FAQs Operations and maintenance plans

Dam owners must provide clear and concise descriptions of how and when the dam and its components should be operated. These procedures should cover normal operations, as well as procedures for abnormal or extreme conditions.

What are normal, abnormal and extreme loading conditions for a declared dam?

Each dam is different and has been designed to operate under and withstand different conditions.

• Normal loading operating conditions are those that the dam was designed to normally experience. For one dam, this may mean it is near its capacity all the time, while another may be expected to rarely be full, and designed accordingly.
• Abnormal or unusual loading conditions are those outside the normal conditions. This could include the first filling of a dam, or when it experiences rapid rises or rapid drawdowns and extreme fluctuations. It could be when increased seepage occurs, or a new crack forms.
• Extreme loading conditions are those outside what the dam has been designed for. For example, a flood greater than the dam is designed to accommodate. A major flood could also cause stability issues, like scouring the toe of a dam or the spillway, creating extreme loading conditions, and a significant earthquake may not release the storage but could cause damage that creates an extreme loading condition.

Experienced dam engineers determine what are normal, abnormal and extreme loading conditions for any given dam. Dam owners who do not have this information need to get it from their dams engineers /competent persons.

Tips to consider when creating good operating procedures:

• Get your operators on board - procedures can often be perceived as restrictive. It is important to involve those who will be using them when creating them. Gather ideas, understand their perspective, and make sure you share a draft with them early on.
• Practicality is key – procedures need to be designed with practicality in mind.  Operators must be able to put them into practice.
• Keep it simple – break down each procedure into individual instructions then into individual steps. Try to limit each step to a single action.  Use one verb per sentence.
• Avoid jargon – short, familiar words are easier to read and understand particularly during an incident response.
• Use action orientated language - always use active voice instead of passive voice.  Active voice: Use handle to lift bucket.  Passive voice: The bucket should be lifted by using the available handle.
• Use visuals! – simple short videos are great for demonstrations and pictures work best for simple actions like ‘Press green button’.
• Make sure your procedures clearly set out when to operate controlled spillways, for example, when to open gates to prevent a dam failure. This information needs to be described in a way that can be followed by someone unfamiliar with the conditions at the dam during an extreme event.

If a dam has no plant and physical features that require operation, for example there are no pipes, valves, pumps, gates etc. associated with the dam that require operating, the O&M plan should state this.

Your plan may need to include procedures for aspects beyond the dam itself, like coordinating releases with other dams if, for example, there are a cascade of dams, communicating with the NSW SES and other agencies, and how you will manage flood warnings to people downstream. The operating procedures should also describe how you will communicate in normal, abnormal and extreme conditions.

This clause relates to operational alarms, rather than emergency alarms. For example, your O&M plan should include what the response is when telemetry readings trigger alarms, or when a SCADA alarm event occurs – if your dam has this equipment. It could also cover things like seismic events that are not severe enough to trigger the dam’s emergency plan, but may trigger special operational activities like additional visual inspections. You should document what the response is and who will do it.

Take, for example, seepage at a V-notch weir. If a visual inspection shows seepage is suddenly increased, what is the criteria for triggering an alarm/response, what actions will then occur and who is responsible for doing those things? This should be set out in the O&M plan. Note also that these operational alarms do not need to feature an actual alarm tone. For example, if a visual inspection identifies that vegetation cover has exceeded the agreed height, then this is an example of a time when an ‘alarm’ should be triggered, and a response required.

O&M plans must detail the who, what, when, and how of maintenance activities, including both preventative and corrective maintenance.

Preventative maintenance is the routine maintenance you undertake on the dam, like mowing of embankment grass, servicing valves and pipes, operating scour outlets to keep a reservoir free of silt, testing of monitoring equipment, replacing dislodged rip rap and re-painting steel work.

Corrective maintenance repairs any unforeseeable damage that has occurred and includes emergency maintenance. For example, removing tree trunks in the spillway after a large storm, addressing excessive seepage that indicates piping is occurring and major flood or earthquake damage.

Some non-compliant O&M plans do not include a schedule for when maintenance will be carried out. For example, how often or when will grass mowing occur on an embankment dam? Is it every 3 months, or when the grass reaches 300mm high, or both? Will the grass be cut to a particular height, like 75mm, to ensure the embankment still has coverage but sink holes or animal burrows are not obscured? And who will conduct this mowing work, and keep a record that it has been done?

Declared dam owners are required to include procedures for reporting incidents related to their dams in their O&M plan. Incidents that must be reported are listed under Clause 19 of the Regulation. The plan must clearly outline the steps, processes and reporting lines or communications channels in the event of an incident that could potentially compromise the safety of the dam or surrounding areas, such as structural issues, seepage problems, or other anomalies.

Reporting procedures should be comprehensive, clear and easy to follow. Making sure that your O&M plan is up-to-date, and that your staff are aware of – and trained to implement – the reporting procedures is essential.

If a serious incident occurs at a declared dam, or is related to a declared dam – by law it must be reported it to Dams Safety NSW as soon as possible after the incident.

You do that by calling Dams Safety NSW on our incident reporting number: 0403 681 645. The phone number is staffed 24 hours a day, 7 days a week.

You must also complete and submit our online incident reporting form no more than 72 hours after the incident, even if you have already called us to report it.

Why is it important to report incidents to Dams Safety NSW?

Any incident will need to be assessed to determine whether it can be dealt with as part of normal operation or if it may activate the dam’s Emergency Plan.

Reporting incidents to a regulator is important because – if necessary - it allows us to properly investigate and establish checks and procedures to ensure that the same incident doesn’t happen again.

For your O&M plan to be compliant, you must explain the procedures and measures you have in place to ensure public safety. This should also include your security measures to protect the dam infrastructure.

The number one priority is conducting thorough risk assessments to identify and address potential hazards.

Procedures relating to security at the dam involve all the different measures to protect people and prevent unauthorised access and operation of critical systems.

It’s about having measures in place to deter unauthorised entry of heavy vehicles or equipment, along with strict controls to prevent unauthorised operation of spillway control systems.

For example, your dam may have a narrow crest that is capable of being driven over, it may have steep upstream or downstream slopes, or may have a steep drop into part of the spillway. To ensure that your dam is safe for people working or visiting the site, and to ensure it complies with WHS legislation, appropriate safety equipment may be required at the site, such as fencing, barriers and signage.  Key information that should be included in your O&M plan:

• written procedures for how you will ensure public safety and protect visitors and residents near the dam.
• identify any unsafe conditions and hazardous areas.
• a site layout plan or diagram that shows the location of assets, components, fencing, gates, signs, access points and roads.
• details of areas that are restricted to the public and why those areas are restricted.
• a risk assessment to identify and rank potential public safety risks at the dam site and surrounding areas and measures to address or mitigate the risks.
• a copy of your dam’s inspection schedule that details what part of the dam is inspected and how often.

Your dam’s security measures and public safety procedures should be regularly reviewed and informed by operational personnel.

Finally, it’s about prioritising ongoing evaluation and enhancement of security protocols to address emerging threats to maintain the safety and integrity of the dam.

The O&M plan is essentially your dam’s roadmap. It should be clear, uncomplicated and able to be followed by any personnel at any point in the lifecycle of a dam.

The O&M plan guides the ongoing care, monitoring and management of a dam. It outlines the procedures, protocols and responsibilities needed to ensure the dam's safety and integrity. Without it, dam owners risk overlooking crucial maintenance tasks, they may fail to identify potential risks, and ultimately compromise the safety of the dam and surrounding communities.

An effective O&M plan will minimise the risk of your dam failing, maximise uninterrupted service, minimise costly repairs, and extend the useful life of your dam.

Yes. The maximum penalty, in the case of a corporation, is $1,100,000  and, in the case of a continuing offence, a further penalty of $132,000 for each day the offence continues, or in the case of an individual the penalty is $247,500  and, in the case of a continuing offence, a further penalty of $66,000 for each day the offence continues.

Terms such as ‘manual’ and ‘plan’ are often used interchangeably, however, the main difference is that your O&M plan is composed of a range of different manuals, but it also includes many other elements: procedures for managing risks, such as surveillance inspection procedures; it applies your risk management framework, which involves identifying, analysing, evaluating and treating risks to the safety of your dam; processes for maintenance planning, work allocation and recording of maintenance tasks; processes and procedures for reporting incidents, just to name a few elements.

Your O&M plan should align dam safety practice with the asset management system ISO 55001.

Ideally, the team preparing your O&M plan should comprise a diverse group of professionals, principally dam operational staff and dam engineers/competent persons. Each member brings a unique set of skills, knowledge, and perspectives to the table, allowing the development of a holistic, multi-disciplinary approach.

For an existing dam (depending on the dam’s consequence category and its complexity) it is recommended that dams engineers (civil, structural, mechanical and electrical) and other professionals with relevant areas of expertise be involved in preparing and reviewing operations and maintenance plans.

The designer of a new dam or upgraded dam should be involved in preparing and/or reviewing the plan.

Engineering specialists would be able to specify requirements for maintenance checklists and schedules, frequencies and protective measures for each structure and for each piece of operating, communications, and power equipment, including monitoring systems.

Mechanical and electrical equipment manufacturers will be able to provide technical data sheets, drawings, operating, maintenance (preventative and corrective) and servicing instructions, test certificates, and discharge ratings.

Professional engineers specialising in the design and condition assessment of mechanical and electrical equipment for major dams are important when preparing a plan that involves gates, large valves and other complex mechanical and flow control equipment.

Operators provide important insights into the dam, its equipment, operation and maintenance requirements, and the need for operator-level controls.

If your dam is declared, it is required by law to have an operations and maintenance plan.

The O&M plan should be tailored to the type, size and complexity of the dam.

An O&M plan for a simple dam structure with a low or very low consequence category may be a comparatively simple document, whereas one for a large, complex dam should be more comprehensive to reflect the complexities of the dam and its operation and maintenance.

Not necessarily. Each dam has its own set of characteristics, challenges, and requirements. Therefore, it's crucial to tailor the operations and maintenance plan to address these specific needs. This involves conducting thorough assessments, understanding the dam's design, construction, and operational history, and engaging with consultants, operators and other stakeholders to gather valuable insights and feedback.

Customising the plan ensures that it's aligned with the dam's complexity, size, location, and operational requirements, which is required under NSW dam safety regulations. It enables a dam owner to prioritise maintenance tasks, allocate resources effectively, and implement targeted monitoring and surveillance activities to ensure the dam's long-term safety and performance.

Your O&M plan should be reviewed and updated at least once a year – or if there have been any significant changes to your dam. You should be taking into account any changes in the dam's operational status or regulatory requirements. It's about demonstrating due diligence and your commitment to maintaining the highest standards of dam safety and integrity.

No, not as a general rule, but Dams Safety NSW does conduct periodic audits on O&M plans. Under dams safety legislation, you must provide a copy of your O&M plan to Dams Safety NSW if requested to do so.

Dams Safety NSW has a range of resources on our website to help dam owners understand their legal obligations, develop best-practice O&M plans, and implement effective reporting procedures. The Operations and maintenance plan guideline is a key reference.