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DAM SAFETY MANAGEMENT:

Operational phase of the dam life cycle

GESTION DE LA SÉCURITÉ
des barrages en exploitation

Bulletin 154

2017
Cover/Couverture :
Cover illustration: WAC Bennett Dam Spillway Maintenance/Resurfacing work / Illustration en
couverture : Resurfaçage à l'évacuateur de crues du barrage WAC Bennett

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Original text in English


French translation by Michel Poupart (France) & Marc Balissat (Switzerland)
Layout by Nathalie Schauner

Texte original en anglais


Traduction en français par Michel Poupart (France) & Marc Balissat (Suisse)
Mise en page par Nathalie Schauner
DAM SAFETY MANAGEMENT:
Operational phase of the dam life cycle

GESTION DE LA SÉCURITÉ
des barrages en exploitation

INTERNATIONAL COMMISSION ON LARGE DAMS


COMMISSION INTERNATIONALE DES GRANDS BARRAGES
61, avenue Kléber, 75116 Paris
Téléphone : (33-1) 47 04 17 80 - Fax : (33-1) 53 75 18 22
http://www.icold-cigb.org./

1
COMMITTEE ON DAM SAFETY

COMITE DE LA SECURITE DES BARRAGES

(2015-2018)
Chairman/Président
Canada P.A. Zielinski
Vice-Chairmen/ Vice-Présidents
Nertherlands/Pays-Bas H. Janssen
The United States/États-Unis C.G. Tjoumas
Members/Membres
Argentina/Argentine F. Giuliani
Australia/Australie S. McGrath
Austria/Autriche E. Netzer
Brazil/Brésil F. De Gennaro Castro
Bulgaria/Bulgarie D. Toshev
Canada D.N.D. Hartford
China/Chine Z. Xu
Czech Republic/République Tchèque -3ROiþHN
Finland/Finlande R. Kuusiniemi
France M. Poupart
Germany/Allemagne H.U. Sieber
India/Inde A.K. Bajaj
Iran M. Ghaemian
Italy/Italie C. Ricciardi
Japan/Japon H. Kotsubo
Korea/Corée T-S. Yoo
Lesotho B. Rafoneke
Norway/Norvège G. Holm Midttømme
Pakistan M. Mustaq Chaudry
Portugal A.F. Da Silva Gomes
Russia/Russie E.N. Bellendir
Serbia/Serbie I. Tucovic
Slovenia/Slovenie N. Humar
South Africa/Afrique du Sud C. Oosthuizen
Spain/Espagne J.C. De Cea
Sweden/Suède A. Nilsson
Switzerland/Suisse M. Balissat
Turkey/Turquie T. Dinçergök
United Kingdom/Royaume-Uni A. Hughes
Venezuela N. Castillejo

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SOMMAIRE CONTENTS

1. INTRODUCTION 1. INTRODUCTION
2. PRINCIPES GENERAUX DE LA 2. OVERARCHING PRINCIPLES OF DAM
SECURITE DES BARRAGES SAFETY
3. SYSTÈME DE GESTION DE LA 3. DAM SAFETY MANAGEMENT
SECURITE DES BARRAGES SYSTEMS
4. MESURES D’ORGANISATION 4. ORGANIZATIONAL ARRANGEMENTS
5. ACTIVITES POUR LA SECURITE DES 5. DAM SAFETY ACTIVITIES
BARRAGES
APPENDIX A: REVIEW OF ICOLD
BULLETINS
APPENDIX B: DECISION MAKING IN DAM
SAFETY
REFERENCES REFERENCES

3
TABLE DES MATIÈRES

1. INTRODUCTION ........................................................................................................................ 22
2. PRINCIPES GENERAUX DE LA SECURITE DES BARRAGES ............................................... 28
2.1. Justification des barrages ..................................................................................................... 28
2.2. Objectif fondamental de sécurité des barrages ................................................................... 28
2.3. Responsabilité de la sécurité en exploitation ....................................................................... 30
2.4. Rôle du Gouvernement ........................................................................................................ 32
2.5. Leadership et Management de la sécurité ........................................................................... 34
2.6. Mesures de protection : un équilibre entre des objectifs divergents .................................... 36
2.7. Limitation des risques, individuels et sociétaux ................................................................... 38
2.8. Durée de vie des barrages et des réservoirs ....................................................................... 38
2.9. Préparation de plans d’intervention en cas d’urgence ......................................................... 42
3. SYSTÈME DE GESTION DE LA SÉCURITÉ DES BARRAGES ............................................... 44
3.1. Généralités ........................................................................................................................... 44
3.2. Management du cycle de vie ............................................................................................... 46
3.3. Système de management intégré ........................................................................................ 48
3.4. Systèmes de gestion de la sécurité des barrages ............................................................... 50
3.5. Politiques et objectifs ............................................................................................................ 52
3.5.1. Politique de sécurité des barrages ............................................................................. 52
3.5.2. Gouvernance .............................................................................................................. 52
3.6. Elaboration .......................................................................................................................... 56
3.6.1. Structure organisationnelle ......................................................................................... 56
3.6.2. Objectifs de performance et leurs mesures ................................................................ 56
3.6.3. Revue de sûreté ......................................................................................................... 58
3.6.3.1. Exigences générales ....................................................................................... 58
3.6.3.2. Analyse de la sécurité et documentation ......................................................... 60
3.6.3.3. Prise de décision ............................................................................................. 60
3.7. Mise en œuvre .................................................................................................................... 62
3.7.1. Gestion des processus ............................................................................................... 62
3.7.2. Gestion des modifications ........................................................................................... 64
3.7.3. Responsabilités et pouvoirs ........................................................................................ 64
3.7.4. Gestion des Ressources ............................................................................................. 66
3.7.5. Contrôle des enregistrements et des documents ....................................................... 68
3.7.6. Maintenance et réhabilitations .................................................................................... 68
3.8. Mesure et évaluation de la performance ............................................................................. 70
3.9. Audit, Revue et Rapports .................................................................................................... 70
3.10. Amélioration continue ........................................................................................................ 72
4. MESURES D’ORGANISATION ..................................................................................................
4.1. Introduction ..........................................................................................................................
4.2. Valeurs et structure du propriétaire .....................................................................................
4.2.1. Culture de la sécurité ..................................................................................................

4
TABLE OF CONTENTS

1. INTRODUCTION ....................................................................................................................... 23
2. OVERARCHING PRINCIPLES OF DAM SAFETY ................................................................... 29
2.1. Justification for Dams ........................................................................................................... 29
2.2. Fundamental Dam Safety Objective ................................................................................... 29
2.3. Responsibility for Operational Integrity and Safety .............................................................. 31
2.4. Role of Government ............................................................................................................. 33
2.5. Leadership and Management for Safety ............................................................................. 35
2.6. Balancing of Protection across Competing Objectives ........................................................ 37
2.7. Limitation of Risk to Individuals and Society ........................................................................ 39
2.8. Sustainability of Dams and Reservoirs ................................................................................ 39
2.9. Emergency Preparedness and Response ........................................................................... 43
3. DAM SAFETY MANAGEMENT SYSTEMS .............................................................................. 45
3.1. General................................................................................................................................. 45
3.2. Life-Cycle Management ...................................................................................................... 47
3.3. Integrated Management Systems ........................................................................................ 49
3.4. Dam Safety Management Systems...................................................................................... 51
3.5. Policies and Objectives ....................................................................................................... 53
3.5.1. Dam Safety Policy ...................................................................................................... 53
3.5.2. Governance ................................................................................................................ 53
3.6. Planning .............................................................................................................................. 57
3.6.1. Organizational Structure ............................................................................................. 57
3.6.2. Performance Targets and Performance Measures .................................................... 57
3.6.3. Safety Review ............................................................................................................. 59
3.6.3.1. General Requirements .................................................................................... 59
3.6.3.2. Safety Analysis and Documentation ................................................................ 61
3.6.3.3. Decision Making .............................................................................................. 61
3.7. Implementation .................................................................................................................... 63
3.7.1. Process Management ................................................................................................. 63
3.7.2. Change Management ................................................................................................. 65
3.7.3. Accountabilities, Responsibilities and Authorities ....................................................... 65
3.7.4. Resource Management .............................................................................................. 67
3.7.5. Records and Document Control ................................................................................. 69
3.7.6. Maintenance and Repairs ........................................................................................... 69
3.8. Performance Monitoring and Evaluation ............................................................................. 71
3.9. Audit, Review and Reporting ............................................................................................... 71
3.10. Continuous Improvement .................................................................................................. 73
4. ORGANIZATIONAL ARRANGEMENTS ....................................................................................
4.1. Introduction ..........................................................................................................................
4.2. Owner’s Values and Structure ............................................................................................
4.2.1. Safety Culture .............................................................................................................

5
3.7.5. Contrôle des enregistrements et des documents .......................................................
3.7.6. Maintenance et réhabilitations ....................................................................................
3.8. Mesure et évaluation de la performance .............................................................................
3.9. Audit, Revue et Rapports ....................................................................................................
3.10. Amélioration continue ........................................................................................................
4. MESURES D’ORGANISATION .................................................................................................. 76
4.1. Introduction .......................................................................................................................... 76
4.2. Valeurs et structure du propriétaire ..................................................................................... 76
4.2.1. Culture de la sécurité .................................................................................................. 76
4.2.2. Développement d’une politique .................................................................................. 80
4.2.3. Gouvernance .............................................................................................................. 84
4.3. Sécurité des barrages : rôles et responsabilités ................................................................. 86
4.3.1. Mise en œuvre d’une politique .................................................................................... 86
4.3.1.1 Mise en œuvre de la sécurité des barrages. ..................................................... 90
4.3.1.2. Principes de démonstration de la sécurité ...................................................... 92
4.3.1.3. Normes (objectifs de comportement et normes de sécurité) .......................... 92
4.3.2. Rôles et responsabilités .............................................................................................. 92
4.3.3. Planification ................................................................................................................. 102
4.3.4. Gestion des activités liées à la sécurité des barrages ............................................... 104
4.3.4.1. Exploitation, entretien et essais........................................................................ 104
4.3.4.2. Surveillance, données techniques et contrôle des performances.................... 106
4.3.4.3. Revues de sécurité des barrages..................................................................... 106
4.3.4.4. Comportement problématique ou défectueux des barrages. ........................... 106
4.3.4.5. Planification interne et actions en cas d’urgence. ............................................ 106
4.3.4.6. Planification externe en cas d’urgence et tests. ............................................... 108
4.3.4.7. Conseil et revues de management externes.................................................... 108
4.3.4.8 Amélioration continue. ....................................................................................... 108
4.3.4.9. Audits, revues et rapports................................................................................. 108
4.3.4.10. Communications et documents. ..................................................................... 110
4.4. Prise de décision ................................................................................................................. 110
4.4.1. Principes de décision .................................................................................................. 110
4.4.2. Contexte de la décision .............................................................................................. 114
4.4.3. Incertitude ................................................................................................................... 114
4.4.4. Rôle du jugement ........................................................................................................ 118
4.4.5. Cadres de la décision ................................................................................................. 120
4.4.5.1. Cadre recourant aux normes ........................................................................... 120
4.4.5.2. Cadre généralement adopté ............................................................................ 120
4.4.5.3. Cadre basé sur le risque ................................................................................. 122
4.4.5.4. Cadre faisant appel au risque ......................................................................... 122
4.5. Planification générale d’un programme de sécurité ............................................................ 124
4.6. Mise en place des préparatifs de gestion pour la sécurité des barrages ............................ 124
4.6.1. Activités sur un barrage ............................................................................................. 124
4.6.2. Identification des dangers, modes de rupture et effets d’une rupture s .................... 126
4.6.3. Philosophie de la sécurité technique ......................................................................... 126
4.6.4. Principes techniques pour garantir la sécurité ........................................................... 128
5. ACTIVITÉS POUR LA SÉCURITÉ DES BARRAGES ...............................................................
5.1. Gestion des activités ............................................................................................................
5.1.1. Considérations générales sur la gestion des activités ...............................................
5.1.2. Documentation, enregistrements et rapports .............................................................
5.1.3. Consignes d’exploitation.............................................................................................
5.1.4. Procédures de maintenance.......................................................................................
6
5.1.5. Planification et ordonnancement ................................................................................
5.1.6. Évaluation et suivi des problèmes et défauts de sécurité des barrages ....................
3.7.5. Records and Document Control .................................................................................
3.7.6. Maintenance and Repairs ...........................................................................................
3.8. Performance Monitoring and Evaluation .............................................................................
3.9. Audit, Review and Reporting ...............................................................................................
3.10. Continuous Improvement ..................................................................................................
4. ORGANIZATIONAL ARRANGEMENTS .................................................................................... 77
4.1. Introduction .......................................................................................................................... 77
4.2. Owner’s Values and Structure ............................................................................................ 77
4.2.1. Safety Culture ............................................................................................................. 77
4.2.2. Policy Development .................................................................................................... 81
4.2.3. Governance ................................................................................................................ 85
4.3. Dam Safety Functions, Roles and Responsibilities ............................................................ 87
4.3.1. Policy Implementation ................................................................................................. 87
4.3.1.1 Dam Safety Implementation. ............................................................................. 91
4.3.1.2. Principles of Safety Demonstration ................................................................. 93
4.3.1.3. Standards (Performance Goals and Safety Standards) .................................. 93
4.3.2. Roles and Responsibilities .......................................................................................... 93
4.3.3. Planning ...................................................................................................................... 103
4.3.4. Management of Dam Safety Activities ........................................................................ 105
4.3.4.1. Operation, Maintenance and Testing ............................................................... 105
4.3.4.2. Surveillance, Technical Data and Performance Monitoring. ............................ 107
4.3.4.3. Dam Safety Reviews. ....................................................................................... 107
4.3.4.4. Performance Concerns and Deficiencies in Dam Performance....................... 107
4.3.4.5. Internal Emergency Planning and Response. .................................................. 107
4.3.4.6. External Emergency Planning and Testing. ..................................................... 109
4.3.4.7. External Advice and Management Reviews..................................................... 109
4.3.4.8 Continuous Improvement. ................................................................................. 109
4.3.4.9. Audit, Review and Reporting. ........................................................................... 109
4.3.4.10. Communications and Records. ...................................................................... 111
4.4. Decision Making .................................................................................................................. 111
4.4.1. Decision Principles ..................................................................................................... 111
4.4.2. Decision Context ......................................................................................................... 115
4.4.3. Uncertainty .................................................................................................................. 115
4.4.4. Role of Judgment ........................................................................................................ 119
4.4.5. Decision Frameworks ................................................................................................. 121
4.4.5.1. Standards-Based Framework .......................................................................... 121
4.4.5.2. Generally Accepted Framework ...................................................................... 121
4.4.5.3. Risk-Based Framework ................................................................................... 123
4.4.5.4. Risk-Informed Framework ............................................................................... 123
4.5. Overall Program Planning ................................................................................................... 125
4.6. Implementation of Management Arrangements for Dam Safety ......................................... 125
4.6.1. Activities at a Dam ..................................................................................................... 125
4.6.2. Identification of Hazards, Failure Modes and Failure Effects .................................... 127
4.6.3. Safety Engineering Philosophy .................................................................................. 127
4.6.4. Engineering Principles for Safety Assurance ............................................................ 129
5. DAM SAFETY ACTIVITIES ........................................................................................................
5.1. Management Arrangements for Dam Safety Activities ........................................................
5.1.1. Management Arrangements - General Considerations..............................................
5.1.2. Documentation, Records and Reporting ....................................................................
5.1.3. Operating Procedures.................................................................................................
5.1.4. Maintenance Procedures............................................................................................
7
5.1.5. Planning and Scheduling ............................................................................................
5.1.6. Assessment and Tracking of Dam Safety Issues and Deficiencies ...........................
4.6. Mise en place des préparatifs de gestion pour la sécurité des barrages ............................
4.6.1. Activités sur un barrage .............................................................................................
4.6.2. Identification des dangers, modes de rupture et effets d’une rupture s ....................
4.6.3. Philosophie de la sécurité technique .........................................................................
4.6.4. Principes techniques pour garantir la sécurité ...........................................................
5. ACTIVITÉS POUR LA SÉCURITÉ DES BARRAGES ............................................................... 132
5.1. Gestion des activités ............................................................................................................ 132
5.1.1. Considérations générales sur la gestion des activités ............................................... 132
5.1.2. Documentation, enregistrements et rapports ............................................................. 134
5.1.3. Consignes d’exploitation............................................................................................. 134
5.1.4. Procédures de maintenance....................................................................................... 136
5.1.5. Planification et ordonnancement ................................................................................ 136
5.1.6. Évaluation et suivi des problèmes et défauts de sécurité des barrages .................... 136
5.1.7. Collecte et traitement des incidents et accidents ....................................................... 136
5.1.8. Développement et maintien des compétences........................................................... 138
5.2. Activités opérationnelles ....................................................................................................... 138
5.2.1. Passage des crues .................................................................................................... 140
5.2.1.1. Prévision hydrologique .................................................................................... 140
5.2.1.2. Passage des crues .......................................................................................... 140
5.2.1.3. Surveillance et essais ...................................................................................... 140
5.2.1.4. Formation des exploitants ............................................................................... 140
5.2.2. Surveillance et auscultation ........................................................................................ 142
5.2.2.1. Inspection visuelle ........................................................................................... 142
5.2.2.2. Auscultation ..................................................................................................... 142
5.2.3. Analyse et interprétation des données ....................................................................... 146
5.2.4. Maintenance et essais ................................................................................................ 146
5.2.5. Revues de sécurité ..................................................................................................... 148
5.2.6. Plans d’urgence .......................................................................................................... 150
5.2.6.1. Mesures de précaution et de prévention ......................................................... 150
5.2.6.2. Exigences pour les opérations d’urgence ....................................................... 152
5.3. Activités correctives et d’amélioration .................................................................................. 154
5.3.1. Introduction ................................................................................................................. 154
5.3.2. Processus d’évaluation des défauts ........................................................................... 154
5.3.3. Études des actions d’améliorations de la sécurité ..................................................... 156
5.3.3.1. Actions correctives transitoires ........................................................................ 158
5.3.3.2. Actions correctives de long terme ................................................................... 158

8
4.6. Implementation of Management Arrangements for Dam Safety .........................................
4.6.1. Activities at a Dam .....................................................................................................
4.6.2. Identification of Hazards, Failure Modes and Failure Effects ....................................
4.6.3. Safety Engineering Philosophy ..................................................................................
4.6.4. Engineering Principles for Safety Assurance ............................................................
5. DAM SAFETY ACTIVITIES ........................................................................................................ 133
5.1. Management Arrangements for Dam Safety Activities ........................................................ 133
5.1.1. Management Arrangements - General Considerations.............................................. 133
5.1.2. Documentation, Records and Reporting .................................................................... 135
5.1.3. Operating Procedures................................................................................................. 135
5.1.4. Maintenance Procedures............................................................................................ 137
5.1.5. Planning and Scheduling ............................................................................................ 137
5.1.6. Assessment and Tracking of Dam Safety Issues and Deficiencies ........................... 137
5.1.7. Incident and Accident Reporting................................................................................. 137
5.1.8. Skill Development and Training, Knowledge Retention and Maintenance................. 139
5.2. Dam Safety Operational Activities ........................................................................................ 139
5.2.1. Flood Routing ............................................................................................................. 141
5.2.1.1. Hydrological Forecast ...................................................................................... 141
5.2.1.2. Operational Flood Routing ............................................................................... 141
5.2.1.3. Surveillance and Tests .................................................................................... 141
5.2.1.4. Operator Training ............................................................................................ 141
5.2.2. Surveillance and Monitoring ....................................................................................... 143
5.2.2.1. Visual inspection .............................................................................................. 143
5.2.2.2. Monitoring ........................................................................................................ 143
5.2.3. Analysis and Interpretation of Data ............................................................................ 147
5.2.4. Maintenance and Testing ........................................................................................... 147
5.2.5. Dam Safety Reviews .................................................................................................. 149
5.2.6. Emergency Planning Preparedness and Response .................................................. 151
5.2.6.1. Preventive and Precautionary Measures ........................................................ 151
5.2.6.2. Emergency Operations Requirements ............................................................ 153
5.3. Dam Safety Improvement Activities ..................................................................................... 155
5.3.1. Introduction ................................................................................................................. 155
5.3.2. Deficiency Assessment Process ................................................................................. 155
5.3.3. Dam Safety Improvement Actions Study .................................................................... 157
5.3.3.1. Interim remedial Actions .................................................................................. 159
5.3.3.2. Long Term Remedial Works ............................................................................ 159
APPENDIX A: REVIEW OF ICOLD BULLETINS ...........................................................................
APPENDIX B: DECISION MAKING IN DAM SEFETY ...................................................................
1. Safety Decision Making – Implicit Consideration of Risk .....................................
2. Safety Decision Making – Explicit Consideration of Risk .....................................
2.1. General Concept ..............................................................................................
2.2. Tolerability and Acceptability Criteria ............................................................
2.2.1. Explicit Individual Risk Criteria ...................................................................
2.2.2. Risk Criteria Derived from Standards .........................................................
2.2.3. Societal Risks Criteria ................................................................................
2.3. Demonstration of ALARP .................................................................................
2.3.1. Cost Benefit Analysis (CBA) .......................................................................
2.3.2. Cost Effectiveness Analysis (CEA) ............................................................
2.3.3. Disproportionality ........................................................................................
2.3.4. Societal Concerns ......................................................................................
3. Alternative Safety Decision Making – Explicit Consideration of Risk ...................
9
3.1. Legal Framework Considerations ....................................................................
3.2. Disproportionality and ALARP Justification .....................................................
4. Programmatic Decision Making ............................................................................
10
5.3.1. Introduction .................................................................................................................
5.3.2. Deficiency Assessment Process ................................................................................
5.3.3. Dam Safety Improvement Actions Study ....................................................................
5.3.3.1. Interim remedial Actions ..................................................................................
5.3.3.2. Long Term Remedial Works ............................................................................
APPENDIX A: REVIEW OF ICOLD BULLETINS ........................................................................... 161
APPENDIX B: DECISION MAKING IN DAM SEFETY ................................................................... 187
1. Safety Decision Making – Implicit Consideration of Risk ..................................... 187
2. Safety Decision Making – Explicit Consideration of Risk ..................................... 189
2.1. General Concept .............................................................................................. 189
2.2. Tolerability and Acceptability Criteria .............................................................. 191
2.2.1. Explicit Individual Risk Criteria ................................................................... 192
2.2.2. Risk Criteria Derived from Standards ......................................................... 193
2.2.3. Societal Risks Criteria ................................................................................ 194
2.3. Demonstration of ALARP ................................................................................. 195
2.3.1. Cost Benefit Analysis (CBA) ....................................................................... 195
2.3.2. Cost Effectiveness Analysis (CEA) ............................................................ 197
2.3.3. Disproportionality ........................................................................................ 197
2.3.4. Societal Concerns ...................................................................................... 199
3. Alternative Safety Decision Making – Explicit Consideration of Risk ................... 200
3.1. Legal Framework Considerations .................................................................... 200
3.2. Disproportionality and ALARP Justification ..................................................... 201
4. Programmatic Decision Making ............................................................................ 204
4.1. Implicit Consideration of Risk ........................................................................... 204
4.2. Explicit Consideration of Risk ........................................................................... 204
References ....................................................................................................... 206

11
FIGURES ; TABLEAUX

Fig. 1 Panorama de la sécurité des barrages


Fig. 2 Exemple de la répartition des coûts de la rupture d’un barrage
Fig. 3 Éléments d’un système de management
Fig. 4 Éléments d’un système de gestion de la sécurité des barrages
Fig. 5 Exemple de politique de sécurité pour les barrages
Fig. 6 Processus d’exploitation
Fig. 7 Processus intégré de prise de décision (prenant en compte le risque)
Fig. 8 Relations au sein du système de gestion de la sécurité
Fig. 9 Caractéristique d’une forte culture de sécurité
Fig. 10 Exemple d’une structure de gouvernance
Fig. 11 Activités concernant la sécurité des barrages
Fig. 12 Hiérarchie des fonctions du système de management
Fig. 13 Gestion de la sécurité des barrages – Fonctions détaillées
Fig. 14 (Quelques) Paramètres pour l’établissement de priorité
Fig. 15 Cadre pour établir le contexte de la décision (UKOOA, 1999)
Fig. 16 Forme générale de critères d’acception du risque (Pays-Bas)
Fig. 17 Tolérance du risque
Fig. 18 Processus d’évaluation systématique de la sécurité
Fig. 19 Planification préliminaire et définition des priorités
Finalisation de la planification et mise en place d’améliorations de la
Fig. 20
sécurité
Fig. 21 Modèle d’arbre de défaillance des dangers et modes de rupture
Fig. 22 Modèle de gestion du risque en forme de nœud papillon

Tableau 1 Matrice des rôles et responsabilités (RACI)

12
FIGURES; TABLES; BOXES

Fig. 1 Context for Dam Safety


Fig. 2 Example of Distribution of Costs of Dam Failures
Fig. 3 Elements of a Management System
Fig. 4 Elements of Dam Safety Management System
Fig. 5 Example of Dam Safety Policy Statement
Fig. 6 Systematic “Operation” Process
Fig. 7 Integrated (Risk-informed) Decision Making
Fig. 8 Integrated (Risk-informed) Decision Making
Fig. 9 Characteristics of Strong Safety Culture
Fig. 10 Example of a Governance Structure
Fig. 11 Dam Safety Activities to be managed
Fig. 12 Hierarchy of System Management Functions
Fig. 13 Detailed Dam Safety Management Functions
Fig. 14 (Some) Dimensions of a Prioritization Framework
Fig. 15 Framework for Setting Decision Context (UKOOA, 1999)
Fig. 16 General Form of Risk Acceptance Criteria (the Netherlands)
Fig. 17 Tolerability of Risk Framework
Fig. 18 Systematic Safety Assessment Process
Fig. 19 Preliminary Planning and Prioritization
Fig. 20 Finalization of Plans and Implementation of Dam Safety Improvements
Fig. 21 Fault tree Model of Hazards and Failure Modes
Fig. 22 Bow-Tie Risk Management Model
Fig. B1 Levels of Risk and the ALARP Principle
Fig. B2 NSW DSC Societal Risk Requirements for Existing Dams
Fig. B3 Change of Disproportionality Factor with Risk
Fig. B4 Societal Risk Criteria in the Netherlands
Fig. B5 Individual and Societal Risk Guidelines for Existing Dams
Fig. B6 Individual and Societal Risk Guidelines for New Dams
Fig. B7 Annual Probability of Failure and Annualized Life Loss

Table 1 Roles and Responsibilities (RACI) Matrix


Table A1 Number of ICOLD Bulletins Addressing Engineering Activities
Table A1 Number of ICOLD Bulletins Addressing Maintenance Activities
Table A4 Number of ICOLD Bulletins Addressing Operation Activities
Table B1 ALARP Justification for Risk Just Below Tolerable Risk Limit

Box 1 Explanation of terms – activities and hazards


Box 2 Review – conceptual framework

13
PREAMBULE
PREAMBULE

“L'art de l’ingénieur est intrinsèquement basé sur l’appréciation des risques. Cela est
traditionnellement fondé en grande partie sur le jugement, renforcé par l'expérience. Au
“L'art
fur et à demesure
l’ingénieurque est intrinsèquement
les techniques d'analysebasédes sur risques
l’appréciation
proposées des dans
risques. Cela est
la littérature
traditionnellement
deviennent de plus fondé
en en plusgrande partie sur le
sophistiquées, lesjugement,
ingénieurs renforcé
et les par l'expérience. ont
professionnels Au
fur et à mesure
préféré utiliser des queapproches
les techniques d'analyse
éprouvées des risques
et basées sur leproposées
jugement dans plutôtlaque littérature
sur de
deviennent de plus en
nouvelles techniques. pluspourtant
Il est sophistiquées,
nécessaire lesd'améliorer
ingénieurs les et méthodes
les professionnels
d'analyseont de
préféré
risques utiliser des approches
dans l'ingénierie éprouvées
des barrages et basées
et des sur le jugement
autres structures ayant plutôt
un fortque impactsur de
nouvelles
sécurité. C’est techniques. Il est pourtant
particulièrement nécessaire
pertinent lorsqued'améliorer les méthodes
les financements desd'analyse
travaux de
risques dans l'ingénierie
réhabilitation sont limitésdes et barrages
que les et des autres
dépenses structures
doivent ayant un
contribuer fort impact
à une réduction de
sécurité.
optimale du C’est particulièrement
risque. "(US National pertinent
Academy,lorsque 1983) 1 les financements des travaux de
réhabilitation sont limités et que les dépenses doivent contribuer à une réduction
optimale
En 2003,du la risque.
CIGB a"(US National
demandé au Academy,
Comité de1983) 1
la sécurité des barrages d’analyser le besoin de
mise à jour du bulletin CIGB 59 « Sécurité des barrages, recommandations », publié en 1987. Ce
En 2003,
bulletin était la CIGB
le premier a demandé
document émis par au Comité
le Comité dede la la
sécurité
sécurité desdesbarrages
barrages, d’analyser
créé en 1982,le besoin de
et avait
mise à jour du bulletin
une importance capitale CIGB 59 « Sécurité
car il traitait directement des la barrages,
questionrecommandations
posée par la CIGB, », décrite
publié en ainsi1987.
dansCe le
bulletin
préambule étaitdule bulletin
premier: document émis par le Comité de la sécurité des barrages, créé en 1982, et avait
une importance capitale car il traitait directement la question posée par la CIGB, décrite ainsi dans le
préambule “Ledu bulletin
Comité de: la sécurité des barrages a été créé comme organe de coordination pour
assurer une approche intégrée de tous les comités techniques de la CIGB vis-à-vis des
“Le Comitéde
questions de sécurité,
la sécuritépourdes orienter
barragesdes a été créé comme
actions lorsqueorgane de coordination
des insuffisances ou pour
des
assurer une
lacunes sontapproche
décelées,intégrée de tous
pour définir une lesphilosophie
comités techniques de la CIGB
de la sécurité commune vis-à-vis des
et pour
questions
préparer des delignes
sécurité, pour orienter
directrices générales dessuractions
la sécuritélorsque des insuffisances
des barrages conformesou des
à cette
lacunes
philosophie."sont décelées, pour définir une philosophie de la sécurité commune et pour
préparer des lignes directrices générales sur la sécurité des barrages conformes à cette
philosophie."
Le Bulletin 59 débute par l’établissement des bases philosophiques de la sécurité des barrages,
et souligne les principes et exigences de base qui doivent présider au développement des méthodes et
Le Bulletin
des techniques pour 59garantir
débute parquel’établissement
ces principes et des bases philosophiques
exigences seront respectés de lapendant
sécurité toute
des barrages,
la durée
et
desouligne les principes
vie du barrage. et exigences
Le Bulletin reconnait dequebase qui doivent
la demande présiderpour
sociétale au développement
des barrages plus dessûrs
méthodes et
se traduit
des
par techniques
une augmentationpour garantir des que ces principes
dépenses ; en et exigences
présence seront respectés
d’objectifs pendant
antagonistes toutel’efficacité
entre la durée
de vie du barrage.
économique Le Bulletin
et la sécurité, lereconnait que la demande
partage optimum sociétalelimitées
de ressources pour des barrages
n’est alors plus
pas sûrs se traduit
possible sans
par une augmentation
l’évaluation des dépenses
globale de la sécurité qui passe ; par
en uneprésence
estimation d’objectifs
du risque antagonistes
total de rupture entre l’efficacité
du barrage. A
économique
cette époque et la sécurité,
(1987) le partage
le Bulletin optimumestimation
conclut qu’une de ressources crédible limitées
de cen’est
risquealors
n’estpas
paspossible
réalisable,sanset
l’évaluation
encourage le globale de la sécurité
développement et laqui passe par
pratique d’uneuneapproche
estimation du risque total
probabiliste. de rupture
En résumé, lesdu barrage.de
concepts A
cette époque
l’évaluation et(1987) le Bulletin
de la gestion de laconclut
sécurité qu’une estimation
décrit dans crédible
le bulletin sontde ce risque n’estdéterministes,
essentiellement pas réalisable, et
tout
encourage
en introduisantle développement
des aspects semi et laprobabilistes
pratique d’une pourapproche probabiliste.
certains domaines de En résumé,
l’analyse de les concepts de
la sécurité.
l’évaluation et de la gestion de la sécurité décrit dans le bulletin sont essentiellement déterministes, tout
en introduisant
En 2005, desle aspects
Comité de semi probabilistes
la sécurité pour certains
des barrages publiadomaines
le Bulletinde 130l’analyse de la sécurité.
– « Évaluation des risques
pour la gestion de la sûreté des barrages, un état des lieux des bénéfices, méthodes et applications
actuellesEn ».2005, le Comité
Ce nouveau de la sécurité
bulletin signale des quebarrages
la pression publia le Bulletin
sociétale pour130 – « de
plus Évaluation
transparence des risques
et de
pour la gestion dans
responsabilité de la lessûreté des barrages,
décisions concernantun état la des lieux des
sécurité exige bénéfices, méthodes
une profonde et applications
mutation dans la
actuelles
philosophie ». Ce de nouveau
la prise bulletin signale Le
de décisions. queBulletin
la pression130 sociétale
s’appuie pour sur lesplusprogrès
de transparence
significatifset de
du
responsabilité
développementdans et delesla décisions
pratique des concernant
méthodes la tenant
sécuritécompteexige du unerisque
profondedansmutation
le domaine dansdes la
philosophie
« évaluationsde delasécurité
prise », de etdécisions. Le Bulletin
définit le cadre général130 d’unes’appuie
approche sur basée
les progrès significatifs
sur le risque pour lesdu
développement
décisions et de la pratique
concernant sécurité des méthodesbarrages. tenant Ce nouveau comptebulletin
du risque a été dansperçule domaine
par certainsdes
« évaluations de
professionnels sécurité
comme une», attaque
et définitcontre
le cadre général d’une
les méthodes approche basée
traditionnelles sur le risque
d’appréciation de la pour les
sécurité
décisions
décrites dans concernant
le bulletin la 59.sécurité
La position desdubarrages.
comité surCe nouveau
la sécurité desbulletin
barrages a est
étédifférente,
perçu par certains
et rappelée
professionnels
ci-dessous. comme une attaque contre les méthodes traditionnelles d’appréciation de la sécurité
décrites dans le bulletin 59. La position du comité sur la sécurité des barrages est différente, et rappelée
ci-dessous.L’approche traditionnelle de l’appréciation de la sécurité des barrages (basée sur des standards
et référentiels) débute par la formulation des exigences de sécurité et des critères associés à des
L’approche
classifications traditionnelle
préétablies à partirde l’appréciation
des aléas naturels de laousécurité des barragesd’une
des conséquences (basée sur des
rupture destandards
barrage.
et référentiels)
Les incertitudesdébutene sontpar paslatraitées
formulation des exigences
explicitement mais prisesde sécurité
en compte et indirectement
des critères associéspar le choixà des
de
classifications
coefficients de préétablies
sécurité et de à partir
valeurs desconservatives
aléas naturels ou les
pour descharges
conséquences d’une rupture de barrage.
et les résistances.
Les incertitudes ne sont pas traitées explicitement mais prises en compte indirectement par le choix de
1 Safety of Existing Dams: Evaluation and Improvement. Committee on the Safety of Existing Dams. National Research Council.
La plupart de ces lacunes dans le processus d’appréciation de la sécurité des barrages peuvent,
National Academy Press, Washington, D.C. 1983.
1« Safety
en principe », être éliminées par une mise en œuvre appropriée de l’approche utilisant ou tenant
of Existing Dams: Evaluation and Improvement. Committee on the Safety of Existing Dams. National Research Council.
compte
Nationaldes risques.
Academy Press,LeWashington,
bulletin 130 a 1983.
D.C. mis en exergue les principales limitations de cette approche basée
sur le risque (quantification des probabilités, estimation des conséquences, définition de l’acceptabilité
par la société du concept de risque acceptable), et il est encourageant de constater que des progrès
significatifs ont été réalisés dans tous ces domaines depuis l’édition de ce bulletin en 2005. Le « en
14
principe » de la phrase ci-dessus pourra bientôt être enlevé, et la perspective qu’une appréciation du
risque crédible et argumentée fournisse une base solide à une gestion des barrages par le risque
devient de plus en plus réaliste.
FOREWORD

FOREWORD
“Engineering is inherently based on weighing of risk. Traditionally, this has been drawn
to a large extent from judgment reinforced by experience. As techniques of risk analysis
offered in the literature have become increasingly sophisticated, practical engineers and
“Engineering
related professionals is inherently havebased preferred on weighing of risk. Traditionally,
to apply time-tested judgmental this has been drawn
approaches rather
to
that a large extent from judgment
new techniques. Yet there reinforced
is a need by to experience.
improve methods As techniques of risk analysis
of risk analysis for the
offered
engineering in theofliterature
dams and haveother become increasingly
structures whose safety sophisticated,
is important practical engineers
to the public and
interest.
related professionals
This especially applieshave where preferred
fundingtoforapply time-tested
remedial work is judgmental
limited and approaches
expendituresrather must
that new techniques.
be directed to achieveYet there is areduction
an optimum need to of improve
risk.” (USmethods
National of Academy,
risk analysis 1983)for2 the
engineering of dams and other structures whose safety is important to the public interest.
This
In 2003 especially
the Committeeapplies where on Dam funding
Safetyfor(CODS)
remedialwas workasked
is limited and expenditures
to review and assess must the need to
update ICOLD be directed Bulletinto achieve
59 - Dam anSafety
optimum reductionIssued
Guidelines. of risk.”in(US1987, National Academy,
the Bulletin was the 1983)first2 document
prepared by the ICOLD Committee on Dam Safety, which was created in 1982. The primary importance
of Bulletin In 592003 wasthe Committee
in directly on Damthe
addressing Safety (CODS)
challenge posed wasto asked to reviewbyand
the Committee assess
ICOLD. Thisthe need to
challenge
update
was describedICOLD Bulletinin the Foreword59 - DamtoSafety Guidelines.
the Bulletin Issued in 1987, the Bulletin was the first document
as follows:
prepared by the ICOLD Committee on Dam Safety, which was created in 1982. The primary importance
of Bulletin “The59 was in directly
Committee onaddressing
Dam Safety thewas
challenge posedas
established to athe Committee body
coordinating by ICOLD. This challenge
to assure an
was described integrated in the Foreword
approach oftoallthe BulletinTechnical
(ICOLD) as follows:Committees to safety issues, to guide
toward action where shortcomings or gaps may be perceived, to define a common safety
“The
philosophyCommittee and on to Dam
prepare Safety was established
general guidelines as on adam coordinating body to along
safety outlined assurethis an
integrated
philosophy.” approach of all (ICOLD) Technical Committees to safety issues, to guide
toward action where shortcomings or gaps may be perceived, to define a common safety
philosophy
Bulletin 59 and began to with
prepare general guidelines
the establishment on dam safety
of philosophical outlinedof along
foundations dam safety,this and
outlinedphilosophy.”
the basic principles and requirements which should govern the development of methods and
techniques ensuring that these principles and requirements are met during the entire life cycle of a dam.
The Bulletin Bulletin 59 began with
acknowledged thatthe establishment
growing of philosophical
societal demand for saferfoundations
dams involved of dam an safety,
increaseand in
outlined
expenditures the basicand that principles
the optimal and allocation
requirements whichresources
of limited should govern (in thethe development
presence of methods
of conflicting and
objectives
techniques
of economicensuring efficiency thatand these principles
safety) was not andpossible
requirements without areassessing
met duringthe theoverall
entire life cycle
safety ofofthe
a dam.
dam
The
through Bulletin acknowledged
an estimation of the totalthat riskgrowing
3
of a societal
dam failure.demand for safer
The Bulletin dams involved
concluded an increase
that at that time (1987) in
expenditures
credible estimation and that ofthe suchoptimal
risksallocation
was not of limited resources
achievable, (in the
but it also presence ofthe
encouraged conflicting
development objectives
and
of economicofefficiency
application a probabilistic and safety) approach. was In notsummary,
possible without assessing
the concepts the overalland
of assessing safety of the dam
managing
through
safety outlinedan estimation of the total
in the Bulletin were risk3 of a dam failure.
predominantly The Bulletin character,
of a deterministic concluded and that introduced
at that timevarious
(1987)
credible estimationcomponents
semi-probabilistic of such risks in somewas areasnot achievable, but it also encouraged the development and
of safety analysis.
application of a probabilistic approach. In summary, the concepts of assessing and managing dam
safety outlined
In 2005inthe theCODSBulletinissued were predominantly
Bulletin 130 –ofRisk a deterministic
Assessmentcharacter,in Dam Safety and introduced
Management: various A
semi-probabilistic
Reconnaissance of components
Benefits, Methods in some areas of safetyApplications.
and Current analysis. The new Bulletin pointed out that
steadily growing societal demands for transparency and accountability in the areas of decision making
which affect In 2005 safety therequired
CODS issued a profound Bulletin 130 – Riskchange
philosophical Assessment
in how in theDam Safety Management:
decision-making framework A
Reconnaissance
should be formulated. of Benefits,
Taking into Methods account andthe Current
significantApplications.
progress in Thethenew Bulletin pointed
development out that
and application
steadily
of advanced growing societal demands
risk-informed and risk-based for transparency
methodsand in theaccountability
fields of safety in theassessments,
areas of decision making
the Bulletin
which
outlined affect safetyframework
a general required aofprofound a risk-informedphilosophical
approach change in how making
to decision the decision-making
in dam safety.frameworkThis new
should
Bulletinbe has formulated.
been perceived Takingby intosome account the significant
professionals in theprogress in the development
dam engineering field as anand application
attack on the
of advanced
traditional ways risk-informed
of assessing and dam risk-based methods
safety outlined in the fields
in Bulletin of safetythe
59. However, assessments,
position of the the Bulletin
CODS on
outlined
this subject a general
is different,framework
and theofreasons a risk-informed approach
are explained below.to decision making in dam safety. This new
Bulletin has been perceived by some professionals in the dam engineering field as an attack on the
traditional The ways of assessing
traditional approach damtosafety outlined
dam safety in Bulletin (often
assessment 59. However, the position of thebegins
called standards-based) CODSwith on
this subject is different,
the establishment and the
of safety reasons areand
requirements explained
criteria below.
associated with a predetermined classification
system reflecting either the hazard potential or the consequences of dam failure. The uncertainty is not
addressed Thedirectly
traditional andapproach
it is accounted to dam for safety
in anassessment
indirect manner(often called standards-based)
by applying begins with
safety coefficients and
the establishment
conservatively safeofvaluessafetyforrequirements
resistance variables and criteriaand associated
loads. with a predetermined classification
system reflecting
Most of these eitherdeficiencies
the hazard in potential or theofconsequences
the process assessing theofsafety dam failure.
of dams Thecan,uncertainty
in principle, is not
be
addressed directly and it is accounted
                                                           
  for in an indirect manner by applying safety coefficients and
conservatively
2
Safety of Existingsafe Dams: values
Evaluationfor resistance
and Improvement. variables and on
Committee loads.
the Safety of Existing Dams. National Research Council.
NationalMostAcademy of these deficiencies
Press, Washington, D.C. in 1983.
the process of assessing the safety of dams can, in principle, be
3
In this document the term ‘risk’ refers to the characterization of both the probability of adverse consequences resulting from dam
failure and their magnitude. Detailed considerations with regard to ‘risk’ can be found in ICOLD Bulletin 130.
2
Safety of Existing Dams: Evaluation and Improvement. Committee on the Safety of Existing Dams. National Research Council.
National Academy Press, Washington, D.C. 1983.
3
In this document the term ‘risk’ refers to the characterization of both the probability of adverse consequences resulting from dam
failure and their magnitude. Detailed considerations with regard to ‘risk’ can be found in ICOLD Bulletin 130.

15
coefficients de sécurité et de valeurs conservatives pour les charges et les résistances.

La plupart de ces lacunes dans le processus d’appréciation de la sécurité des barrages peuvent,
« en principe », être éliminées par une mise en œuvre appropriée de l’approche utilisant ou tenant
compte des risques. Le bulletin 130 a mis en exergue les principales limitations de cette approche basée
sur le risque (quantification des probabilités, estimation des conséquences, définition de l’acceptabilité
par la société du concept de risque acceptable), et il est encourageant de constater que des progrès
significatifs ont été réalisés dans tous ces domaines depuis l’édition de ce bulletin en 2005. Le « en
principe » de la phrase ci-dessus pourra bientôt être enlevé, et la perspective qu’une appréciation du
risque crédible et argumentée fournisse une base solide à une gestion des barrages par le risque
devient de plus en plus réaliste.

Actuellement la communauté des barragistes est divisée entre une majorité lentement
décroissante de ceux pour qui l’approche traditionnelle est la seule digne de foi ; une minorité qui dénie
la validité des concepts de l’école traditionnelle ; et finalement, un troisième groupe qui gagne lentement
mais sûrement de l’audience, et qui pense que le développement systématique mais graduel des
techniques de l’analyse de risques dans le domaine de l’appréciation et de la gestion de la sécurité des
barrages est la voie de progrès. Ce développement doit être conditionné aux progrès réalisés tant sur
les méthodes analytiques de l’appréciation des risques, que sur la disponibilité des ressources
humaines et financières. Les analyses de risques requièrent davantage, en temps et en coûts, et elles
exigent des connaissances et des compétences différentes de l’approche traditionnelle ; il n’est donc
pas surprenant qu’une approche graduelle soit indispensable.

Cette observation nous amène finalement au point principal de ce préambule. Les barrages
sont des structures différentes de toutes autres réalisations techniques. Ce qui les différencie est leur
longévité, et par voie de conséquence, la longueur exceptionnelle de leur vie sur un plan économique.
La durée de vie caractéristique d’un barrage bien conçu dépasse facilement 100 ans. Il y a de très
nombreux exemples de barrages encore en service en Europe dont la construction remonte à la
révolution industrielle. On peut citer également des barrages en Iran construit il y a deux millénaires (les
barrages de Bahman et de Mizan respectivement au premier et au quatrième siècle de notre ère) et qui
sont encore en service. Parmi les différentes phases du cycle de vie d’un barrage (conception –
dimensionnement – construction – exploitation – réhabilitation – déclassement) la phase exploitation
est la plus longue, et impose que l’Entité responsable du barrage mette en place un processus à même
de traiter tous les aspects de la sécurité du barrage. Ce processus doit être conçu de manière à rester
efficace, et à être préservé de toutes les perturbations, internes ou externes, sur de longues périodes
de temps. Un tel système doit donc être en mesure d’identifier, de suivre et de traiter efficacement tous
les problèmes, potentiels ou réels, pouvant affecter la sécurité du barrage.

La difficulté de cette tâche augmente significativement quand l’Entité gère un parc de barrages.
La taille de ce parc peut compliquer sérieusement la priorisation des activités et des urgences pour le
traitement des nombreux problèmes rencontrés. Dans le domaine industriel ou commercial, la méthode
permettant de s’assurer de la réalisation de la totalité des activités opérationnelles s’appelle « système
de management ». Ces systèmes établissent une méthode systématique et cohérente permettant, à
partir des politiques, principes et valeurs d’une entité exploitant des barrages, d’aboutir à des activités
industrielles et commerciales. Puisque les impacts de sécurité liés à la présence ou l’exploitation d’un
barrage peuvent affecter le public, les biens et l’environnement, ces principes et ces politiques doivent
être en accord avec l’intérêt général de la population. L’intérêt général est généralement du ressort des
lois et règlements nationaux.

Dès la phase initiale de développement de ce Bulletin, et avec l’accord du Comité de sécurité


des Barrages, le groupe de travail arriva à la conclusion que la sécurité des barrages pendant leur
phase d’exploitation constituait l’enjeu principal, et le plus urgent à traiter vu le nombre de barrages
existants. Mais pendant l’écriture du bulletin il a été très vite évident que la gestion de la sécurité des
autres phases de la vie des barrages devrait être abordée et que ce travail doit être une priorité pour
les travaux futurs du Comité.

Ce bulletin traite de l’élaboration et la mise en œuvre d’un système de gestion de la sécurité


(SGS) des barrages en exploitation. Il met l’accent sur la structure générale d’une approche systémique
pour la gestion de la sécurité, et s’efforce de mettre au point un système abordant les différentes
interdépendances et englobant toutes les dispositions nécessaires pour assurer une bonne gestion de

16
this subject is different, and the reasons are explained below.

The traditional approach to dam safety assessment (often called standards-based) begins with
the establishment of safety requirements and criteria associated with a predetermined classification
system reflecting either the hazard potential or the consequences of dam failure. The uncertainty is not
addressed directly and it is accounted for in an indirect manner by applying safety coefficients and
conservatively safe values for resistance variables and loads.
Most of these deficiencies in the process of assessing the safety of dams can, in principle, be
eliminated by an appropriate application of either the risk-based or the risk-informed approach. Bulletin
130
2 pointed
Safety outDams:
of Existing the major limitations
Evaluation of the risk
and Improvement. approach,
Committee on the(quantification
Safety of ExistingofDams.
probabilities, estimation
National Research of
Council.
consequences,
National Academydefinition and societal
Press, Washington, acceptability of the tolerable risk concept), and it is encouraging
D.C. 1983.
3
In this document the term ‘risk’ refers to the characterization of both the probability of adverse consequences resulting from dam
to note that major progress has been made in all of these areas since the issuance of the Bulletin in
failure and their magnitude. Detailed considerations with regard to ‘risk’ can be found in ICOLD Bulletin 130.
2005. Therefore, the time when the conditional term “in principle” can be dropped from the sentence
above is getting closer and the expectation that a credible and comprehensive risk assessment could
provide a solid basis for a transparent and effective risk management of dams is becoming more and
more realistic.

At the present, the dam engineering community is divided between the slowly declining majority
which insists that the traditional approach is the only one which can be trusted; a minority constituted of
those who deny the validity of the traditional school concepts; and finally the third group which is slowly
but constantly gaining more support, and which is of the opinion that the systematic but gradual
expansion of risk techniques into the area of dam safety assessment and management is the proper
way to proceed. The expansion should be conditional not only on the satisfactory progress in developing
the analytic site of the risk assessment process, but also on the availability of financial and human
resources. Taking into account that risk-based analyses not only cost more, both in terms of time and
financial input, but also that they demand a different set of skills and knowledge than traditional dam
engineering, the necessity for a gradual approach should not be surprising.

And that observation finally brings us to the main point of this foreword. Dams are structures
that differ from many other engineering creations. What makes them different is the longevity of service,
and thereby, the exceptional length of their economic life. The typical life cycle of a properly engineered
dam can easily exceed 100 years. There are numerous examples of dams still in operation in Europe
whose construction goes back to the times of the Industrial Revolution. There are also dams in Iran,
built thousands years ago (Bahman Dam and Mizan Dam built in the 1st and 4th century A.D.,
respectively) and still in operation. Within the complete life cycle of a dam (concept – design –
construction – commissioning – operation – rehab/decommissioning) the operational phase is the
longest, and requires that the organization responsible for the dam has a process in place that is fully
capable of addressing all aspects of dam safety. This process should be developed in such a manner
that it remains effective over long periods of time and be immune from all external and internal
disturbances during that period. Thus, such system should be able to identify, track and address
effectively all potential and actual problems that can impact the safety of the dam.

The complexity of the task increases significantly when the organization has a portfolio of dams.
The size of the portfolio can add significant complications to the prioritization of actions and the
prioritization of urgency in solving numerous identified problems. In industry or in commerce, the method
by which integrity of all operational activities being carried out is assured is known as a management
system. Such systems establish a systematic and consistent way of translating a dam-owning
organization’s principles, policies and values into the outputs of industrial or commercial activities. Since
the safety impacts of dam presence or operation may affect people, property and the environment, these
principles and policies have to be in agreement with the general interest of the population. These
interests are usually protected by the country’s laws and government regulations.

Quite early in the initial stage of this Bulletin's development, the Working Group with the
consensus of the CODS came to the conclusion that the management of dam safety in the operational
phase is possibly the most challenging, and, taking into account the sheer number of existing dams,
also the most urgently needed. However, what also became readily apparent during our work on this
Bulletin is that another document dealing with the development and implementation of the modern safety
management approach to other phases of the dam life cycle should be considered as a priority task for
the CODS in the future.

This Bulletin is devoted to the development and the implementation of a dam safety
management system for dams in the operational phase of their life cycle. It outlines the general structure
of a systems approach to safety management, and strives to develop a system that can address all the
interdependencies, and encompass all the arrangements necessary to ensure proper dam safety
management. The outline is built on the principles established in Bulletins 59 and 130, as well as the
general philosophy that informs them both. In that respect this Bulletin is not intended to update or
replace the Bulletin 59 which although written in 1987 is still valid and should remain as a primary source
of guidance for these professionals who are applying traditional approach to dam safety.

17
Dès la phase initiale de développement de ce Bulletin, et avec l’accord du Comité de sécurité
des Barrages, le groupe de travail arriva à la conclusion que la sécurité des barrages pendant leur
phase d’exploitation constituait l’enjeu principal, et le plus urgent à traiter vu le nombre de barrages
existants. Mais pendant l’écriture du bulletin il a été très vite évident que la gestion de la sécurité des
autres phases de la vie des barrages devrait être abordée et que ce travail doit être une priorité pour
les travaux futurs du Comité.

Ce bulletin traite de l’élaboration et la mise en œuvre d’un système de gestion de la sécurité


(SGS) des barrages en exploitation. Il met l’accent sur la structure générale d’une approche systémique
pour la gestion de la sécurité, et s’efforce de mettre au point un système abordant les différentes
interdépendances et englobant toutes les dispositions nécessaires pour assurer une bonne gestion de
la sécurité du barrage. Son plan est fondé sur les principes et la philosophie générale établis dans les
bulletins 59 et 130. À cet égard ce bulletin n'est pas destiné à mettre à jour ou remplacer le Bulletin 59
qui, bien que rédigé en 1987, est toujours valable et doit le rester en tant que principale source de
conseils pour les professionnels qui utilisent l'approche traditionnelle de la sécurité des barrages.

Il est nécessaire ici de faire une observation à propos du processus de prise de décision inclus
dans la gestion de la sécurité des barrages existants. La nature de ce processus de prise de décision
peut être très variable selon les différents problèmes rencontrés sur les barrages en exploitation. On
peut d’une part prendre des décisions en comparant les résultats d’une analyse déterministe et les
mesures in situ aux exigences réglementaires et aux normes. D’un autre côté, si une approche prenant
en compte le risque est utilisée, la partie analytique devient beaucoup plus complexe, mais le résultat
de la comparaison de l’évaluation des risques fournit un tableau de l’état de la sécurité, et permet une
complète transparence de la prise de décision en comparant les risques évalués à des critères de
tolérabilité des risques. Ce bulletin ne prend pas position sur le type de prise de décision qui devrait être
adopté. Le système de gestion de la sécurité présenté dans le bulletin est compatible avec l’une ou
l’autre approche.

En conclusion, les auteurs et le Comité de la Sécurité des Barrages espèrent sincèrement que
ce bulletin sera utile pour l’élaboration, la mise en œuvre, la révision et l’amélioration de la gestion de
la sécurité des barrages à tous les niveaux des organisations.

PRZEMYSLAW A. ZIELINSKI
Président du Comité de la Sécurité des Barrages

18
consensus of the CODS came to the conclusion that the management of dam safety in the operational
phase is possibly the most challenging, and, taking into account the sheer number of existing dams,
also the most urgently needed. However, what also became readily apparent during our work on this
Bulletin is that another document dealing with the development and implementation of the modern safety
management approach to other phases of the dam life cycle should be considered as a priority task for
the CODS in the future.

This Bulletin is devoted to the development and the implementation of a dam safety
management system for dams in the operational phase of their life cycle. It outlines the general structure
of a systems approach to safety management, and strives to develop a system that can address all the
interdependencies, and encompass all the arrangements necessary to ensure proper dam safety
management. The outline is built on the principles established in Bulletins 59 and 130, as well as the
general philosophy that informs them both. In that respect this Bulletin is not intended to update or
replace the Bulletin 59 which although written in 1987 is still valid and should remain as a primary source
of guidance for these professionals who are applying traditional approach to dam safety.

A comment is needed with respect to the decision-making processes involved in managing the
safety of existing dams. Depending on the various decision-making problems which may occur during a
dam's operation, the nature of this process can vary substantially. On the one hand, these decisions
can be made using the approach of simply comparing the outcomes of deterministic analyzes and
observed values with standards and safety requirements. On the other hand, if the risk-informed
approach is to be used, then the analytic part becomes much more complex, but the resulting
comparison of assessed risks provides a more complete picture of the safety status, and ensures full
transparency of the decision-making process by comparing the assessed risk with the tolerable risk
criteria. This Bulletin is in a way neutral with respect to which type of decision-making approach should
be selected. The safety management system presented in the Bulletin allows for the use of either of the
two approaches.

In conclusion, the authors and the entire Committee on Dam Safety sincerely hope that the
Bulletin will be helpful in developing, implementing, reviewing and improving the management of dam
safety at all organizational levels.

PRZEMYSLAW A. ZIELINSKI
Chairman, Committee on Dam Safety

19
REMERCIEMENTS

Le Comité de la sécurité des barrages et les représentants officiels de la CIGB remercient


chaleureusement les membres du groupe de travail et le soutien fourni par leurs organisations. Le texte
final de ce bulletin est le fruit d’un effort collectif de tout le comité qui a validé les orientations générales
et fourni une contribution précieuse au cours de la période allant de 2004 à 2010. Le groupe de travail
a assuré le travail de conversion de ces orientations en guide technique pour la gestion des risques des
barrages. Le groupe non seulement a agi en tant que forum d'échange d'idées, mais il a aussi contribué
à examiner et à commenter les nombreuses versions projets. Enfin, la rédaction des versions projets et
la préparation du texte final ont été effectuées par :

1. Dr. D.N.D. Hartford, Principal Engineering Scientist, BC Hydro, Canada – soutien


financier et en nature fourni par BC Hydro ;
2. Mr. M. Poupart, Attaché sûreté hydraulique à Electricité de France, actuellement
Consultant indépendant, France - soutien financier et en nature fourni par Electricité de
France ;
3. Dr. P. A. Zielinski, Manager Technology and Dam Safety, Ontario Power Generation,
Canada - soutien financier et en nature fourni par Ontario Power Generation ;

Les autres membres du groupe de travail :

4. Dr. D.S. Bowles, Director, Institute for Dam Safety Risk Management and Professor,
UWRL/Civil and Environmental Engineering, Utah State University, and Principal, RAC
Engineers & Economists, United States of America - soutien financier et en nature fourni
par Utah State University ;
5. Ing. F.L. Giuliani, Director – Dam Safety, ORSEP - Organismo Regulador de Seguridad
de Presas, Argentina - soutien financier et en nature fourni par ORSEP;
6. Mr. J.P.F.M. Janssen MSc Eng. – Rijkswaterstaat, the Netherlands - soutien financier
et en nature fourni par Rijkswaterstaat ;
7. Prof. R. Lafitte – Professor, Swiss Federal Institute of Technology, Switzerland.
8. Mr. S. McGrath – General Manager Infrastructure, Goulburn-Murray Water, Australia -
soutien financier et en nature fourni par Goulburn-Murray Water ;
9. Mr. D. Stewart – Managing Director, Goulburn-Murray Water, Australia - soutien
financier et en nature fourni par Goulburn-Murray Water.

Il faut souligner l'effort important fourni par les membres de ce groupe dont le travail a joué un
rôle décisif pour l’aboutissement de sa mission. Les compétences et l’expérience des membres du
groupe de travail couvraient un large spectre des parties prenantes de la sécurité des barrages –
gouvernement, organismes de contrôles, propriétaires, bureaux d’études et universités. Cette vision
globale sur les aspects du contrôle, de l’organisation, du management et de l’ingénierie de la gestion
de la sécurité des barrages aidera, espérons-le, les lecteurs de ce bulletin à élaborer et à mettre en
œuvre des systèmes de gestion des risques barrage pour les entités propriétaires ou exploitants.

Un remerciement final à Mme C. Raska de BC Hydro qui a consacré de son temps pour
organiser et éditer la version finale, qui rend ce bulletin plus facile à lire.

20
ACKNOWLEDGMENTS

The Committee on Dam Safety and the ICOLD Executive gratefully acknowledge the
contribution of members of the Committee’s Working Group and the support provided by their
sponsoring organizations. The final text of the Bulletin is the result of the collective effort of the entire
CODS which continued providing general guidance and valuable input during the period of 2004 to 2010.
The task of converting this guidance into technical guidelines for managing dams’ risks rested with the
Working Group. The Group not only acted as a forum for exchange of ideas but was also instrumental
in reviewing and commenting on numerous drafts. Finally, the task of writing the drafts and preparing
the final text was carried out by:

1. Dr. D.N.D. Hartford, Principal Engineering Scientist, BC Hydro, Canada – financial and
in kind assistance provided by BC Hydro;
2. Mr. M. Poupart, previously Dam Safety Advisor at Electricité de France, presently
Independent Consultant, France - financial and in kind assistance provided by
Electricité de France;
3. Dr. P. A. Zielinski, Manager Technology and Dam Safety, Ontario Power Generation,
Canada - financial and in kind assistance provided by Ontario Power Generation;

The other members of the Working Group:

4. Dr. D.S. Bowles, Director, Institute for Dam Safety Risk Management and Professor,
UWRL/Civil and Environmental Engineering, Utah State University, and Principal, RAC
Engineers & Economists, United States of America - financial and in kind assistance
provided by Utah State University;
5. Ing. F.L. Giuliani, Director – Dam Safety, ORSEP - Organismo Regulador de Seguridad
de Presas, Argentina - financial and in kind assistance provided by ORSEP;
6. Mr. J.P.F.M. Janssen MSc Eng. – Rijkswaterstaat, the Netherlands - financial and in
kind assistance provided by Rijkswaterstaat;
7. Prof. R. Lafitte – Professor, Swiss Federal Institute of Technology, Switzerland.
8. Mr. S. McGrath – General Manager Infrastructure, Goulburn-Murray Water, Australia -
financial and in kind assistance provided by Goulburn-Murray Water;
9. Mr. D. Stewart – Managing Director, Goulburn-Murray Water, Australia - financial and
in kind assistance provided by Goulburn-Murray Water;

It needs to be stressed that the effort provided by the members of the Working Group was
extensive and its work was instrumental for completion of the task. The knowledge and experience of
Working Group members covered the wide spectrum of potential stakeholders of dam safety – the
government, the regulators, the owners, the consultants and the academia. This breadth of perspective
on regulatory, organizational, managerial and engineering aspects of dam safety management can
hopefully provide the readers of this Bulletin with the help in designing and implementation of the modern
comprehensive management system for managing risks of dam owning and operating organizations.

The final acknowledgement is extended to Ms. C. Raska from BC Hydro who volunteered her
time and performed an extensive editing work of the final draft and made this Bulletin better organized
and easier to read.

21

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43
 

 
3. SYSTÈME DE GESTION DE LA SÉCURITÉ DES BARRAGES

3. SYSTÈME DE GESTION DE LA SÉCURITÉ DES BARRAGES


3.1. GÉNÉRALITÉS

3.1. GÉNÉRALITÉS
Dans la plupart des sites de production industriels5, un « système de management » est la
méthode permettant la mise en œuvre des activités industrielles et assurant que l’activité industrielle est
bien effectuée. Globalement, le système de management définit une méthode systématique et consistante
Dans la les
pour transformer plupart des les
valeurs, sites de production
principes industriels
et les politiques
5
, un
d’une « système
entreprise de de management
production » est ou
en produits la
méthode permettant
résultats d’une la mise
activité en œuvre
industrielle des activités industrielles
ou commerciale. et assurant
Ceci est réalisé via une que
sériel’activité industrielle
de tâches est
liées entre
bien
elles effectuée. Globalement,
et permettant le système
l’atteinte d’un deentre
équilibre management
toutes lesdéfinit une comme
activités, méthodeillustré
systématique et 3.
sur la Fig. consistante
pour transformer les valeurs, les principes et les politiques d’une entreprise de production en produits ou
résultats d’une activité industrielle ou commerciale. Ceci est réalisé via une série de tâches liées entre
elles et permettant l’atteinte d’un équilibre entre Politiques
toutes lesetactivités, comme illustré sur la Fig. 3.
Objectifs

Politiques et
Objectifs
Amélioration
continue  Élaboration 

Amélioration
continue  Élaboration 

Audits, revues
Mise en œuvre 
et rapports 

Audits, revues
Mise en œuvre 
et rapports 
Suivi et évaluation
des performances

Suivi et évaluation
Fig. 3
des performances
Éléments d’un système de management

Fig. 3
Les politiques et les objectifs Éléments
fixentd’un
unesystème
directiondeclaire
management
pour atteindre tous les objectifs de
l’organisation. Ces politiques et objectifs incluent les stratégies qui permettent de concilier des objectifs
internes antagonistes et donnent les moyens et les méthodes de priorisation entre ces objectifs de
Les politiques
manière à assureretleles objectifs
succès global defixent une direction claire pour atteindre tous les objectifs de
l’entreprise.
l’organisation. Ces politiques et objectifs incluent les stratégies qui permettent de concilier des objectifs
internes antagonistes et
L’étape d’élaboration donnent
fixe les moyens
des objectifs et des et les à
cibles méthodes
atteindre,de priorisation
développe desentre
plansces
pourobjectifs de
la mise en
manièreetà assurer
œuvre, le succès
définit les global
standards de l’entreprise.Une évaluation complète des risques et incertitudes
de performance.
pouvant impacter négativement la production et l’atteinte des objectifs, ainsi que la prise en compte des
L’étape par des plansfixe
imprévusd’élaboration des objectifs et
de contingence, des cibles
doivent à atteindre,
normalement développe
précéder des plans
la phase pour en
de la mise la mise en
œuvre.
œuvre,étape
Cette et définit
inclutles standards
également de performance.
la détermination desUne évaluation
ressources complèteàdes
nécessaires risques
l’atteinte desetobjectifs.
incertitudes
pouvant impacter négativement la production et l’atteinte des objectifs, ainsi que la prise en compte des
imprévusde
L’étape par desen
mise plans de contingence,
œuvre met en place doivent normalement
une structure précéder
de gestion laet
efficace phase de la mise
un système en œuvre.
de procédures
Cette étapel’atteinte
qui assure inclut également la détermination des ressources nécessaires à l’atteinte des objectifs.
des objectifs.

L’étape
Le suivide et mise en œuvre
l’évaluation des met en place une informent
performances structure de surgestion efficace
l’efficacité et un système
de l’activité et sur de procédures
la capacité du
qui assure
système del’atteinte
gestion des objectifs.les objectifs définis. Les critères de performance sont ceux qui ont été
à respecter
définis lors de l’étape d’élaboration.
Le suivi et l’évaluation des performances
                                                                   informent sur l’efficacité de l’activité et sur la capacité du
5système de gestion
Le terme “industriel” doit àêtrerespecter
compris dans les un
objectifs définis.
sens large, Lesaux
non limité critères de performance
seules industries sont ceux qui ont été
manufacturières.
 définis lors de l’étape d’élaboration.
                                                                 
12 
5
Le terme “industriel” doit être compris dans un sens large, non limité aux seules industries manufacturières.
   

44
12 
 
 

3. DAM SAFETY MANAGEMENT SYSTEMS



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La politique de sécurité fixe 
une orientation claire à 
l’Entreprise. 
Objectif du programme de la 
sécurité des barrages  
Modifications des politiques et du  Objectifs de performance  
programme à partir :  Identification des aléas et des 
‐ Des audits, revues et rapports  risques (appréciation du risque) 
‐ Des mesures et de l’évaluation  Responsabilité de l’Entreprise 
de la performance  Gestion de l’Information 
Politiques et 
Objectifs 

Amélioration  Élaboration
continue 

Audits, revues et 
Mise en œuvre
rapports 

Suivi et évaluation 
des performances  Structure de management pour 
Revue des performances différentes phases du cycle de vie
Audit interne et externe Maintenance et réhabilitations 
Gestion des modifications 
Plans d’urgence 
Analyse et évaluation des 
performances  
ϭϱ Inspection, contrôle et mesures

Rapports d’incidents et 
d’accident 

Fig. 4
Éléments d’un système de gestion de la sécurité des barrages

3.5. POLITIQUES ET OBJECTIFS

50
3.5.1. Politique de sécurité des barrages
 


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risques 

Suivi des PROCESSUS Données d’accidents


performances  DECISIONNEL et d’incidents 
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ACTION

 
Fig. 7
Processus intégré de prise de décision (prenant en compte le risque)

3.7. MISE EN ŒUVRE

3.7.1. Gestion des processus

Le SGS doit identifier tous les processus nécessaires à l’atteinte des objectifs de performance
et au respect des exigences de sécurité. Il doit également veiller à ce que ces processus soient mis en
œuvre, évalués et améliorés en permanence. Le SGS doit enfin définir comment les processus sont
mis en œuvre et contrôlés.

Dans l'élaboration des processus individuels, il faut identifier les points suivants :

 Tous les aléas et les risques qui sont raisonnablement prévisibles pendant la durée de
vie du barrage ;
 Le séquençage et les interactions avec les autres processus ;
 Les entrées et sorties du processus ;
 Les critères de mesure.

Si l’organisation n’a pas un système de gestion intégré, il faut veiller à identifier l’ensemble des
processus en place et leurs interactions avec le SGS.

De même, au plus bas niveau de l'organisation, le SGS doit spécifier comment les différentes
activités de différents groupes impliqués dans un processus particulier du SGS sont planifiées et gérées
efficacement.

Le SGS doit garantir qu’il y a un responsable pour chaque processus, ayant autorité pour :

62  Élaborer et documenter le processus ;


 Assurer l’efficacité des relations et interfaces avec les autres processus ;

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3.7. IMPLEMENTATION

3.7.1. Process Management

The DSMS must identify all processes that are needed to achieve the safety performance goals
and meet safety requirements. It also has to ensure that these processes are implemented, assessed
and continually improved. The DSMS should also determine methods to ensure both implementation
and control of the processes.

In developing individual processes, the following aspects should be identified:

 All hazards and risks reasonably foreseeable for the current life-cycle stage of dam
system;
 Sequencing and interactions with other processes;
 Process inputs and outputs;
 Measurement criteria.

If the DSMS is not a part of a fully integrated management system, special care should be taken
in identifying how many other processes are in place in the organization and how they interrelate with
the DSMS.

Similarly, at the lower organizational level, the DSMS has to specify how different activities
between different groups involved in a single DSMS process are planned and managed in an effective
manner.

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71

 

Un processus de revue du système de management par la direction générale doit être prévu
dans le SGS. Ce processus porte non seulement sur l'efficacité du SGS mais également sur l’examen
de toutes les interfaces et les interrelations avec d'autres systèmes de gestion.

Mesure et
Évaluation de la
Processus de Performance
mesures et de suivi 

Analyse et Management de
évaluation  première ligne

Actions correctives 

Amélioration
continue 

Audit indépendant

Direction
Évaluation interne générale

Revue du système
de gestion de la
sécurité (SGS)  Audit, Revue
et Rapport

Fig. 8
Relations au sein du système de gestion de la sécurité

3.10. AMÉLIORATION CONTINUE

Un des objectifs du SGS est l'amélioration continue de tous les processus qui le constituent.
Les possibilités d'amélioration doivent être identifiés sur la base de :

 La revue du système de gestion ;


 L'évaluation interne et les audits indépendants ;
 Les contributions de la ligne hiérarchique.

Ces trois types de contribution peuvent concerner uniquement des possibilités d'amélioration
des différents niveaux de l'organisation. On peut identifier et mettre en œuvre des améliorations à
plusieurs niveaux :

 Au niveau du système de gestion, par la révision de la structure de gestion, la révision


de processus individuels, ou la mise en œuvre de nouveaux processus ;
 Au niveau du processus ;
 Au niveau de l’activité, par l'amélioration des activités réalisées au sein des processus
existants.

27 
 

72
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should also examine all interfaces and interrelations with other managed systems.


Fig. 8
Relationships within Dam Safety Management System

3.10. CONTINUOUS IMPROVEMENT

Continuous improvement of all processes constituting the DSMS should be one of the objectives
of the DSMS. Opportunities for improvement should be identified on the basis of:

 Management system review;


 Internal assessment and independent audit;
 Input from line management.

Input from these three activities can relate improvement opportunities with the unique
perspectives of different levels of the organization. Improvements can be identified and implemented at
several levels:

 Level of the management system by revision of the management structure, revision of


existing individual processes, or by implementation of new processes;
 Process level;
 Working level by improvement of activities conducted within the existing processes.

Continuous improvement processes should include the following elements:

 Reason for improvement;

 
73


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increasingly stated in publicly available Social Responsibility Reports. For example, a company may
value the environment and may require specific consideration of environmental impacts in its operations
and in its evaluation of options. Responsible Entities value their dams and as a matter of principle often
assign expenditures on dam safety a higher priority than other operational expenditures in order to
protect the operations and to prevent catastrophic losses.

One of the cornerstones of the organization’s system of values and principles is the presence
of a proper safety culture. The organization should recognize the enormous value of a strong and robust
safety culture in achieving its objectives and should ensure that the basic elements (see Fig. 9) are in
place.

Fig. 9
Characteristics of Strong Safety Culture
(from Management System for Nuclear Installations, IAEA Safety Guide GS-G-3.5, 2009)

Leadership for safety requires that all levels of management, especially senior management, be clearly
committed to safety. Involvement of management in all safety aspects is clearly visible and the
organization ensures that the necessary skills are available. The organization strives for relationships
built on trust, full openness, good communication and efficient conflict resolution mechanisms.

That safety is a clearly recognized value can be reflected by high priority given to safety in allocation of
resources and in business plans. High priority to safety also has to be clearly shown in communication
and decision making. The entire staff has to be convinced that safety is at least as important as
production and management at levels should reinforce safety conscious behaviour and encourage social
acceptance.

Clear accountability for safety requires that ownership of the safety concept be evident at all levels of
the organization and refer to the entire workforce. Roles and responsibilities are clearly defined and
understood, and delegation of responsibility and authority is carried out in a way that ensures clear
accountabilities at all levels. Level of compliance with regulations and internal safety procedures is high.

79


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combinent souvent de telle manière que les deux fonctions fondamentales se retrouvent en conflit.
D’habitude la phase d’implémentation est de la responsabilité du groupe qui exploite le barrage tandis
que la détermination du niveau de sécurité est faite si possible indépendamment du management de
l’exploitation, mais en consultation avec le conseil d’administration (ceci n’exclut pas une consultation
préalable du management de l’exploitation).

Une forme générale de structure de gouvernance, mais nullement la seule valable, avec une relation
de surveillance et d’information indépendante des opérations d’exploitation, est présentée dans la Fig. 10.

Fig. 10(*)
Exemple d’une structure de gouvernance
(*) voir figures en couleur à la fin du bulletin

La mise en place de mesures de sécurité a lieu dans l’unité d’exploitation. Une autre structure
pourrait placer la supervision de la sécurité également dans l’unité d’exploitation avec un mode de
reporting légèrement différent. Dans un troisième modèle l’implémentation des mesures de sécurité
pourrait se faire en dehors de l’unité d’exploitation.

Il y a lieu de relever que l’inventaire des barrages est décisif pour la mise en place d’une politique
de sécurité et qu’il doit être clairement défini et mis à jour. Le type d’information y figurant (pas forcément
accessible au public) est laissé à l’appréciation de l’unité en charge ou est fixé par une réglementation
officielle. L’inventaire fait partie du “registre des actifs” de l’organisation et peut être un sous-registre d’un
portefeuille beaucoup plus large d’actifs, pour lequel un système global de gestion des actifs peut exister.

EXEMPLE D’INFORMATION FIGURANT DANS L’INVENTAIRE D’UN BARRAGE


Information technique
- Nom du barrage
- Emplacement
- Type du barrage
- Hauteur du barrage
- Longueur du couronnement
- Volume du réservoir
- Année de construction
Information sur la sécurité
- Classe de potentiel de danger
- Buts de l’exploitation
- Mesures en cas d’urgence
- Population concernée ; infrastructure concernée ; système écologique concerné ;
culture et héritage concernés ; fonctions d’exploitation concernées (des prévisions de
pertes peuvent être aussi mentionnées)
- Rapports sur la sécurité
Information financière
- Contribution du barrage à l’exploitation
- Coût total d’une rupture du barrage (pertes des tierces parties au minimum)
- Coûts de réparation ou de reconstruction après accident

4.3. SÉCURITÉ DES BARRAGES : RÔLES ET RESPONSABILITÉS

4.3.1. Mise en œuvre d’une politique

La mise en œuvre d’une politique de sécurité des barrages implique de rendre les fonctions
présentées dans la Fig. 1 (et reprises avec davantage de détails dans la Fig. 11) complètement
opérationnelles pour atteindre les objectifs recherchés.

 Quand le comportement d’un barrage indique qu’il y a des déficiences réelles ou potentielles,
le passage d’activités de surveillance de la sécurité du barrage à celles d’amélioration de la sécurité
peut être très complexe, hautement itératif et très accaparant en termes de ressources – afin de
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4.4.5.3. Cadre basé sur le risque


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4.4.5.1. Standards-Based Framework


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4.4.5.2. Generally Accepted Framework

 
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4.4.5.3. Risk-Based Framework


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4.4.5.4. Cadre faisant appel au risque


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4.4.5.3. Risk-Based Framework


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4.4.5.4. Risk-Informed Framework


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x Broadly acceptable risk$QDQQXDOULVNRIFDVXDOW\VLJQLILFDQWO\ORZHUWKDQDULVLQJ
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