surroundings. identified beforehand, but as a minimum
Anomalies in the condition and behavior of include:
the structure are most frequently identified • Upstream areas including reservoir slopes;
by means of visual recognition of features
• Abutment areas;
or changes. In this regard, it is beneficial to
carry out the dam safety review field review • Upstream slopes or faces of the dam,
with surveillance staff who can comment where visible;
on potentially important changes. The • Dam crest;
dam safety review field review should
• Downstream slopes or faces, and toe areas;
complement the routine inspections by
owner’s staff. The level of detail will depend • Spillway and stilling basin (includes flow
on the complexity of the site, consequences control equipment and power sources);
of failure, past performance, and other • Drainage systems and discharge points;
parameters. and
It is recommended that a checklist be • Areas downstream of the dam site that
prepared and utilized, based in part on the may be impacted in a breach.
surveillance checklist provided in the OMS Annotated drawings are useful for record
Manual, if this exists and adapted to the purposes and will facilitate follow up
conditions and potential failure modes of routine observations by site staff, such that
the facility. The completed checklist, along these can then be carried out in a consistent
with photographs and other information manner, identifying any changed
should be incorporated into the field review conditions. In addition, it is advisable to
report and should describe all relevant site look at the same feature or anomaly from
conditions, at the time of the field work. different perspectives or angles; this can
The format of the field review report will reveal other important aspects that might
include adequate documentation of the otherwise go overlooked.
inspection to facilitate review and follow-
up; typically the field review report will be An understanding of the facility, its related
provided as an appendix to the dam safety potential structural and functional failure
review report. However, if significant dam modes and the observed conditions
safety concerns are identified at the time of (symptoms or maintenance issues) is
the field review, the field review report can an integral part of the dam field review.
be used to facilitate early action. Besides observing functional performance
and observing any visible anomalies,
Observations (notes, measurements, visual reviews should mainly focus on the
checklist entries, photos or video records) identification of the following processes,
should be documented in a systematic their causes, and their consequences;
and consistent manner. Review checklists most importantly changes that might
should be comprehensive and include all be observed for different functions,
components to be reviewed with prompts components or areas of the facility:
or notes for follow up. For reference,

•S
eepage – Indicator of adverse “Functioning of these outlets and of gated
conditions. Identification, monitoring spillways depend primarily (but not
and assessment of the quantity and only) on the performance of their moving
clarity of seepage or change in seepage parts, are generally essential for safe dam
rate or turbidity, wet areas or change in operation. It is vital for dam safety that
vegetation pattern; these facilities can be operated – opened
•D
isplacements and deformations – and closed – under all circumstances
Indicators of dam stability. Rate of whenever needed. It is vital too that the
displacement; gates remain as they are under all other
circumstances. Malfunctioning can lead
•C
racking – Indicator of stability and to disastrous accidents as evident from
impermeability. Extent, new or change in literature. To ensure that the facilities will
opening; and operate reliably and safely, an appropriate
•D
eterioration – Indicator of erosion, program for checking and testing them is
weathering and potential clogging of indispensable.”
drainage measures.
Testing of gates and valves, together with
(Further information is provided in review of valve chambers, accessible
ICOLD B154). sections of low level outlets, outlet channels
Changed conditions will be difficult to and energy dissipation should be carried
recognize for the qualified professional out at a reservoir water level as high as
engineer unless he/she is accompanied by possible. Review of those parts which are
the dam owner’s staff who carry out the under water during normal operation
routine or annual inspections. Detailed can be carried out by divers with video
questions related to the above issues and equipment, when stoplogs are installed,
potential changes will assist. or when/if the reservoir is emptied in the
course of flushing out sediments; however,
this information should be reviewed as part
TESTING OF DISCHARGE FACILITIES of the dam safety review.
The dam safety review field work will
The normal power supply as well as the
include review and, if possible, testing of
emergency power system should be
all discharge facilities such as spillways and
utilized for gate operation. If foreseen,
low level outlets. All equipment required
manual operation should also be tested
for safe discharge of floods must be in place
and reviewed onsite. If gates or valves
and well maintained such that it operates
can be operated from remote control
reliably. The field review should, in part,
centres, the tests should include checks of
ascertain the capability and availability of
communication between control centre
the operators assigned to the dam to ensure
and site. Weak points could be identified by
that discharge facilities can be operated
analyzing the system and testing it as close
in a timely manner. The dam safety review
to reality as possible. It is advisable to create
should also consider their normal hours of
separate checklists for these field reviews
operation, reaction time, potential rate of
and tests. In general, the field reviews and
reservoir rise under large floods and access
tests should be carried out by the personnel
under all weather conditions which may
familiar with the facilities and their history.
be challenging in many areas of British
Columbia. Operator training, operator
authority and staff availability are some of
the pertinent questions to be asked on site.

Reliable power supply is crucial to the INSTRUMENTATION
safety of most dams as is access to the
The dam safety review field work will include
control equipment and emergency lighting.
field review (discussions with staff) of the
Operations or mis-operation of discharge dam monitoring system, in order to develop
facilities including failure to discharge an understanding of the instrumentation
sufficient water, failure to maintain and monitoring system, if present. The
discharge gates is a hazard to dam safety. dam monitoring system should provide
It is essential to have adequate operational for effective monitoring of the behavior
rules fully documented in the OMS Manual of a dam and its foundation subjected to
that will result in safe passage of the design the applied loading conditions in order
flood. Testing of gates periodically or after to detect any signs of abnormality and
unusual conditions such as earthquakes to take action promptly. The analysis of the
ensure jamming has not resulted is crucial obtained data also gives an appreciation of
as is power supply and remote control the dam’s behavior.
and monitoring, if appropriate. Questions
The main parameters that are usually
directed to staff regarding this issue should
monitored for embankment and concrete
be part of the field work.
dams, including their foundations,
encompass seepage (and turbidity), pore
DEBRIS MANAGEMENT and uplift pressures, displacements and
Debris management is critical for many cracking. This provides for quantification
dams and reservoirs in British Columbia of these parameters over time and
as debris blockage can significantly confirmation against readings observed
reduce the discharge capacity of the outlet during the field work.
facilities. Many areas in British Columbia The management of data, including
are situated in heavily forested areas with all procedures beginning with the data
steep topography and are subject to high acquisition and ending in the data analysis,
winds and high levels of precipitation. interpretation and reporting is included
Additionally, logging activities can result in the dam safety review under dam safety
in a significant amount of debris entering analysis. However, it is worth reviewing
the reservoir. this information on site with staff familiar
The containment of reservoir debris must with the instrumentation and data
be managed so that the safety of the dam trends, as data anomalies may be due to
is not impacted. Dam safety review field problematic installations which staff are
reviews should be cognizant of this hazard familiar with. Data acquisition, validation,
and include observations and questions storage, and analysis are all important
to site staff regarding history of debris steps in data analysis. The adequacy of
accumulation at the dam, frequency of the monitoring system including data
debris removal, adequacy of containment acquisition, performance objectives,
booms, potential levels of debris design and functionality, life expectancy
accumulation along the shoreline and and maintenance requirements should
potential for sudden influxes of debris be addressed in the dam safety review. In
from slides or debris flows under high order to provide prompt information,
levels of precipitation. The potential instrumentation must be monitored on
impacts of both floating and submerged a regular schedule, and the data must
debris should be assessed. be reduced plotted and interpreted by
qualified staff on a regular basis. A range of
values indicating normal behavior should
be established for all instrumentation and

procedures for implementing appropriate STAFF INTERVIEWS
actions in the event that instrumentation
Generally staff interviews are held on-site
readings fall outside the normal range.
and in conjunction with the field review
work to provide the qualified professional
COMMUNICATIONS engineer with further information and
Transmission of data and communication insight into (i) operating and maintenance
to and from the dam site is also important issues or incidents; (ii) staff conformance to
to safety of the dam, worker safety and vital procedures; (iii) operating authority under
communications should be tested as part of unusual conditions; (iv) equipment or
the dam safety review field work. If the lines system issues; (v) dam performance; (vi) the
of communication between site and control general level of training and knowledge of
centre are redundant (landlines, cell, VHF), the staff; (vii) staff familiarity with the river
all modes should be tested. However, it system; (viii) the presence of other dams on
should be noted that the availability of the system, the nature of their operations,
public networks may be insufficient in the and any coordination or integration issues;
case of extraordinary events and tests on a (ix) any public safety issues; and (x) other
quiet sunny day may not be representative stakeholders’ interests.
for emergency situations. Weak points in Site staff should have an appropriate level
the system and potential for redundancy of knowledge and familiarity with:
should be reviewed.
• OMS Manual;
Communication between persons requires
• Emergency Preparedness Plans;
not only reliable communication lines but
also updated telephone numbers available • Instrumentation & Monitoring Protocols;
when and where they are needed. Safe • Discharge facilities & Operations;
communication also needs persons who are • Responsibilities; and
familiar with the situation and who know
exactly what to do. Confirmation with site • Training.
staff regarding this issue, should be part
of the information obtained from the dam
safety review field work.

APPENDIX F: SOCIETAL AND REGULATORY
PRINCIPLES
The nature, form and focus of any analysis principles that define these contextual
should be fit for the purpose for which factors and their relationships.
the results will be interpreted and used.
Against this background, the following
While required for regulatory purposes,
“Hierarchy of Principles” provides a model
the results of dam safety reviews have
for cascading downwards from the broadly
several purposes and are of interest to
based principles of a democratic society
several quite different groups and entities
through the various constitutive societal
including; the general public; any members
arrangements that govern the purposes
of the public who would be impacted by
and the professional practice of dam safety
operational activities at, or failure of, a dam;
reviews and dam safety analysis.
governments and regulatory authorities;
emergency services and responders; 1. Societal and Regulatory Principles
dam owners and dam operators; qualified a. Statutory, Legal and Regulatory
professional engineers and APEGBC; Principles
the insurance industry; financing
2. Engineering Principles
organizations; and non-governmental
organizations including environmental 3. Business Principles
groups and public interest groups. These
4. Principles of Engineering Practice
“interest groups”, while expected to have
a. Principles of Dam Safety Assessment,
different objectives and alternatives can
Reviews and Management
be broadly grouped into three categories
i. Principles of Dam Safety Analysis
(with sub-categories as appropriate):
• Societal The basis for this hierarchical principles
model is as follows:
·L
aws and regulations (which frame
societal expectations) Societal and Regulatory Principles
·P
rofessional engineering practice and provide the overarching framework to
licensing achieve the objectives of government
on behalf of its citizens. Safety
·P
ublic protection and emergency regulation by government arises in
management this context with respect to striking
• Owner and Business a balance between market forces and
·P
urpose and objects of dam (short, protection. “Safety regulation entails
intermediate and long term) the regulation of risk to people, property,
the environment and the wider social
· Financing and insurance economy that arises from various human
· Market and commercial factors and industrial endeavours. It is the nature
•A
ffected individuals, groups and of risk that, frequently, those who create
non-governmental organizations the risk do not bear its consequences
nor its wider costs. So the market does
Dam safety analysis is set within the context not function properly as a distributive
of a dam safety review which is required by mechanism. The State must intervene
British Columbia Dam Safety Regulation, to regulate risk. Regulation of risk is
but which cannot be completed without about making trade-offs. Trade-offs
consideration of these contextual factors. between different risks; between risks
Principles for dam safety analysis can be to some individuals or groups, and risks
considered to reside within the corpus of

to others; between costs and benefits.
In doing so, the state’s regulator has
to confront some basic issues: most
notably, the need for economic, social and
technological progress compared with
“zero risk” or “guaranteed safety”. The
regulator has to assert the propositions
that risk is a necessary part of the human
condition; that progress often depends
both on incurring risk and on learning
from failures (that is, accidents); that
risk must be controlled but cannot in
most circumstances be eliminated; that
control of risks must – in the interests of
technological development and societal
progress – move public opinion from
focusing on what is acceptable to what is
tolerable; and that ‘safe enough’ is the goal
to be striven for in design, engineering and
risk management.” (Bacon, J. 1999)

APPENDIX G: ELEMENTS OF DAM SAFETY
ANALYSIS
The considerations which need to be Hazards:
addressed when carrying out a dam safety
Hazards can be considered to be external to
analysis so as to meet the intent of the 11
the dam and reservoir system or internal to
concepts provided in Section 3.5.4 are
the system.
provided below.
• External hazards (outside the control
These formal considerations are offered to of the dam owner) such as floods,
support a dam safety analysis being carried earthquakes, reservoir environment
out in a manner which meets the intent hazards, and human agency.
of addressing the hazards/threats to the
safe functioning of a dam in an appropriate • Internal hazards (within the control of
fashion. the dam owner) such as design errors;
construction flaws, maintenance
•H
azards, include both external hazards arrangements, operating procedures, etc.
and internal hazards due to the dam
and its operation. External hazards The natural hazard environment of British
include natural hazards, including Columbia is exceptionally challenging,
meteorological, seismic, and landslide and there are some significant differences
and debris disturbances; and human between operating environments of dams
agency (terrorism, vandalism, etc.) across the Province.
that are “external” to the dam and the External hazard type
actions of which are outside the control
of the dam owner. Internal hazards are • Meteorological events.
within the control of the owner through · Floods, intense rain events (causing
the design, construction, maintenance local erosion, landslides, etc.),
and operational, and functional fault temperature extremes and the effects of
management of the dam. ice, lightning strikes and wind storms.
•F
ailure modes; specifically the various • Seismic events.
ways that dam failure processes manifest · Natural and those caused by economic
themselves. activity such as mining or even reservoir
•F
ailure effects; (as opposed to failure induced seismicity. The fact that
consequences), refer to the end physical areas without active seismicity can be
state of the dam during and after the disturbed by distant earthquakes should
operation of the failure mechanism. not be ignored.
•C
onsequences of functional failure of • Reservoir environment.
the dam. · Includes all reservoir rim features
including upstream dams, slopes around
the reservoir, overhead off spillways,
etc. that pose a threat.

·R
eservoir environment also includes • Hydraulic structures: All water
any deleterious substances, or conveyance structures required to direct
burrowing or other animals, that can water around or through the dam in a
affect the physical performance of the controlled way.
dam. · Typically, spillway structure, low level
• Terrorist attacks and vandalism. outlet structure and power water
· I ncluding vandalism and sabotage passages (canals and penstocks etc.)
by various groups ranging from local • Mechanical and Electrical sub-systems:
disaffected individuals, through All mechanical and electrical equipment
domestic terrorism and international and machinery required to control the
terrorism. reservoir level.
Internal hazard type · This will typically include all
mechanical and electrical subsystems
• Errors and omissions in the design of the
and controls at the dam site and, in the
dam and water conveyance structures
case of remotely controlled dams, the
including inadequate consideration of the
remote control centre. The definition
performance of the reservoir rim and
of the system boundary will include the
upstream dams.
boundary around the control systems.
• Construction errors or design
• Infrastructure and Plans: The term
compromises to accommodate natural
“infrastructure” may be used to describe
or imposed deviations from the design
all physical infrastructure and equipment
assumptions.
necessary for the collection of data
• Maintenance procedure errors where and information required to verify the
maintenance requirements are not fully performance adequacy of the dam. The
defined at the term “plans” is used to describe all of
design stage. the “non-physical” dam safety activities
• Errors and omissions in the development necessary to support dam safety, including
and maintenance of operating rules or the design, construction maintenance
means of verifying adequate operation and implementation of all operating
(e.g. infrastructure problems and safety procedures that form part of
with water level recorders). the engineering design of the dam and
safety system.
The internal hazard types are further
subdivided into “sources”: · The “infrastructure” will include all
instruments and its physical supports.
Internal hazard type sources It will also include access roads, audits,
• Water barrier: All elements retaining portals, etc. required for siting and
or interfacing with the body of water reading the instruments.
including the main dam, any concrete · The “plans” will include all of the
spillway structure with water retaining engineering design of all operating
functions, saddle dams, etc. orders, maintenance strategies and
·S
pillway gates that function as water plans, surveillance procedures and the
retaining subsystems form part of the emergency plans, all of which form part
water barrier. of the engineering design. “Plans” also
includes all forecasts such as inflow
forecasting.

· In general, if some form of additional Typically, conveyance failure modes are
infrastructure or a plan (especially if numerous, more obscure and less well
human activity is involved) is required defined than the containment failure
to ensure adequate performance of the modes of a dam, and typically involve
water barrier, the hydraulic structures the materialisation of internal hazards
or the mechanical/electrical system including management and procedural
with respect to any failure mode or hazards.
functional failure characteristic, then
Conveyance failure mode
infrastructure/plans will form a hazard/
failure mode pair. • Loss of control of the flows through and
around the dam.
Failure Modes:
Combinations of Hazards and
A failure mode describes how element Failure Modes:
or component failures must occur to
cause loss of the sub-system or system It is now recognized that dam safety analysis
function; specifically the containment that considers natural hazards such as
and conveyance functions. In this regard, floods and earthquakes separately is non-
failure modes are not unique features of conservative from a safety perspective.
the dam but artefacts of how the functions This is particularly the case if the sole
of the dam are determined in design and focus of the dam safety analysis is restricted
represented and modelled in the dam to the traditional consideration of only
safety analysis. the Probable Maximum Flood and/or the
Maximum Credible (Maximum Design)
Two general containment failure mode Earthquake taken in isolation.
categories can be described for dams and
while these categories are often too general The results of the hazards and failure
for definitive analysis of the safety of a dam, modes identification process may be
they provide a basis for structuring the represented in various ways. One such way
analysis and for explaining the results of is to graphically represent all of the safety
the analysis. At a very general level, there management measures in place at a dam
are two containment failure modes, dam in graphical form such as in a “fault tree”
overtopping and dam collapse. diagram2, or in the form of the fault tree
representation such as Hazards and Failure
Overtopping failure mode Modes matrix form presented on the
• Inadequate freeboard leading to the flow BC Government Dam Safety website.
of water over the crest of the dam in a
Consequences of Functional Failure
manner not intended or provided for in
of a Dam:
the design, construction, maintenance
and operation of the dam. The British Columbia Dam Safety Regulation
includes a 5-tier dam failure consequence
Collapse failure mode
classification scheme for dams which aligns
• Inadequate internal resistance to the the consequence classification of British
hydraulic forces applied to the dam, Columbia dams with the 2007 CDA Dam
foundations and abutments while being Safety Guidelines thus ensuring British
hydraulically operated in accordance with Columbia’s dam safety requirements
the design intent. are consistent with the 2007 CDA Dam
Safety Guidelines.
2
ICOLD, B154 (2012)

The consequences of functional failure Because of the broad range of
of a dam will typically be different for the considerations involved, consequence
containment and conveyance functions. analysis is a multidisciplinary endeavour,
Since the functions are not independent of which has many analytical components
each other, loss of the conveyance function that are outside the realm of engineering.
may result in loss of the containment Typically, the engineering analysis pertains
function with the same ultimate loss. to modelling:
Dam failure consequence analysis involves • Reservoir operation;
developing a model of the reservoir, its • Formation of the breach in the dam;
operations and the region downstream • Characteristics of the dam breach
of the dam and then analyzing the flooding; and
effects of deviations in the water
conveyance functions of the reservoir • Damage state and magnitude of the loss
operations model. in the affected areas downstream.
The complexity of the model and the extent From an analysis perspective, dam breach
of the modelling endeavour will vary from consequences can be broadly considered to
one situation to the next depending on fit into two main categories:
the extent of the dam breach inundation, • Direct consequences attributable to
and the demographics and land use of contact with the flood waters; and
the area affected by the flood. The system • Indirect consequences that arise as a
boundary may be limited to the extent of result of the direct consequences.
the inundation or it might be larger if wider
environmental, social and economic issues Typically, direct consequences, which are
are considered. the focus of this chapter, are divided into
three categories:
As is the case with analysis of functional
failure, the level of the modelling effort will • Life safety;
also depend on the degree of resolution • Economic and financial; and
required by the dam safety analysis as • Environmental impact.
determined at the outset of the dam
safety review. In keeping with the iterative The following boundaries apply to this
nature of the dam safety analysis process, categorization (model):
it is generally appropriate to begin with • Public safety including life safety
a relatively coarse representation of the considerations that apply to loss of life,
downstream area, moving to more refined physical injuries and emotional trauma
modelling techniques as the need arises. caused by direct contact with flood
waters.
Typically, functional failure consequences
of interest will include: • Economic losses pertain to all third party
economic impacts whereas financial
• Threats to public safety;
losses pertain solely to the dam owner.
• Environmental degradation;
• Environmental degradation refers to
• I nfrastructure and property damage and environmental losses that occur during
losses; the flood event, with collateral losses of
•S
ocio-economic impacts, including habitat that impact migratory species
political and public perception issues; and being considered as indirect losses.
• Owner’s reputation and financial integrity.

Typically the physical entities and objects required for the functions of the dam and
considered include: reservoir. The functional performance and
• People, buildings; resilience pertain to the various processes,
products and services that the dam is
• Structures and infrastructure; intended to provide. Specifically, the dam
• Animals, fish and wild life species; and is intended to retain the stored volume
•H
abitat objects such as trees, and to pass all flows through and around
landscapes, etc. the dam in a controlled manner. In simple
terms, the dam has containment and
The analysis should state the considerations conveyance functions in support of one or
involved in considering the dynamics of more hydraulic processes. The conveyance
releases from dams and reservoirs and flows functions can be further subdivided into
and the interaction with affected entities diversion flows for productive purposes
and objects. Specific details with respect to such as power production or irrigation, and
the interactions between people and flows release flows where by the water is passed
should be provided. directly from upstream to downstream for
Consideration of Functional Integrity safety, environmental or social purposes.

of a Dam as Part of a System The range of the volumes of water to be

stored as divided into “live storage” and
In recent years, it has become clear that it “dead storage”, the rate of change of storage,
is necessary to consider the contributions the rate at which water is diverted and
that operational disturbances present as a the rate at which water is passed directly
hazard to a dam that should be taken into downstream are all interrelated and must
account in a dam safety review. Essentially be considered throughout the dam safety
the dam/reservoir/production unit system analysis process.
transforms inflows into the reservoir from
rainfall and runoff that are often considered The dam, when considered in these general
as being random natural processes, into terms performs up to three fundamental
controlled outflows, while delivering goods functions; water storage (Store) for
and services that are of benefit to society. future use, water passage (Pass) to fulfill
immediate downstream demands including
The dam safety review draws conclusions as the vitally important safety function, and,
to the structural performance of the dam water diversion (Divert) for alternative
to withstand the forces that are applied to productive purposes (Figure 7).
it and the resilience of the dam to maintain
the structural support and integrity
Figure 7: Fundamental Functions of the System
Store
Divert Lake “A”
Dam “A”
Pass

The engineering of dams and reservoirs to satisfy downstream production needs.
involves designing a system to transform In schematic terms this process can be
essentially random inflows into controlled illustrated as in Figure 8. Analysis of the
outflows passed either by means of performance of these functions is central to
diversion of flows for production the dam safety analysis.
purposes or for passage around the dam
Figure 8: Containment of Inflows and Controlled Conveyance of Flows
Gate Demand/Response
Discharge Structure
Hydrology Reservoir shaping
Receptor Control apparatus Effector
Reservoir Gate Dissipator

Chute
Routing Weir
FEEDBACK
Precipitation modelled as
a ‘random’ event in time
R(t)
Reservoir SPILLWAY MODEL
Inflows
Outflow control
Time (t)
Runoff Volume
Res. El. Controlled outflows

WATERSHED MODEL h(t) ‘Predicted’ Reservoir
Elevation
Time (t) Time (t)

RESERVOIR MODEL
DESIGNED OUTFLOW

Consideration of Uncertainty One implication of the effects of
uncertainty is that a dam might be
Uncertainty pervades all aspects of dam
determined not to be reasonably safe
safety analysis, and the qualified professional
because of the prevalence of knowledge
engineer should include a statement in
(epistemic) uncertainty that can be reduced
the practice analysis of the uncertainties
by means of accepted methods such as
that are identified in the dam safety
monitoring or surveillance. However,
review. The uncertainties are of two kinds;
the nature of uncertainty is such that
inherent randomness otherwise known
the qualified professional engineer might
as aleatory uncertainty; and knowledge
deem a dam to be reasonably safe with the
or epistemic uncertainty. The dam safety
condition that certain uncertainties are
review would be expected to identify the
reduced within a reasonable period of time.
relative contributions of these two types of
Such consideration is required to avoid
uncertainty to the total uncertainty, and to
declaring a dam that is actually reasonably
identify opportunities to reduce the total
safe to not being reasonably safe simply
uncertainty by means of scientific advances
because sufficient corroborating evidence
or investigations to eliminate gaps in
is not available.
knowledge.
A comprehensive treatment of uncertainty
in dam safety analysis is provided in the
authoritative text book Risk and Uncertainty
in Dam Safety (2004).

APPENDIX H: NATURAL HAZARD
CONSIDERATIONS IN DAM SAFETY REVIEWS
INTRODUCTION magnitude of extreme floods. Climate
change is generally considered to be the
Natural hazards, external to the dam itself, change in weather patterns in the future,
impose the most significant loadings on predicting changes over the next 50 to
the dam structure and associated facilities. 100 years. However, the dam safety review
This introductory section will define these considers the safety status of the dam at
natural hazards and suggest how they the present time. Therefore the dam safety
should be included into a dam safety review review does not need to take into account
both individually or in combination. estimates of how climate change may affect
the frequency of high river flows and the
HYDROLOGICAL LOADINGS magnitude of extreme floods. The potential
The principal loadings on a dam are impact of siltation should be assessed.
hydrological and can be defined by
performance criteria; the ability of the dam SEISMIC LOADINGS
to retain the reservoir and the ability of the British Columbia is situated adjacent to
flow control equipment at the dam to pass a destructive tectonic plate margin and
the river flow. The external natural hazards has experienced significant earthquakes
associated with the hydrological loadings in the past. The seismic hazard varies
on the dam are the river flows and floods considerably across the province. In the
resulting from precipitation, snow melt and regions of high seismicity, the seismic
run-off in the catchment area, ice loadings hazard may be the governing loading
and siltation. condition of the structure and foundation
The qualified professional engineer should of the dam. Failure of a dam caused by
verify the currency and adequacy of the seismic ground motion may be sudden
hydrological loading, commensurate with and catastrophic and therefore the
the complexity of the dam system and the determination of the seismic hazard for
classification of the dam. The Technical the dam is often critical in the assessment
Bulletin, Hydraulic Considerations for Dam of the safety of the dam.
Safety which are associated with the 2007 The seismic hazard parameters and
CDA Dam Safety Guidelines, provides a uniform hazard spectra generated for
summary of the state of practice in Canada the National Building Code of Canada
and the qualified professional engineer should represents the median hazard values and
give considerations to these guidelines for are not site-specific. This data has been
the evaluation of the hydrological loading developed mainly for major urban areas
on the dam. and as a result may be conservative for
The estimation of extreme events, such remote sites. As the mean hazard values
as flood, is often derived from statistical are recommended for use in typical
analyses of historic recorded data. These seismic hazard computations for dam
estimations do not take the possibility safety engineering, the seismic hazard
of climate change into account. Climate parameters derived from the National
change may increase the frequency of Building Code should not be used for
high river flows and may increase the dam safety reviews. However, the use

of seismic hazard parameters derived failure or severe damage to the dam itself
from the National Building Code could as well as upstream and downstream
be used for a screening level analysis areas. If these natural hazards exist,
provided appropriate correction factors the qualified professional engineer must
are applied and that the limitations of the evaluate these hazards to the same degree
use of these approximate parameters are as floods and earthquakes and under all
recognized. anticipated loading conditions (seismic,
high infiltration, rapid drawdown, and
The qualified professional engineer should
load combinations) to see if induced waves
verify the currency and adequacy of the
and/or other effects pose an unacceptable
seismic loading, commensurate with the
risk to the public, dam or its appurtenant
complexity of the dam system and the
structures.
classification of the dam. The Technical
Bulletin, Seismic Considerations for Dam The terrain adjacent to reservoirs,
Safety which are associated with the 2007 particularly in mountainous regions of
CDA Dam Safety Guidelines, provides a British Columbia, can be very steep and
summary of the state of practice in Canada susceptible to large landslides, avalanches,
and the qualified professional engineer should rockfalls and debris flows. In addition, in
give considerations to these guidelines seismically active areas such as British
for the evaluation of the seismic loading Columbia, earthquakes can destabilize
on the dam. slopes leading to landslides, liquefaction
and major slope displacements. Slope
LANDSLIDE LOADINGS movements or other instabilities such
as glacier collapse or major rockfalls are
Throughout the world, there is a significant frequent phenomena which can occur
history of catastrophic landslides into with or without the presence of a dam/
reservoirs and natural lakes. In Vaiont Italy reservoir. The phenomena may become
(1963), more than 2000 people were killed more frequent as a result of shoreline
and many injured when a landslide of some erosion and hydrogeological changes, due
270 million m3 generated a wave 125 m over to the presence of a reservoir. Additionally,
the dam, causing destruction for 10 miles upstream dams, natural barriers, debris
downstream. Other examples include Loen, and ice may also present significant
Norway with loss of life of 61 people and hazards. The critical areas of the reservoir
Chungar, Peru with an estimated loss of circumference require careful observation
life of 400 to 600 people. A recent British to identify these hazards and slopes
Columbia example that highlights the which could become unstable in time.
complexity of all areas in the vicinity of Reservoir ice and debris can also create
the reservoir and dam is the June 13, 2010 hazardous situations depending on the
debris flow initiated on Testalinden Creek, amount, thickness of these materials on the
by overflow failure of a small earth dam. reservoir and characteristics of the facility4.
The event involved an estimated volume Ice or debris jamming, blockage and impact
of 240,000 to 260,000 m3 of material, loading in spillways and on gates are
impacted an area of about 23.6 ha, and hazards the qualified professional engineer
resulted in extensive property damage3. should be aware of and account for.
Reservoir rim hazards include
overtopping waves, direct impacts and
significant indirect impacts to the dam
and appurtenant structures may cause
3
EBA 2010/11
4
CDA07, Hydrotechnical Considerations
5
ICOLD B124 (2000)

The process of investigation and managing PARTIAL LISTING OF AVAILABLE
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•E
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•A
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•M
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APPENDIX I: AUTHORS AND REVIEWERS
Primary Authors – For Those Aspects Primary Authors – For Those Aspects
of the Guidelines Related to Dam Safety of the Guidelines Related to Dam
Reviews pursuant to the BC Dam Safety Safety Reviews Pursuant to the
Regulation (Reservoir Dams) Permit Conditions Under the Mines
Act (Mining Dams)
Desmond N.D. Hartford, PhD, P.Eng.,
BC Hydro Chris Carr, P.Eng.
Neil N. Heidstra, P.Eng., Klohn Crippen Graham Greenaway, P.Eng.,
Berger Ltd. Knight Piesold Associates Ltd.
Bruce A. Musgrave, P.Eng., BMA Harvey McLeod, P.Eng., P.Geo.,
Engineering Ltd. Klohn Crippen Berger Ltd.
Peter Mitchell, P.Eng., FEC, APEGBC Review Task Force – Dam Safety
Reviews Pursuant to the Permit
Review Task Force – Dam Safety
Conditions Under the Mines Act
Reviews Pursuant to the BC Dam
(Mining Dams)
Safety Regulation
Neil N. Heidstra, P.Eng.,
Herb Hawson, P.Eng., FEC,
Klohn Crippen Berger Ltd.
Golder Associates
Heather Narynski, P.Eng., Ministry of
Wenda Mason, PhD, Ministry of Forests,
Energy and Mines, Senior Geotechnical
Lands and Natural Resource Operations,
Inspector
Manager, River Forecast Centre and
Dam Safety Peter Mitchell, P.Eng., FEC, APEGBC
Scott Morgan, Ministry of Forests, George Warnock, P.Eng., Ministry of Energy
Lands and Natural Resource Operations, and Mines, Geotechnical Engineering
Head, Dam Safety Manager
Mike E. Noseworthy, P.Geo., Eng.L., Editorial and Legal Review
Robert W. Hunter, LLB, Bull Housser
Resource Operations, Senior Regional
Dam Safety Officer
M.A. Terry Oswell, P.Eng., BC Hydro,
Dam Safety Program Engineer
Bob A. Patrick, P.Eng., FEC, EBA
Engineering Consultants Ltd.,
A Tetra Tech Company, Principal Engineer,
Geotechnical Practice
Clare E.B. Raska, P.Eng., BC Hydro,
Senior Engineer, Operational, President
of the Canadian Dam Association
Ananthan Suppiah, P.Eng.,
Ministry of Northern and Indian Affairs,
Senior Engineer

The association of professional engineers and geoscientists of british columbia
200 – 4010 Regent Street, Burnaby, British Columbia V5C 6N2
T: 604.430.8035 F: 604.430.8085 E: [email protected] apeg.bc.ca

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Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

4.0 Quality Assurance/Quality Control 38

Appendix A: Legislative Framework – Water Reservoir Dams 46

Appendix B: Mining Dams –

Appendix C: Dam Safety Review Assurance Statement 53

Appendix C1: Dam Safety Review Assurance Statement – 54

Appendix C2: Dam Safety Review Assurance Statement – 57

Appendix D: Dam Safety Review Background Information 60

Appendix E: Dam Safety Field Work 64

Appendix F: Societal and Regulatory Principles 68

Appendix G: Elements of Dam Safety Analysis 70

Appendix H: Natural Hazard Considerations in

Appendix I: Authors and Reviewers 82

V2.0 March, 2014

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

An appropriate standard of care in professional practice, when carrying out

The objective of the legislation regulating dams in BC is to mitigate the

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 1

2 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 3

4 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 5

6 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 7

8 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

• Type of owner/budget 1. Define roles, and responsibilities and

2b. Gather information

Information for dam safety review: Required

3a. Confirm scope and Agreement between

3c. Conduct Consequence Review

Extent to which this is carried

May be done as part of the dam

Analyses required and approved? 3g. Carry out analyses

Dam safety task by Qualified 4. Prepare dam safety review report

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 9

10 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 11

12 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 13

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Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 17

• Type of owner/budget 1. Define roles, and responsibilities and

2b. Gather information

Information for dam safety review: Required

3a. Confirm scope and Agreement between

Courtesy of M.A. Terry Oswell, CDA 2012.

18 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

Professional Practice Guidelines – Legislated Dam Safety Reviews in BC 19

20 Professional Practice Guidelines – Legislated Dam Safety Reviews in BC

SPATIAL MODEL OF EARTH DAM FLOW CONTROL FUNCTION

Develop spatial and functional model of the Functional System

Left Concrete Right

Conduct Routine Surveillance

Compile line item table of all functional

concerns by concern type with explanations

4.0 Quality Assurance/Quality Control 38

Appendix A: Legislative Framework – Water Reservoir Dams 46

Appendix B: Mining Dams –

Appendix C: Dam Safety Review Assurance Statement 53

Appendix C1: Dam Safety Review Assurance Statement – 54

Appendix C2: Dam Safety Review Assurance Statement – 57

Appendix D: Dam Safety Review Background Information 60

Appendix E: Dam Safety Field Work 64

Appendix F: Societal and Regulatory Principles 68

Appendix G: Elements of Dam Safety Analysis 70

Appendix H: Natural Hazard Considerations in

Appendix I: Authors and Reviewers 82

(ii) Conformance to established The various components of a dam are to be