RL D Commissioning and Operation - 2018 - 04 - 06

Federal Department of the Environment, Transport, Energy and
Communications (DETEC)
Swiss Federal Office of Energy (SFOE)

Supervision of Dams section
English is not an official language of the Swiss Confederation. This translation is provided P
for information purposes only and does not serve as a reference for Swiss facilities.
Directive on the Safety of Water Retaining

Facilities
Part D: Commissioning and operation

Commissioning - Maintenance - Surveillance
Note: This document is a preprint of Part D of the Directive on the Safety of Water Retaining
Facilities (revised version, 2014-2015).
The Directive is addressed to the relevant supervisory authorities and the operators of water
retaining facilities. It contains detailed information that is required for the application of the
relevant articles of the Water Retaining Facilities Act (WRFA) and the Water Retaining
Facilities Ordinance (WRFO). Deviations from the Directive are permissible as long as they
facilitate the attainment of the specified safety objectives.
The most recent version replaces all previous versions.

Version Amendment Date
2.0 Complete revision of 2002 Directive of the Federal Office for Water 30.10.2015
and Geology
Publishing details
Published by:
Swiss Federal Office of Energy, Supervision of Dams Section, 3003 Bern
Preparation:
Revision of Part D workgroup:
N. Bretz, Hydro Exploitation SA
M. Côté, Swiss Federal Office of Energy (SFOE)
G. Darbre, Swiss Federal Office of Energy (SFOE)
L. Mouvet, Hydro Operation International SA
G. L. Perito, Ufficio dei corsi d'acqua, Cantone Ticino
D. Pozzorini, Dr. Baumer SA Geologi Consulenti
B. Schlegel, Pöyry Schweiz AG
A. Siegfried, Elektrizitätswerk der Stadt Zürich ewz
H. Stahl, AF-Consult Switzerland AG
Approval:
Core revision group:
A. Baumer, Swiss Committee on Dams (SCD)
R. Boes, Federal Institute of Technology, Zurich, Laboratory of Hydraulics, Hydrology and
Glaciology
G. Darbre, Swiss Federal Office of Energy (SFOE)
S. Gerber, Swiss Federal Office of Energy (SFOE)
H. Meusberger, Swiss Conference of Cantonal Directors of Building, Planning and Environment
T. Oswald, Swiss Federal Office of Energy (SFOE)
B. Otto, Swiss Water Management Association
R. Panduri, Swiss Federal Office of Energy (SFOE)
M. Perraudin, Association of Swiss Electricity Companies
A. Schleiss, Federal Institute of Technology, Lausanne, Hydraulics Laboratory
A. Truffer, Conference of Cantonal Energy Directors
Formally adopted by the management board of the SFOE on 1 September 2015.
Date
First published on 30 October 2015 (Version 2.0)
Contents – Part D
Contents – Part D .................................................................................................................. 3
1. Introduction ............................................................................................................... 5
2. Commissioning ......................................................................................................... 5
2.1 Prerequisites ............................................................................................................. 5
2.2 Commissioning licence (Article 7, WRFO)................................................................. 5
2.3 Commissioning of a water retaining facility in which the filling of the reservoir ........... 6
2.4 Commissioning of a water retaining facility in which the filling of the reservoir cannot
be carried out in a controlled manner ..................................................................................... 8
2.5 Commissioning report (Article 13, paragraph 1, WRFO)............................................ 8
2.5.1 Commissioning with controlled reservoir filling .......................................................... 8
2.5.2 Commissioning with reservoir filling that cannot be controlled ................................... 8
2.6 Transition to the operating phase .............................................................................. 9
3. Operation .................................................................................................................. 9
3.1. Operation .................................................................................................................. 9
3.2. Maintenance ............................................................................................................. 9
3.3. Surveillance ............................................................................................................ 10
4. Surveillance ............................................................................................................ 10
4.1. Organisation and extent of surveillance activities .................................................... 10
4.1.1 Objectives ............................................................................................................... 10
4.1.2 Organisation of monitoring activities........................................................................ 12
4.1.3. Monitoring system: Categories of measurement instruments ................................. 13
4.1.4. Measurement system: instrumentation range ......................................................... 14
4.1.5. Surveillance regulations (Article 14, paragraph 2, WRFO) ..................................... 15
4.2. Level 1 surveillance................................................................................................ 16
4.2.1. Introduction ............................................................................................................ 16
4.2.2. Job profile of dam warden ...................................................................................... 17
4.2.3. Extent of surveillance activity ................................................................................. 18
4.2.4. Geodetic measurements ........................................................................................ 21
4.2.5. Inspection of relief and outlet works ....................................................................... 22
4.3.1. Introduction ............................................................................................................ 22
4.3.2. Profile of the qualified professional......................................................................... 22
4.3.3. Annual visual inspection by the qualified professional ............................................ 23
4.3.4. Continuous evaluation of measurement results ...................................................... 23
4.3.5. Annual report.......................................................................................................... 24
4.3.6. Delivery of annual report and implementation of recommendations made by the
qualified professional ........................................................................................................... 25
4.4. Level 3 surveillance................................................................................................. 25
4.4.1. Introduction ............................................................................................................ 25
4.4.2. Profiles of the experienced experts ........................................................................ 26
4.4.3. Five-yearly site inspection ...................................................................................... 27
4.4.4. Five-yearly report .................................................................................................... 28
4.4.5. Precise geodetic measurements ............................................................................ 29
4.4.6. Delivery of five-yearly reports and implementation of recommendations made by
the experienced experts ....................................................................................................... 29
4.5.1. Introduction ............................................................................................................ 29
4.5.2. Examination of the annual report............................................................................ 29
4.5.3. Examination of five-yearly reports .......................................................................... 30
4.5.4. Inspections by the supervisory authority................................................................. 30
5. Archive ................................................................................................................... 30
5.1. Content .................................................................................................................. 30
5.2. Location of the archive ........................................................................................... 31
6. Notifications to the supervisory authority ................................................................ 31
6.1. Notification regarding maintenance/renovation work .............................................. 31
6.2. Notification regarding malfunctions and operating anomalies ................................. 32
6.3. Other notifications .................................................................................................. 32
7. References ............................................................................................................. 33
Enclosure 1: inspections following an earthquake ................................................................ 34
Enclosure 2: Five-yearly site inspection ............................................................................... 40
Enclosure 3: Detailed content of dam’s archive .................................................................... 41
1. Introduction
Part D of the Directive deals with the safety of water retaining facilities during commissioning
and operation (Articles 7 and 8, WRFA and Chapter 2, Section 2, Articles 11 to 24, WRFO). It
applies to water retaining facilities of all types, regardless of their dimensions, purpose and
operator.
The implementation of the requirements specified in this part of the Directive must be
adapted to the characteristics and to the surveillance needs of the facility considered within
the scope of the legal provisions of WRFA and WRFO (principle of proportionality).1
2. Commissioning
2.1 Prerequisites
A licence from the relevant supervisory authority is required for the initial commissioning of
a water retaining facility or its components (e.g. following a heightening of the dam). The
same applies with respect to the recommissioning of a facility following a total or partial
drawdown ordered by the relevant supervisory authority.
2.2 Commissioning licence (Article 7, WRFO)
An application for a commissioning licence must contain all the information that is required
for carrying out a safety assessment in order to ensure that there is no threat to the safety of
the population during the operation of the facility. As a rule, the required information is listed
in the documents cited in Table D1 and, where necessary, in additional documents.
Documents References Comments
Acceptance report on Article 9, paragraph 3, Compiled by the supervisory authority

construction work WRFO
Commissioning programme Article 12, paragraph 1, Describes the foreseen commissioning

Reservoir filling programme WRFO modalities, including any reservoir filling stages if
filling can be carried out in a controlled manner
Surveillance regulations Specifies the required visual inspections,

during commissioning phase measurements, function tests and assessments
through to the normal operating stage
Gate regulations Article 11, paragraph 1a, cf. Part C2 of the Directive
WRFO
Emergency regulations Article 11, paragraph 1b, cf. Part E of the Directive
WRFO
Table D1: Documents which, as a rule, have to be submitted together with the licence
application
1 Specific implementation guidelines for dams on the Upper Rhine and the Aare are available from the Supervision of Dams
Section of the Swiss Federal Office of Energy (SFOE). Implementation guidelines for smaller water retaining facilities are
available on the SFOE website.
The supervisory authority checks whether the safety requirements are met before it issues a
commissioning licence. It may also request additional information and specify conditions
governing commissioning.
Even if certain information still has to be provided, the supervisory authority may approve
commissioning as long as there is no threat to public safety. In its approval, it specifies a
deadline by which the missing information must be provided. The supervisory authority may
also issue a licence for partial commissioning of the facility, for example if an acceptance
report has only been compiled for a certain part of the construction work.
Commissioning licences issued by the supervisory authority comprise the following content in
particular:
Documentation Comments
List of documents on which the issue In particular, documentation that was submitted together with the
of the licence is based licence application, for example, reservoir filling programme and dam
regulations
Criteria that must be met concerning For example, adherence to the reservoir filling stages with prior
the way in which commissioning is approval by the supervisory authority when moving from one stage to
carried out the next; measurements to be carried out; required visual inspections
and function tests.
List of documents and required Including specification of the deadline for submitting the documentation
information to be provided during and information
and upon completion of
commissioning
Facility-specific requirements According to the special characteristics of the facility
Table D2: Content of commissioning licence
In accordance with the legislation governing water retaining facilities, the holder of the
commissioning licence is deemed to be the operator of the facility (Article 1, paragraph 5,
WRFO). When a commissioning licence is issued, the holder is not only authorised to use
the facility in accordance with the provisions of the WRFA, but is also obliged to take
responsibility for the safety of the facility in accordance with the provisions of the WRFA, the
WRFO and the criteria specified in the licence. The licence is personal and non-transferable.
In particular it may not be assigned to another company (even if the operating personnel
remain unchanged).
2.3 Commissioning of a water retaining facility in which the filling of the reservoir
can be carried out in a controlled manner
The operator is required to formulate a commissioning programme in which the way filling will
be carried out (reservoir filling programme) is described, together with the surveillance in
place (i.e. surveillance regulations during commissioning) until the commencement of normal
operation. This commissioning programme must be submitted together with the licence
application.
Reservoir filling programme
If the reservoir can be filled in a controlled manner (for example in the case of water retaining
facilities equipped with discharge works that can be used for controlling the water level in the
reservoir, or in which it is possible to limit or interrupt inflow), this is normally carried out in
stages. The reservoir filling programme should contain the following information in particular:
- speed at which the water level rises and the levels of the interim filling stages, including
their duration, as well as the conditions and procedures for maintaining the water level at
each stage;
- deformations or other behavioural characteristics to be anticipated during filling;
- measurements, function tests and visual inspections that are to be carried out at each
filling stage, together with the methods for evaluating the various measurements and
inspections;
- way in which the rise in water level will be controlled in the event of a flood.
The choice of the number of filling stages and their reservoir levels is based on the following
parameters:
- the geological conditions and status of knowledge about the underground;

- the dimensions of the dam and reservoir;
- the necessity to carry out function tests on the relief and outlet works at intermediate
water levels;
- the results of the function tests, visual inspections and measurements in the initial filling
stages, that could lead to modification of the original programme.
As a rule, the filling procedure is as follows:

i. Slow increase in water level up to the first filling stage. Frequent visual inspections are
carried out while the reservoir is being filled, and the remotely transmitted measurement
data are constantly evaluated. Periodical manual measurements are carried out in the
absence of remote transmissions of data or in addition to the latter.
ii. Stabilisation of the water level and implementation of a complete measurement process
(generally including geodetic surveys); function tests of the gated relief and outlet works.
iii. Evaluation of all measurements and observations, including comparison with anticipated
values. The water level has to be maintained at the stage level until it is possible to
deduce from the evaluation that the water retaining facility is behaving normally and a
report or memo has been compiled for the attention of the supervisory authority. The
supervisory authority may consent to a minor fluctuation of the water level during this
phase.
iv. As long as the measurements and observations indicate that the facility can be operated
safely, and subject to any necessary authorization from the supervisory authority, the next
filling stage may be initiated on the basis of the same procedure.
As a rule, the emptying phase and successive load cycles do not have to be carried out in
stages.
The supervisory authority decides whether or not it will be present in certain filling stages,
and how it is to be represented. As a rule it attends on site during or upon completion of the
main stages and on the occasion of the function test when the reservoir is full.
A water retaining facility does not have to be filled in stages if it does not attain the
dimensions specified in Article 2, paragraph 1, WRFA. A single intermediate filling stage is
generally sufficient if the water retaining facility is not classified as large in accordance with
Article 3, paragraph 2, WRFA or if a sufficient number of measurements can be transmitted
remotely and evaluated immediately.
Surveillance regulations during the commissioning phase
In terms of structure and content, these regulations are similar to those governing the
operating phase (cf. section 4.1.5). They only differ through their constant development that
results from ongoing observations, analyses and findings during the filling stage and during
the subsequent phase of intensified surveillance, which as a rule continues for several years.
The anticipated duration should be specified by the supervisory authority in its
commissioning licence.
2.4 Commissioning of a water retaining facility in which the filling of the reservoir
cannot be carried out in a controlled manner
If it is not possible to control the filling process (especially in the case of flood control
reservoirs and sediment barriers or if the reservoir capacity is small in comparison with the
catchment area), the supervisory authority issues the commissioning licence after it has
approved the acceptance report in accordance with Article 9, paragraph 3, WRFO as well as
the surveillance, gate and emergency regulations.
2.5 Commissioning report (Article 13, paragraph 1, WRFO)

2.5.1 Commissioning with controlled reservoir filling
Upon completion of the commissioning procedure, the operator is required to submit a

commissioning report to the supervisory authority. This report must comprise the following
items in particular:
- an overview of the way the initial filling of the reservoir;
- an analysis of the behaviour of the water retaining facility during the initial, resp. the
various filling phases;
- the results of the function tests of the relief and outlet works;
- a summary of the inspections that have been carried out;
- a description of any notable events that may have occurred during this period and which
could have had an influence on the progress of the commissioning procedure (floods,
avalanches, landslides, mudslides, earthquakes, extraordinary meteorological conditions,
etc.).
2.5.2 Commissioning with reservoir filling that cannot be controlled
If it is not possible to control the filling of the reservoir, the supervisory authority normally
requests a report on a detailed inspection after the event that gave rise to the initial filling.
This report must include the results of the measurements and visual inspections called for in
the commissioning licence (usually limited to deformation measurements and a visual
inspection of the condition of the facility).
2.6 Transition to the operating phase
The operating phase commences as soon as the commissioning procedure has been
completed.
The operating licence is implicitly an integral part of the start-up licence as long as the results
of the initial filling or refilling indicate that the facility can be operated safely. The supervisory
authority does not issue another licence.
The operating phase differs from the commissioning phase in terms of the organisation and
extent of the surveillance activities that are governed by Articles 15 to 19 of the WRFO.
Every water retaining facility must be under surveillance. The organisation and extent of the
surveillance are specified in the surveillance regulations, which have to be compiled or
updated upon completion of the commissioning phase, while taking account of the findings
recorded during this phase. The extent of the surveillance regulations depends on the
properties of the water retaining facility, in particular its dimensions and complexity.
If an occurrence or condition should be detected that has influenced, or could influence, the
safety of the facility, the operator is required to take the necessary measures to protect the
population, even if this means partially or completely halting the operation of the facility. The
operator must also notify the supervisory authority, which will order the implementation of
further-reaching measures if it considers these to be necessary. It may also order the partial
or complete drawdown of the reservoir.
3. Operation
The operation of the water retaining facility encompasses three tasks for which the operator
is responsible:
1. The actual operation of the facility;
2. The maintenance of the facility;
3. The surveillance of the facility.
3.1. Operation
The actual operation of the water retaining facility consists in its utilisation in accordance with
its declared purpose, including compliance with the surveillance regulations. The nature of
the utilisation is decided by the operator and is not dealt with in this document.
3.2. Maintenance
The purpose of maintenance is to keep the facility in operational condition. Maintenance may
be preventive or remedial.
The objectives are as follows:

(i) To prevent malfunctions of the installations relevant to safety and of measurement
equipment through maintenance and scheduled servicing (preventive maintenance);
(ii) To repair any damage before it gives rise to a major deterioration (remedial
maintenance).
Maintenance also encompasses ongoing servicing. This primarily concerns:
- the water retaining facility itself, including cleaning of drainage systems and shafts,
upkeep of embankments, repair of various damages, etc.;
- the reservoir and relief equipment, especially removal of floating debris;
- hydromechanical installations, electricity supply installations, control and steering
mechanisms, water alarm system;
- measurement equipment, especially the supports and the instruments themselves,
clearing the geodetical survey lines, etc.;
- means of access.
The maintenance of the installations relevant to safety, for example the outlet and spillway
gates, together with their control and drive mechanisms (including backup and emergency
systems), plus measurement equipment for monitoring the water retaining facility, are dealt
with in section 6.1. Maintenance that does not concern the safety of water retaining facilities
is not dealt with in this document.
3.3. Surveillance
The surveillance of water retaining facilities is dealt with in detail in section 4.
4. Surveillance
4.1. Organisation and extent of surveillance activities
4.1.1 Objectives
The main objective of surveillance is to guarantee the safety of the facility.
Its purposes are as follows:

(i) To ensure that the condition and behaviour of the water retaining facility comply with
the specified safety requirements;
(ii) To identify an anomalous behaviour of, or a specific damage to, the water retaining
facility (retaining structure, appurtenant structure of relevance to safety, foundations,
reservoir) or one of its safety systems, with the aim of taking the necessary
countermeasures at the earliest possible juncture.
Through surveillance it is also possible to develop a measurements and observations

database that is suitable for carrying out future analyses, especially in the event of an
unexpected behaviour or a change in the condition of the water retaining facility.
Surveillance encompasses the following activities:

- Visual inspections of the condition of the water retaining facility (retaining structure,
appurtenant structures of relevance to safety, foundations, reservoir);
- Carrying out measurements if the facility is equipped with the necessary devices, and
evaluation of the results of these measurements – the aim of these measurements is to
record the behaviour of the dam, its foundations and its surroundings;
- Checking the correct functioning of gated relief and outlet works.
Figure D1 presents a general overview of the surveillance activities and their associated
processes, together with the defined objectives. It applies to all types of water retaining
facilities, including those that are not equipped with measurement devices or which do not
have any gated relief and outlet works.
Surveillance of a water retaining facility
Measurement Visual Function tests

system inspections
Measures Inspections Tests
Quantitative Qualitative Qual. & quant.

information information information
Evaluation, plausibility assessment,

validation
Behaviour Condition Functional

capacity
Abnormal? Anomalies? Anomalies?

Damage? Damage?
Potential measures
Figure D1: Surveillance of a water retaining facility

4.1.2 Organisation of monitoring activities
Monitoring is organised at several different levels (cf. Figure D2).

Level
1 Dam warden Geodetics specialist

Operator
2 Qualified professional
(only applies to water retaining

Experienced experts
3 facilities subject to five-yearly
(civil engineer and geologist)
inspections)
4 Supervisory authority
Figure D2: Organisation of surveillance activities

(level 3 only applies to facilities subject to Article 18, paragraphs 1 and 4, WRFO)
The organisation of levels 1 to 3 is the responsibility of the operator, and must be depicted in
the surveillance regulations.
Level 1: The tasks allocated to level 1 are the responsibility of the dam warden and, if
applicable, the geodetics specialist.
Dam warden
As a rule, the dam warden is an employee of the operator or of a company

entrusted with this task by the operator. He/she carries out the tasks assigned
to him/her by the operator in accordance with Article 16, WRFO.
These include visual inspections of the water retaining facility, carrying out
measurements, verifying the correct functioning of gated relief and outlet
works, and following maintenance tasks being carried out.
Geodetics specialist
The geodetics specialist is responsible for carrying out any required geodetic
surveys on behalf of the operator.
Level 2: Tasks allocated to level 2 are carried out by the qualified professional in
accordance with Article 17, paragraph 1, WRFO.
These include ongoing evaluations of visual observations, measurement

results and results of functionality tests. He/she is required to carry out a visual
inspection of the water retaining facility at least once a year. He/she is
responsible for evaluating all information at disposal and for recording his/her
findings and conclusions in an annual report.
Furthermore, his/her tasks include consulting with the operator on the
surveillance of the facility and, where necessary, recommending the
assistance of specialists (geologist, hydromechanics specialist, avalanche
specialist, specialists in other natural hazards, etc.).
Level 3: Two experienced experts are responsible for the tasks allocated to level 3: a
civil engineer and a geologist, in accordance with Article 18, paragraph 1,
WRFO.
They are required to carry out a comprehensive safety assessment every five
years, and to record their findings in their five-yearly reports.
They receive copies of each annual report and have to keep themselves up to
date regarding the condition of the water retaining facility. At the request of the
operator, they also support the qualified professional and advise the operator
in the event of unexpected or extraordinary occurrences.
Level 3 only applies to water retaining facilities that meet the criteria specified
in Article 18, paragraph 1, WRFO, or in accordance with a ruling by the
supervisory authority based on Article 18, paragraph 4, WRFO.
Level 4: Level 4 is the responsibility of the supervisory authority (Articles 22 and 23,
WRFA).
Here the supervisory authority has to ensure that the operator duly performs
the assigned statutory tasks for maintaining the safety of the facility. It
examines and validates submitted reports and inspects the facility on a
periodical basis.
Performance of level 1 tasks by the qualified professional
In very small water retaining facilities in which the tasks at levels 1 and 2 are limited, the
operator may allocate responsibility for monitoring activities at these two levels to the
qualified professional. This is only permissible, however, if the person concerned meets the
defined profile for level 2.
4.1.3. Monitoring system: Categories of measurement instruments
The measurement instruments for the monitoring system are divided into the following
categories:
1) Measurement instruments for ongoing behaviour monitoring
This category encompasses instruments that are required for:

(a) detecting loadings on the structure, in particular due to:
- water level;
- temperatures outside and in the interior of the dam structure;
- precipitation;
(b) measurement of behaviour of the structure, especially:
- deformations;
- water pressure in the structure and its foundations;
- seepage.
Any modifications of these instruments and the respective measurement intervals require
the prior consent of the supervisory authority. The operator is required to enter any such
changes into the surveillance regulations and submit the revised regulations to the
supervisory authority for approval.
Remotely transmitted measurement data in this category of instruments must be

periodically verified through manual measurements on site (Article 16, paragraphs 2 and
3, WRFO).
The surveillance regulations must also describe in detail which measurements have to be
carried out immediately in the event of an extraordinary occurrence (earthquake or flood).
2) Backup instruments for the measurements cited above or as replacements in the event of
a malfunction.
Any modifications of these instruments and the respective measurement intervals require
the prior consent of the supervisory authority. The operator is required to enter any such
changes into the surveillance regulations and submit the revised regulations to the
supervisory authority for approval.
Remotely transmitted measurement data must be periodically verified through manual

measurements on site. In special circumstances, the frequency of these manual controls
may deviate from the intervals specified in Article 16, paragraphs 2 and 3, WRFO.
3) Instruments that are only used to a minor extent for ongoing monitoring purposes, for
example new instruments installed with the aim of testing their suitability in a dam.
Modifications of these instruments and the respective measurement intervals do not

require the prior consent of the supervisory authority. However, the operator is required to
correspondingly update the surveillance regulations (without the need for prior approval)
and notify the supervisory authority (Article 14, paragraph 3, WRFO).
4.1.4. Measurement system: instrumentation range
The measurement system must enable the qualified professional to assess the loads to
which the water retaining facility is subjected, and the way the facility reacts to them. It
usually covers one or several of the following elements:
- the loads that affect the condition and behaviour of the facility;
- uplift pressures / pore water pressures;
- quantities of seepage and drainage water;
- deformations;
- anchoring forces.
The range of instruments to be installed depends thus both on the type of dam and its
dimensions, structure and age, as well as on the local conditions, especially with respect to
the foundations.
In the case of dams intended to protect against natural hazards, the purpose of the
monitoring system is to verify its serviceability.
General rules and principles for planning the instrumentation and defining the associated
requirements can be found in [STK 2005a] and [ICOLD 2014]. [STK 2005a] also contains
descriptions of the characteristics of the various types of instruments and indication on their
installation.
The operator must ensure that the instruments function correctly and are calibrated and
checked as necessary [STK 2013b].
The measurement of the water level in the reservoir must always be carried out (with the
exception of temporary retention basins).2 In the case of large water retaining facilities for
which five-yearly inspections are required in accordance with Article 18, paragraphs 1 and 4,
WRFO, this measurement must be carried out redundantly.
4.1.5. Surveillance regulations (Article 14, paragraph 2, WRFO)
The surveillance regulations must be prepared by the operator and submitted to the
supervisory authority for approval. They must contain a description of the organisation that
the operator is setting-up to ensure the safe operation of the water retaining facility at all
times.
They must especially describe the following:

- organisation, plus the duties and responsibilities assigned to the various involved
persons;
- the requirements and the elements that have to be checked during periodical and
annual visual inspections;
- the procedures for carrying out inspections and fucntional tests of the relief and outlet
works in accordance with the description provided in Part C2 of the Directive;
- an overview (in table form) containing detailed information about the frequency or
periodicity of the ongoing visual inspections, measurements and function tests of the
gated relief and outlet works, and the on-site manual measurements to confirm the
remotely transmitted measurement data – this table is to take the form of an appendix;
- the modalities and special characteristics of the measurements, the utilised tools and
instruments, and the plausibility checks to be carried out during measurement;
- the procedure and periodicity for the forwarding of the results of the visual inspections,
measurements and function tests of the relief and outlet works at the various
surveillance levels;
- the preliminary verifications and analyses of the ongoing observations and
measurements to be carried out by the qualified professional, including indication of the
respective deadlines;
- the procedures for dealing with extraordinary occurrences, including:
- an anomalous behaviour of the water retaining facility detected through
measurements or visual inspections;
- an identified change in the hydrogeological conditions (for example, appearance of a
new water spring) or the condition of the rock massif;
- an extraordinary or extreme flood event (indicating the applicable criterion, e.g.
specified water level);
- landslide, rockfall, avalanche;
- earthquake (cf. enclosure 1 for additional information);
2_ A gauge still has to be installed in temporary retention basins so that the water level can be determined in an emergency (cf.
Directive, Part E).
- a malfunction of a safety-relevant system component (especially of a relief or outlet
mechanism).
The supervisory authority determines whether the surveillance regulations submitted by the
operator are complete, and whether the designated surveillance organisation meets the
safety requirements in accordance with Article 14, paragraph 2, WRFO. It approves the
regulations if they comply with the specified requirements.
The surveillance regulations must be kept up to date by the operator, and if any modifications
are made it must again be submitted to the supervisory authority for approval.
The following amendments do not have to be approved, but the operator is nonetheless
required to report them to the supervisory authority (Article 14, paragraph 3, WRFO):
- Coordinates of contact persons
These changes have to be entered in the corresponding appendix to the surveillance
regulations, and the update has to be noted on the front page. The operator is required
to bring the amended appendix and front page to the attention of the supervisory
authority and other addressees of the regulations.
- Amendments to other non-safety-relevant elements
These changes have to be entered in the corresponding section of the surveillance
regulations, and the update has to be noted on the front page. The operator is required
to bring the amended sections and front page to the attention of the supervisory
authority and other addressees of the regulations.
- Amendments that have been duly approved by the supervisory authority at a meeting
or during an on-site inspection
The operator is required to note these changes in the surveillance regulations, citing
the corresponding minutes (date of meeting or inspection, applicable references), and
to update the front page accordingly. The operator is then required to bring the
amended sections and updated front page to the attention of the supervisory authority
and other addressees of the regulations.
4.2. Level 1 surveillance

4.2.1. Introduction
Level 1 surveillance represents continual inspections as specified in Article 16, WRFO.
The aim of these inspections is to ensure that the water retaining facility is always in good
condition and is behaving normally. They are carried out by one or more dam wardens,
depending on the size of the facility.
Dam wardens are responsible for carrying out visual inspections of the water retaining facility,
carrying out measurements, assisting with the verification of the correct functioning of gated
relief and outlet works, and following maintenance tasks being carried out. The operator calls
on the services of other specialised personnel for the performance of tasks that require
special expertise (for example, for carrying out precise geodetic surveys).
Continual inspections must be carried out at the intervals specified in the surveillance
regulations. In addition, immediate (visual) inspections and measurements (if the facility is
equipped with measurement instruments) must be carried out in the event of extraordinary
occurrences.
A temporary shortening of the inspection intervals and/or increase in the extent of inspections
is required if the situation makes this necessary, for example if a malfunction of a system of
relevance to safety should occur.
Measurements must be carried out in accordance with the provisions stipulated in the
surveillance regulations. Dam wardens are required to perform a plausibility check of the
results of the measurements and to repeat any measurements where necessary. The results
of the measurements must be forwarded to the qualified professional in accordance with the
intervals specified in the surveillance regulations (in the case of large water retaining
facilities, at least once a month).
4.2.2. Job profile of dam warden
The duties of a dam warden are described in detail in [STK 2015]. He/she must be able to
work independently and possess the necessary technical qualifications that enable him/her
to:
- carry out measurements with the aid of the various instruments;
- carry out plausibility checks of the results of the measurements;
- perform, describe and keep records of visual inspections;
- identify new manifestations;
- assist with function tests;
- assist with the ongoing maintenance of installations and normal repair and renovation
work.
The operator is responsible for ensuring that the dam warden possesses the necessary
qualifications for performing all his/her assigned duties, and that he/she is able to attend
further education courses. The operator must also ensure that the dam warden’s duties are
described in a detailed manner. A sufficient number of personnel must be deployed in order
to ensure that the duties of the dam warden can be performed as safely and precisely as
possible.
4.2.3. Extent of surveillance activity
The extent of the surveillance activity designated by the operator depends on the
characteristics of the water retaining facility. Corresponding information is available in several
publications of the Swiss Committee on Dams [STK 1997a], [STK 1997b], [STK 2005a], [STK
2013a]. The measurement and inspection frequencies indicated in Table D3 are guidelines
only. The supervisory authority may order shorter intervals or accept longer ones (or even
waive measurements altogether), depending on the characteristics of the water retaining
facility and in consideration of the risks to personnel when performing the tasks (for example,
potential exposure to avalanches). In all circumstances it is the surveillance regulations
approved by the supervisory authority that are binding. Visual inspections always have to be
carried out.
All water retaining facilities designed to protect against natural hazards
Concrete Embankments Comments

structures
At least prior to
the main season
in which floods or
Continual visual inspections 2 to 4 times a year 2 to 4 times a year avalanches
occur, and after
every significant
event
Deformations (with Once a year to

plumb lines or geodetic 1 to 4 times a year once every two
Measurements measurements) years
to monitor the
Seepage and drainage
behaviour of 1 to 4 times a year 1 to 4 times a year
water (turbidity)
the facility
(Category 1, cf. 1 to 4 times a year
section 4.1.3) 1 to 4 times a year
Uplift and pore water (interface between
(pore water
pressure concrete-rock and
pressure)
foundations)
For
Other measurements measurements
Once a year Once a year
(Category 2, cf. section 4.1.3) that ensure
redundancy
Other small water retaining facilities

structures
Continual visual inspections 2 to 4 times a year 2 to 4 times a year
Deformations (with Once a year up to

plumb lines or geodetic 1 to 4 times a year once every two
Measurements measurements) years
to monitor the
Seepage and drainage
behaviour of the 1 to 4 times a year 1 to 4 times a year
water (turbidity)
facility
(Category 1, cf. 1 to 4 times a year
section 4.1.3) 1 to 4 times a year
Uplift and pore water (interface between
(pore water
pressure concrete-rock and
pressure)
foundations)
For
Once a year Once a year
redundancy
Other large water retaining facilities without five-yearly inspections

structures
When the
Once or twice a Once or twice a
Continual visual inspections reservoir is been
month month
filled3
Deformations (with plumb

Once or twice a Once or twice a When the
lines or geodetic
month month reservoir is filled
measurements)
Measurements
to monitor the Seepage and drainage Once or twice a Once or twice a When the
behaviour of water (turbidity) month month reservoir is filled
the facility
(Category 1, cf. Once or twice a
section 4.1.3) month (interface Once or twice a
Uplift and pore water When the
between month (pore water
pressure reservoir is filled
concrete-rock pressure)
and foundations)
For
Once a month to Once a month to
once every two once every two
months months
redundancy
3 A reservoir is deemed to be “filled” if the water level reaches the bottom outlet or water intake level, or the upstream foot of the
dam if no outlets are available or are at a too high elevation.
Other large water retaining facilities with five-yearly inspections

structures
Largest facilities:
weekly, limited to
main
When the
Continual visual inspections components; weekly
reservoir is filled
once or twice a
month for other
components
Deformations (with plumb

When the
lines or geodetic weekly weekly
reservoir is filled
measurements)
Measurements
Seepage and drainage When the
to monitor the weekly weekly
water (turbidity) reservoir is filled
behaviour of
the facility Two to four times
(Category 1, cf. a month
section 4.1.3) Two to four times a
Uplift and pore water (interface When the
month (pore water
pressure between reservoir is filled
pressure)
concrete-rock
and foundations)
For
Once a month Once a month
redundancy
Table D3: Recommended frequencies for continual inspections
The respective measurement frequencies are deemed to be complied with if the

measurements are carried out automatically and the data are transmitted electronically.
The recommended frequencies for ongoing visual inspections refer to the most important
components from the point of view of safety, and to those components that are exposed to
the highest loads. In the case of very large water retaining facilities, the visual inspections of
other components may be carried out less frequently.
The cited frequencies apply to plausibility checks as well as to the initial evaluation to be
carried out by the qualified professional (level 2). They also apply to the evaluation of
electronically transmitted measurement data.
Natural hazards that could endanger the water retaining facility or influence its degree of
stability have to be examined with the assistance of recognised specialists. This especially
concerns issues relating to avalanches, mudslides, landslides, rockfalls and ice falls.
Necessary monitoring has to be set-up.
4.2.4. Geodetic measurements
Geodetic measurements form an integral part of level 1 surveillance. Used in combination

with other means for detecting deformation, these contribute towards:
- the determination of the behaviour of dams;
- rapid assessment in case of extraordinary situations or following an extraordinary
occurrence;
- clarification of causes of anomalous behaviour that has been detected by other
measurement instruments.
Continual geodetic measurements
This concerns geodetic measurements for the continual deformation measurements of the
water retaining facility. They are carried out by dam wardens or other personnel appointed by
the operator.
Precise geodetic measurements
This concerns geodetic measurements for the purpose of supporting the five-yearly
inspections. These measurements may only be carried out by specialists who are able to
demonstrate that they possess the necessary experience and expertise, as well as the
required measurement equipment and evaluation software.
With the aid of precise geodetic measurements it is possible to put in an absolute reference
frame the deformations that have been measured using other instruments such as plumb
lines and extensometers.
[STK 2013a] contains recommendations for the implementation of these measurements.
Generally speaking, the geodetic network comprises an external reference system in the
vicinity of the dam, plus in some cases an extended reference system.
- Geodetic network in the vicinity of the dam: The purpose of this network is to monitor
absolute movements in the vicinity of the dam. These geodetic measurements are
carried out at least every 5 years, namely in the calendar year that precedes the end of
the five-year period. They are carried out at high water level in the reservoir – in the
case of concrete structures, each measurement must be carried out at the same time
of year.
A reduced measurement network is generally identified within this network, in the close
vicinity. It can be measured within a day and is able to deliver reliable results about the
absolute movements of the dam (in some cases with limited precision) in an
emergency situation.
It is also recommended to carry out an additional geodetic measurement at low water
level every 15 to 20 years.
- Extended geodetic network: The purpose of this network is to embed the absolute
movements in the vicinity of the dam in a large-scale reference frame. It is generally
measured less frequently, usually at intervals of 15 to 20 years. This measurement is
carried out together with that of the network in the vicinity of the dam. An extended
geodetic network is required if the occurrence of large-scale movements cannot
reasonably be ruled out.
4.2.5. Inspection of relief and outlet works
The procedure for inspecting the relief and outlet works is dealt with in Part C2 of the
Directive.

4.3.1. Introduction
Level 2 surveillance represents annual inspections as specified in Article 17, WRFO. These
inspections of all water retaining facilities that are subject to the provisions of the WRFA must
be carried out by a qualified professional. Here the objective is to verify the good condition
and behaviour of the water retaining facility, also based on technical analyses and
observations. It encompasses the following activities:
- an initial, continuous evaluation of the results of measurements and observations,
together with the results of function checks of the relief and outlet works;
- a visual inspection of the water retaining facility at least once a year
- a detailed evaluation of all available data and written documentation of findings in an
annual measurement and inspection report (annual report).
In areas requiring expertise that the qualified professional does not possess, the operator
must call on specialists from other fields (geologists, forestry engineers, avalanche experts,
etc.) in order to ensure that the inspection is carried out in full.
The qualified professional is also required to advise the operator upon the latter's request
concerning issues relating to technical safety.
4.3.2. Profile of the qualified professional
The operator is responsible for choosing the qualified professional. This may be a natural
person or a legal entity. The person concerned may be a member of the operator’s staff or a
contractor.
The qualified professional must possess the necessary experience and know-how for
carrying out the assigned tasks. The requirements may vary, depending on the properties of
the water retaining facility (especially the type of dam or its dimensions and structural
complexity, and special characteristics regarding its condition and behaviour).
As a rule, the requirements are as follows:

- technical qualifications to suit the properties of the water retaining facility:
- for large water retaining facilities, education as a civil engineer at university level
(Master’s degree from Swiss federal institute of technology or equivalent
institution);
- experience in construction of hydraulic works;
- for embankment dams, experience in the field of geotechnology;
- for concrete dams, experience in the field of structural calculations;
- sufficient language skills in order to be able to read and understand previous annual
reports and other technical and safety-relevant relevant documents in their original
language, as well as to communicate with dam wardens (level 1 surveillance);
- ability to compile reports in the language usually used in technical and safety relevant
documents of the facility;
- between 5 and 10 years of experience in the above-mentioned fields in the case of
water retaining facilities that are subject to five-yearly inspections in accordance with
Article 18, paragraphs 2 and 4, WRFO.
If the position of qualified professional is held by a legal entity (e.g. an engineering bureau),
at least one specifically named natural person must possess the qualifications cited above. A
less experienced natural person may then be deployed to carry out surveillance level 2 tasks
under the supervision of the specifically named natural person.
The operator is required to notify the supervisory authority of its choice of qualified
professional. When making this choice, the operator must ensure that the long-term
continuity of surveillance is duly secured. The supervisory authority may reject the proposed
qualified professional if it has reasonable doubts about the latter's suitability (Article 19,
paragraph 1, WRFO).
4.3.3. Annual visual inspection by the qualified professional
The qualified professional is required to carry out a complete and thorough visual inspection
of the water retaining facility at least once a year and to subsequently compile an inspection
report. The report must describe the conditions under which the inspection was carried out,
plus all observations regarding the condition of the water retaining facility, its appurtenant
installations (especially the relief and outlet works and the water alarm building or the water
alarm observation post), and the various instruments.
As a rule, the inspection report should include photos to illustrate the observations that have
been made.
Detailed information about the annual visual inspection must be provided in the surveillance
regulations.
4.3.4. Continuous evaluation of measurement results
The operator is responsible for communicating the measurement results to the qualified
professional, together with all special observations made by the surveillance level 1
personnel.
The qualified professional must then immediately evaluate the communicated data in order to
rule out any potential threat arising from the water retaining facility. He/she must inform the
operator about the action that needs to be taken in order to clarify the cause of any
anomalous measurements (as a rule, repeat of the measurement concerned). In the event of
a potential immediate threat, the qualified professional must immediately notify the operator
and instruct the latter to inform the supervisory authority. The operator is responsible for
taking the necessary measures to eliminate the threat.
The frequencies cited in Table D3 also apply to the initial evaluation by the qualified
professional of the electronically transmitted measurement data.
The data to be analysed by the qualified professional also include the results of the function
checks of the relief and outlet works.
4.3.5. Annual report
The qualified professional is required to compile an annual report that contains the following
information in particular:
General information
- brief summary of the operation of the water retaining facility in the year under review:
hydrological conditions, operation of the reservoir, performed maintenance and
servicing tasks, operation of the relief and outlet works;
- precise details regarding any significant occurrences during the period under review
that could have a direct or indirect impact on safety – floods, overflows, earthquakes,
avalanches, rockfalls, unusually rapid increase or decrease of the water level in the
reservoir, construction or other activities;
- comparison of the performed measurements and inspections with those required in
accordance with the surveillance regulations - indicating the reasons why if any were
not carried out;
- status report regarding recommendations by experienced experts in their five-yearly
reports and by the qualified professionals in his/her previous annual reports, as well as
measures agreed with the supervisory authority;
- conducted special studies;
- list of new documents to be incorporated into the water retaining facility archive.
Visual inspections
- any significant observations made by the surveillance level 1 personnel during their
inspections (change in overall appearance of the water retaining facility, water leakage,
signs of slope movements, etc.), including observations concerning the condition and
functioning of the measurement instruments;
- any significant observations made by the qualified professional during his/her own
inspections;
- a synthesis of the reported observations, plus recommendations concerning the need
for additional inspections, maintenance work and other subsequently required action.
Results and evaluation of measurements

- detailed description of interventions in the measurement system (calibration,
modifications, etc.);
- graphic depiction of measurement results;
- analysis of measurement results (with comments), with the aim of identifying
tendencies or anomalies in the behaviour of the water retaining facility. In the case of
large concrete dams, for a number of key points, monitoring of the behaviour has to be
carried out with the aid of behaviour prediction model [STK 2003] and [BFE 2008];
- a synthesis of the measurement results and subsequently required action (additional
inspections, calibration or modification of instruments, installation of additional
instruments, increase in measurement frequency).
Results of testing of relief and outlet works
- results of function tests, with analysis;
- needs resulting from the analysis of function tests.
Overview
- summary and analysis of all observations, measurements and tests, with conclusions
regarding the condition and behaviour of the facility, its surroundings (banks) and
auxiliary installations – any deviations from standard behaviour or normal condition
must be clearly emphasised;
- inclusion of already cited recommendations, where necessary with additions;
- overall safety assessment.
Enclosures
- plans and diagrams: key data relating to the water retaining facility and the relief and
outlet works, list and brief description of measurement equipment (diagrams and
extracts from plans), overview plans of the water retaining facility (reductions or
extracts), overview of the most important levels, volumes, heights, capacities of the
relief and outlet works;
- qualified professional’s inspection report, including enclosures where applicable;
- reports of function tests of the relief and outlet works;
- minutes of meetings at which representatives of the supervisory authorities were in
attendance;
- report on continual geodetic measurements if applicable.
4.3.6. Delivery of annual report and implementation of recommendations made by

the qualified professional
The operator must submit the annual report to the relevant supervisory authority by the
deadline specified in the surveillance regulations. If the water retaining facility is required to
undergo five-yearly inspections, the report must also be submitted to the experienced experts
and, where applicable, other involved specialists.
In each report or together with the report, the operator must also indicate how and when the
recommendations by the qualified professional will be implemented.

4.4.1. Introduction
Level 3 surveillance represents the comprehensive (five-yearly) safety inspection as

specified in Article 18, WRFO. It has to be carried out at large water retaining facilities that
meet the size criteria as specified in Article 18, paragraph 1, WRFO, or if formally requested
by the supervisory authority. It must be carried out by an experienced structural engineering
expert and an experienced expert in geology.
The objective of the five-yearly inspection is to verify the normal behaviour and good
condition of the water retaining facility in depth and independently, taking account of the
facility’s long-term behaviour. The inspection must include:
- an in-depth analysis of the condition and behaviour of all components of the water
retaining facility that influence its technical safety (including the facility’s surroundings),
taking account of the correlations between the visual observations and the
measurements;
- a safety assessment of the facility reflecting the development of science and
technology (especially with respect to extreme floods, earthquakes, materials);
- verification that the facility is still safe to operate;
- recommendations for the attention of the operator, especially regarding maintenance,
structural measures, instruments or the performance of supplementary investigations
or studies.
4.4.2. Profiles of the experienced experts
Experienced experts are natural persons who have been chosen by the operator and
approved by the supervisory authority (Article 19, paragraphs 2 and 3, WRFO).
They must possess sufficient experience and know-how for carrying out the in-depth safety
assessment. The requirements may vary, depending on the properties of the water retaining
facility (especially the type of dam, its dimensions and structural complexity, and special
characteristics regarding its condition and behaviour).
As a rule, the civil engineering expert has to meet the following requirements:
- hold a Master's degree in civil engineering from a Federal Institute of Technology or
university;
- have 10 years of experience in planning, constructing or surveillance of dams;
- experience as for level 2;
- comprehensive theoretical knowledge and practical experience in those areas of
relevance to the water retaining facility concerned, for example: rock mechanics,
geotechnology, bituminous linings, concrete technology, structures, behaviour
analyses, hydrology, hydraulics.
As a rule, the geology expert has to meet the following requirements:

- hold a Master’s degree in geology or applied geology from a university;
- 10 years of experience in engineering geology or applied geology;
- comprehensive theoretical knowledge and practical experience in those areas of
relevance to the water retaining facility concerned, for example: rock mechanics,
geotechnology, hydrogeology, natural hazards;
- familiarity with the geology of the region concerned.
In addition, both experts must meet the following requirements:
- in the case of water retaining facilities of particularly high importance or those that
display particularly complex behaviour or characteristics, the experts must possess
clearly demonstrated experience at surveillance level 3 in other water retaining facilities
(five-yearly inspections), and in exceptional cases at surveillance level 2.
- sufficient language skills in order to be able to read and understand annual reports and
other technical and safety-relevant documents relating to the water retaining facility in
their original language, as well as to communicate with the qualified professional
(surveillance level 2) and the dam wardens (surveillance level 1).
- ability to compile their reports in one of Switzerland’s official languages (preferably in
the language used for the preparation of technical and safety-relevant documentation) -
in English only by way of exception.
The experienced experts must also be independent of the qualified professionals, the
operator and the owner, in order to ensure that an independent safety assessment of the
water retaining facility is carried out with reference to the other ongoing analyses (“four-eyes”
principle). Their independence also ensures that an effective or apparent conflict of interests
with the other involved players can be avoided (Article 19, paragraph 3, WRFO). Experts are
inadmissible if they are closely related to, subordinated to or economically dependent on the
owner of the water retaining facility, the qualified professional or a member of the operational
management, or generally speaking if any forms of conflict of interests should exist. The
supervisory authority is responsible for verifying the necessary independence. Any changes
concerning these criteria must be reported to the supervisory authority.
4.4.3. Five-yearly site inspection
At the end of each five-year reporting period, the operator has to organise a site inspection of
the water retaining facility. The objective here is to secure an exchange of findings regarding
the condition and behaviour of the facility between the operator, the dam wardens, the
qualified professional, the geodetics specialist, the experienced experts and the supervisory
authority, as well as to identify special action to be included by the experts in their reports.
The extent of a five-yearly site inspection and the topics to be discussed at the experts’
meeting are described in enclosure 2.
A five-yearly site inspection does not take the form of a detailed technical control. It does not
replace either the annual visual inspection or continual visual inspections.
As a rule, the geology expert carries out his/her detailed inspection prior to the five-yearly site
inspection, and passes on his/her observations to those involved either before or during the
five-yearly inspection.
4.4.4. Five-yearly report
The operator is responsible for granting the experts access to the facility where necessary
and for providing them with the documentation they require for carrying out their in-depth
safety assessment and compiling their five-yearly report. This includes:
- the surveillance, gates and emergency regulations;
- annual reports;
- reports on precise geodetic measurements;
- other studies and reports of relevance to safety.
In their comprehensive safety inspections, civil engineering experts have to:

a) address the condition of the water retaining facility and its appurtenant installations;
b) analyse the behaviour of the dam, its foundations (rock deformation, leaks, quantities
of drainage water, uplift and pore water pressure) and their condition, including the
condition of the grout curtain during the five-year period, comparison with the long-term
behaviour of the water retaining facility and analysis of specific measurements
(movements, leaks, pressure measurements);
c) evaluate the measurement equipment and, where necessary, propose improvements
for measurements and the associated programme;
d) assess the degree of safety of the water retaining facility to extraordinary events
(especially floods, earthquakes, landslides);
e) make recommendations regarding additional studies to be carried out (e.g. with respect
to hydrology, flood safety, earthquake safety), or the need for structural or operational
measures.
In their comprehensive safety inspections, geology experts have to:

a) analyse the behaviour of the subsurface structure of the dam during the five-year
period, compare the long-term behaviour of the water retaining facility and analyse
specific measurements (rock deformation, leaks, quantities of drainage water, various
pressures), analyse the condition of the dam foundations, including the condition of the
grout curtain;
b) examine the stability of the valley slopes in the vicinity of the reservoir and dam,
including an analysis of the risks that could arise and result in mass flows into the
reservoir which could block access to the discharge systems or prevent them from
functioning correctly;
c) assess the safety measures of the rock surfaces and the maintenance of the galleries
in the rock mass, and where necessary make recommendations regarding work that
needs to be carried out, or concerning more effective organisational measures;
d) analyse the regional seismic activity during the period under review;
e) evaluate the measurement equipment for the dam foundations and valley slopes in the
vicinity of the reservoir, and where necessary make recommendations for
improvements or regarding the measurement programme;
f) recommend studies to be carried out (for example, regarding the presence of
permafrost, the risk of impulse waves caused by masses falling into the reservoir), or
the need for structural or operational measures.
If the operator so desires, or if a decision is taken at the site inspection meeting, the experts
may be required to supplement their reports with special analyses.
4.4.5. Precise geodetic measurements
As a rule, a precise geodetic measurement is carried out in the year prior to the five-yearly
site inspection. The corresponding geodetic report is then handed over to the participants
before the commencement of the inspection.
4.4.6. Delivery of five-yearly reports and implementation of recommendations made

by the experienced experts
The operator must submit the five-yearly reports of the structural engineering expert and
geology expert by the deadline specified in the surveillance regulations. A copy must also be
submitted to the qualified professional.
The operator must include a memo with each report stating how and when the experts’
recommendations are to be implemented.

4.5.1. Introduction
The supervisory authority represents the level 4 surveillance. Its duty is to ensure that the
operator complies with the applicable safety regulations. In particular:
- it checks and approves the surveillance, gates and emergency regulations;
- it ensures that the continual, annual and five-yearly inspections, as well as the function
tests of the relief and outlet works, are carried out in accordance with the provisions of
the surveillance regulations;
- it ensures that the measurements and visual inspections, as well as the function tests
of the relief and outlet works, are carried out professionally in accordance with the
latest status of science and technology;
- it verifies the plausibility of the measurements and observations and their analysis and
interpretation, as well as the conclusions drawn from the annual and five-yearly reports;
- it ensures that the operator keeps the facility archive up to date;
- it assesses the condition and behaviour of the water retaining facility based on the
safety reports, and validates the findings of these reports by carrying out on-site
inspections and participating from time to time in function tests of the relief and outlet
works;
- it orders the implementation of structural or operational measures and special studies if
this is deemed necessary for safety reasons;
- it maintains regular contact with the facility’s operator and personnel, as well as its
designated contractors, and supports them where necessary.
4.5.2. Examination of the annual report
In its examination of the facility’s annual report, the supervisory authority ensures that the
aspects cited in section 4.3.5 have been dealt with clearly and comprehensively.
It pays special attention to the development of the condition of the water retaining facility and
to any extraordinary occurrences that had to be dealt with by the safety management
personnel.
It assesses the recommendations included in the annual report, together with the responses
on the part of the operator. Where necessary it orders the implementation of measures that
have been recommended by the qualified professional, or other measures it deems
necessary.
It determines whether the operator has complied with the provisions of the surveillance
regulations, both during normal operation of the facility and in the wake of extraordinary
occurrences. It ensures that the operator has taken any necessary corrective measures. And
it ensures that the legal provisions governing the safety of the water retaining facility have
been duly complied with.
4.5.3. Examination of five-yearly reports
In its examination of the facility’s five-yearly reports, the supervisory authority ensures in
particular that the aspects cited in section 4.4.4 have been dealt with clearly and
comprehensively.
It pays special attention to the development of the condition and behaviour of the water
retaining facility, and to declarations and substantiations cited in the reports.
It assesses the recommendations included in the reports together with the responses on the
part of the operator. Where necessary it orders the implementation of measures that have
been recommended by the experienced experts, or other measures it deems necessary. And
it ensures that the legal provisions governing the safety of the water retaining facility have
been duly complied with.
4.5.4. Inspections by the supervisory authority
During its inspections, which have to be carried out at the intervals specified in Article 23,
WRFO, the supervisory authority examines the central components of the dam and its safety-
relevant appurtenant installations. In particular it inspects the most important measurement
instruments and those components with special status or behaviour (including the abutments
and banks that indicate special characteristics).
Visual inspections may be carried out during the annual inspection by the qualified
professional or at another time. In the former case, the responsible representative of the
supervisory authority carries out his/her own inspection (possibly the same path as the
qualified professional).
It is recommended that the supervisory authority should participate in the function tests of the
relief and outlet works of large facilities at least once every five years.
5. Archive
5.1. Content
The operator is required to maintain and constantly update an archive pertaining to the water
retaining facility and to ensure that it can be accessed without delay when necessary. The
content of this archive is specified in Article 22, paragraph 2, WRFO and described in
enclosure 3 (see also [STK 2005]).
The supervisory authority is responsible for deciding whether the subsequent inclusion of
missing documentation in the archive may be waived, for example in favour of the creation of
a dam monograph.
5.2. Location of the archive
The archive must be created and kept by the operator. Its content may be in paper and/or
electronic form.
The documentation does not necessarily have to be kept or stored at a single location, but a
complete overview must always be available (detailed register of documents in the archive).
6. Notifications to the supervisory authority

6.1. Notification regarding maintenance/renovation work
Extensive maintenance operations (in terms of duration or size) or the replacement of

components of the water retaining facility are classified as renovation work. The operator is
obliged to notify the supervisory authority by a reasonable deadline about renovation work
involving components for ensuring technical safety so that the latter can examine the
documentation where necessary, request additional information and/or intervene prior to
commencement of the work concerned. This concerns work relating to category 1
instruments (in accordance with section 4.1.3), the relief and outlet works and the water
alarm system which falls within the scope of responsibility of the supervisory authority (cf.
Part E of the Directive).
If such work would alter the functionality of a safety-relevant system (including the
interpretation of measurements), the operator must obtain the prior approval of the
supervisory authority.
The operator must ensure that the technical safety of the facility is also assured during
renovation work. In the course of renovation work on the relief and outlet works the operator
must ensure sufficient flood safety and that the option of lowering the water level in the
reservoir in the case of an impending threat can be rapidly reinstated.
6.2. Notification regarding malfunctions and operating anomalies
All malfunctions and operating anomalies of relevance to safety must be reported to the
supervisory authority so that it can carry out its own inspection where necessary and thus
make sure that the water retaining facility can continue to be operated safely, or that it is able
to answer any questions that may be posed by politics and the media.
The operator must notify the supervisory authority by the following deadlines (subject to other
emergency regulations):
- Immediate notification in the event of major malfunctions and operating anomalies

(severe damage to the water retaining facility or third-party property, or resulting or
anticipated severe or fatal injuries).
- Notification within 24 hours in the event of serious malfunctions and operating

anomalies (significant damage to the water retaining facility or third-party property, or
the risk of, or resulting or anticipated, minor injuries).
- Notification within 5 days in the event of minor malfunctions and operating anomalies
(minor damage to the water retaining facility or third-party property has occurred or is
anticipated, without the risk of injuries).
Natural and other occurrences that could influence the safety of the facility (for example,
signs of a landslide that could form a natural dam above the reservoir, or the threat of an ice
fall) must also be reported according to the scheme above.
6.3. Other notifications
The operator is obliged to notify the supervisory authority about all other activities of
relevance to safety, or which could influence its stability. This includes the dates when testing
the relief and outlet works, the annual and five-yearly inspections of the facility, and an
emptying of the reservoir.
These activities must be reported to the supervisory authority sufficiently in advance to allow
its representative to participate in them if deemed necessary.
7. References
Abbreviation References
ICOLD 2014 Bulletin 158: Dam supervision guide
STK 1997a Zustandsüberwachung von Stauanlagen und Checklisten für die

visuellen Kontrollen, Arbeitsgruppe Talsperrenbeobachtung, 1997
STK 1997b Geodätische und photogrammetrische Deformationsmessung für die

Überwachung der Stauanlagen, Arbeitsgruppe
Talsperrenbeobachtung (French / Englisch) 1997
German version in: “wasser energie luft” 85. 1993, issue no. 9, pp.
181 to 242
STK 2001 Talsperrenmonographie - Empfehlungen für die Redaktion,

Arbeitsgruppe Talsperrenbeobachtung, 2001
STK 2003 Analysemethoden für die Vorhersage und Kontrolle des Verhaltens
von Talsperren, Arbeitsgruppe numerische Methoden in der Analyse
des Verhaltens von Talsperren, 2003
STK 2005a Messanlagen zur Talsperrenüberwachung: Konzept, Zuverlässigkeit

und Redundanz, Arbeitsgruppe Talsperrenbeobachtung, April 2005
(Teil 1: Messkonzept; Teil 2: Messanlagen und Messmethoden;
Teil 3: Kommentarblätter)
STK 2005b Aktensammlung über die Stauanlage, Arbeitsgruppe

Talsperrenbeobachtung, Mai 2005
STK 2013a Geodäsie für die Überwachung von Stauanlagen, Arbeitsgruppe

Talsperrenbeobachtung, 2013
STK 2013b Messgeräte – Kontrollieren und Kalibrieren, Arbeitsgruppe

Talsperrenbeobachtung, 2013
STK 2015 Role and duties of Dam Warden, Working Group on Dam
Surveillance, 2015
Swiss Federal DamReg: User manual & software application. B. Weber, 2008
Office of Energy (SFOE website)
2008
Enclosure 1: inspections following an earthquake
1. Principles
The aim of inspections following an earthquake is to be able to take any required immediate
action to protect people and property. This means that any damage or changes in behaviour
of the facility have to be identified as quickly as possible. The urgency and degree of detail of
the necessary inspections depend on the intensity of the earthquake at the location of the
water retaining facility. The following three levels of intervention have been defined and are
described in greater detail in section 3:
Intervention level 1: continual inspections, at latest within 2 weeks.
A complete visual inspection of the dam and its surroundings has to be carried out as part of
the next continual inspection, within 2 weeks following the earthquake. The supervisory
authority must be notified about the occurrence and any measures that may have been
taken.
Intervention level 2: on-site inspection within 24 hours.
The qualified professional, experienced experts (in the case of water retaining facilities
required to carry out five-yearly inspections) and the supervisory authority must be
immediately notified about the occurrence and any measures that may have been taken.
Intervention level 3: immediate on-site inspection.
The qualified professional assists the operator on site at his request. The experienced
experts (in the case of water retaining facilities required to carry out five-yearly inspections)
and the supervisory authority must be immediately notified about the occurrence, the results
of the inspection and any measures that may have been taken.
2. Intervention level thresholds
Different thresholds apply with respect to the way in which the intensity of the earthquake on
site is determined. The thresholds are lower if the intensity had to be estimated than if it was
obtained using accelerographs at the dam site so as to take uncertainties into account.
2.1. Dams equipped with accelerographs

The thresholds indicated in this section apply to dams that are equipped with at least three
accelerographs that are permanently connected to an internal on-call or similar service. The
peak accelerations measured at the dam site serve as the basis for deciding on allocation to
one of the three intervention levels. The corresponding threshold is considered to have been
reached if at least two of the accelerographs display peak readings above the levels shown
in the table below4:
4_Highest reading of the 3 orthogonal directions

Peak acceleration measured
Peak acceleration measured
Intervention level in rock
in or on dam
(abutment or free-field)
1 > 10% ah > 20% ah
2 > 25% ah > 50% ah
3 > 50% ah > 100% ah
ah = peak ground acceleration for which the verification of earthquake safety of the dam in
accordance with Part C3 of the Directive was satisfactorily carried out.
2.2. Dams without accelerographs
The following thresholds apply to dams that are not equipped with accelerographs or are
equipped with less than three, or are not permanently connected to an internal on-call or
similar service. These levels are based on movements perceived on site at the dam and in its
immediate vicinity in accordance with the intensities defined by Medwedew, Sponheur and
Kamik (MSK),
Intervention MSK intensity on

Description of intensity
level site
Normally felt by people in buildings, interruption to sleep.

1 IV Rattling windows.
Normally felt by people outdoors, may cause alarm.

Damage to plaster on buildings, possible damage to
2 V – VI chimneys, oscillation of suspended objects, pictures
dislodged.
Large numbers of people flee from buildings, general

3 ≥ VII alarm or panic. Moderate to severe damage to buildings.
If the operator receives a report from the supervisory authority concerning the intensity of an
earthquake at the site of the dam, the applicable intensity is the one that indicates the higher
of the levels ascertained by the supervisory authority and estimated on site based on the
ground tremors.
2.3. Exceptions
If the requirements for earthquake safety of a water retaining facility are not totally satisfied,
the thresholds are then reduced upon consultation with the supervisory authority.
Erreur ! Nom de propriété de document inconnu.Erreur ! Nom de propriété de document inconnu.
2.4. Damage and anomalous behaviour
If damage or anomalous behaviour should become apparent, the operator must

immediately notify the qualified professional. An immediate on-site inspection then has to
be carried out in accordance with the criteria for intervention level 3.
3. Extent of post-earthquake inspections
The extent of inspections to be carried out after an earthquake must be specified in the
surveillance regulations. These inspections are based on the following principles.
3.1. Inspections for intervention level 1
At this level, damage to the dam is unlikely. The purpose of the inspection is to identify
any changes in the condition and behaviour of the dam and its immediate surroundings.
It takes the form of a visual inspection of the dam, its foundations and the banks of the
reservoir, plus an interpretation of the main results of the behaviour measurements
(displacements in relevant cross-sections, uplift pressure, seepage). Any existing
electronically transmitted measurement data must be analysed immediately after the
event, while data that are not electronically transmitted have to be analysed as soon as
they are available.
Damage to the dam which could threaten the safety of the facility is unlikely, but cannot
be entirely ruled out. Limited damage is also possible that does not affect the stability of
the dam but which could hamper a rapid response in an emergency (for example, power
supply, access to machinery).
Here the main objective is to detect any change in the behaviour of the dam and its
immediate surroundings, or any signs of a gradual change in behaviour. The inspections
take the form of a comprehensive visual inspection of the dam, its foundations, the
banks of the reservoir, the appurtenant installations, the equipment and instruments
required in case of emergencies, and an interpretation of the results of measurements of
category 1 and 2 instruments in accordance with section 4.1.3 of the Directive.
It has to be decided on a case by case basis whether a check of the functions of the
gated relief and outlet works needs to be carried out.
For embankment dams, the inspections have to be repeated over a period of time that
has to be defined by the qualified professional, the experienced experts (for dams with
five-yearly inspections) or the supervisory authority.
Damage that could threaten the safety of the facility in the short term is unlikely, but
cannot be ruled out, especially if an extreme earthquake has occurred. Here it is
necessary to carefully determine the extent to which the long-term stability of the dam
may be affected.
An earthquake that corresponds to level 3 is an extreme loading to which the structure

has probably never been exposed. This means that the corresponding behaviour of the
dam is entirely unknown. It is therefore essential to carry out a careful, complete and
immediate inspection.
The extent of the inspections is the same as the extent described for level 2. The results
of all available measurements have to be taken into account.
As a rule, an inspection of the relief and outlet works has to be carried out in order to
ensure that they are still functioning correctly.
All inspections must be carried out immediately and repeated over a timeframe to be
specified by the supervisory authority, the qualified professional or the experienced
experts (for water retaining facilities with five-yearly inspections).
4. Checklist for post-earthquake inspections
A checklist of the aspects to be taken into account when compiling programmes for post-
earthquake inspections is available in ICOLD/CIGB Bulletin 62 (post-earthquake
inspection of dams – recommendations) [ICOLD 1988]. The main elements are cited
below.
4.1. Structural damage
Embankment dams
- thorough inspection of embankments and their slope protections;
- search for any signs of landslides, cracks, subsidence, uplifts or slippage,
presence of sink holes;
- recording of signs of surface or internal erosion, an increase or decrease in pore
water pressure or seepage and drainage water, increase in the turbidity of the
seepage and drainage water;
- recording of water springs or moist zones, deposits of materials;
- inspection of the abutments (observation of any landslides or rockfalls, new water
sources and seepage).
Concrete dams
- thorough inspection of the dam faces;
- search for new cracks (at the surface and in the galleries) and relative movements
of joints;
- recording of an increase or decrease in uplift pressure or quantities of seepage
and drainage water, increase in the turbidity of seepage and drainage water;
- inspection of the abutments (observation of any landslides or rockfalls, new water
sources and seepage).
Spillway and outlet works

- inspection of the condition of the rock faces above the run-off channel of the
spillway;
- recording of cracks formation, search for signs of movement of structures or parts
thereof (guide walls, channel beds, bridges, dividing piers, overflow threshold,
outlets);
- inspection of the stilling basin of shafts, galleries and channels of the discharge
facilities;
- inspection of the condition of appurtenant installations, water catchments, grates,
outlets, thresholds, metal pipelines, pumps, motors, valve chambers, standing and
mobile cranes, steering equipment, lighting, ventilation. Functional tests under dry
conditions of the gates and hydromechanical equipment (if present);
Movements on active faults

- inspection of outcrops of active faults and in galleries and caverns.
Instability of banks
- inspection of the banks of the reservoir in order to detect any potential landslides,
rockfalls, etc);
Access ways
- inspection of access ways to the dam and galleries.
4.2. Damage to installations
Electricity supply
- inspection of the main power supply and the operating status of the backup
generators, plus the internal electricity supply lines;
- inspection of the lighting systems in the premises required for the safe operation of
the facility.
Communication, electronic transmission and remote control equipment

- verification of the availability of communication equipment;
- verification of the operating status of the electronic transmission system for
measurement instruments that are required for making an immediate behaviour
assessment;
- inspection of the operating status of remote control equipment for safety
installations (especially outlets).
4.3. Evaluation of measurements
If damage has been detected or if unusual behaviour of the dam is suspected, a

complete series of measurements has to be carried out, regardless of the intensity of the
earthquake felt on site. The condition of each instrument has to be checked in order to
ensure that the performed measurement is accurate. Measurements must be verified as
soon as possible (preferably on site) and immediately evaluated in order to make an
initial assessment of the dam’s behaviour.
If possible, a subsequent analysis of the water surface movements should be carried out
in order to assess the degree of wave generation in the reservoir during or immediately
after the earthquake.
4.4. General condition of measurement equipment
During the visual inspection it is also necessary to check the measurement equipment,
even if it is not required to perform measurements.
Enclosure 2: Five-yearly site inspection
As a rule, the five-yearly site inspection encompasses the following activities:

- visual inspection of the most important components of the facility from the point of
view of technical safety, plus the components that display a special status or
special behaviour and those that have been (or are to be) the focus of
maintenance or other work;
- inspection of the premises for the operation of the outlets;
- inspection of the water alarm centre and/or the water alarm observation site;
- inspection of potentially unstable zones around the reservoir.
During the inspection, the geology expert has to summarise the geological features of
the water retaining facility.
During the inspection, the geodetic specialist has to explain the installed geodetic
network and the most significant results.
The topics to be discussed during the meeting of the five-yearly site inspection include:
- documents and reports: documents that the operator has submitted to the
supervisory authority [supervisory authority];
- special occurrences: special operational occurrences, performed works, significant
natural occurrences [operator and qualified professional];
- recommendations of the experts regarding the previous five-year period: recall of
the recommendations formulated in the previous five-yearly reports, including
indication from the operator regarding on how they have been addressed [experts
and operator];
- geology [geology expert];
- condition of the dam [qualified professional and civil engineering expert];
- function tests of the relief and outlet works (qualified professional);
- geodetic measurements [geodesy specialist];
- behaviour of the dam [qualified professional and civil engineering expert]
- instruments and measurement frequency [dam warden, qualified professional,
experienced experts, supervisory authority];
- earthquake safety;
- flood safety;
- other special studies;
- planned work [operator];
- deadlines for submission of reports [supervisory authority].Enclosure 3: details
regarding content of archive
See also [STK 2005b] – Aktensammlung über die Stauanlage, Arbeitsgruppe

Talsperrenbeobachtung, Mai 2005.
Enclosure 3: Detailed content of dam’s archive
a) The main drawings of the facility as-built and details relating to the construction
At least a situation plan of the water retaining facility, descriptive cross-sections of

the various components of the facility, views and cross-sections of the outlets and
spillways, a detailed description of the monitoring system, an overview plan of the
reservoir and in general all necessary plans for providing a complete description of
the facility.
Alterations to the water retaining facility have to be reflected in the existing or

supplementary plans.
The details relating to the construction of the facility have to encompass the
encountered conditions for the foundations, the utilised materials, construction
schedule and in general all documents relating to the construction phase that are
necessary for providing a complete description of the facility.
b) The agreement between the owner and the project developer concerning the
planned utilisation (utilisation agreement)
If available, utilisation agreement in accordance with SIA standard 260 (2013

version) or equivalent.
c) Description of the practical implementation of the utilisation agreement (project

basis)
A document summarising the bases of the project: the applicable loads for static
and dynamic analyses, the mechanical properties of the foundations, the material
properties, flood hydrographs, etc.
d) Structural, hydrological and hydraulic calculations and reports
Structural calculations and reports, especially calculation assumptions, applied

calculation methods and the obtained results. Analyses concerning the verification
of earthquake safety and all subsequent structural examinations, whether of a
general nature or specific to an alteration of the structure, form an integral part of
the archive.
Hydrological analyses during the planning of the water retaining facility, and all
subsequent hydrological studies.
Hydraulic verifications: calculations of the capacity of the relief and discharge

systems, flood routing, sedimentation studies, hydraulic model tests, etc.
e) Geological reports
Geological reports from the planning and construction phases, including the
corresponding geological plans and cross-sections, plus subsequent geological
studies of the abutments and foundations, banks and reservoir.
f) Commissioning report
The report submitted to the supervisory authority, plus other commissioning reports
following alterations to the water retaining facility.
All correspondence relating to the commissioning licence and the approval of

various documents and regulations requiring the approval of the supervisory
authority form an integral part of this section of the archive.
g) Annual reports, and reports on geodetic deformation measurements
Annual reports since commissioning, as described in section 4.3.5.
Reports on geodetic measurements carried out since the initial reference

measurement.
h) Five-yearly reports
For water retaining facilities required to carry out five-yearly inspections, reports
from the civil engineering and geology experts, plus accompanying memos from
the operator as described in section 4.4.4.
i) Reports on malfunctions and operating anomalies
Reports concerning malfunctions and anomalous behaviour that are of relevance

to technical safety and have been submitted to the supervisory authority. If
preferred, these documents may also be incorporated into the annual reports.
j) Surveillance, gates and emergency regulations
All versions of these three documents: the currently valid version must be clearly
designated as such.
k) Dam monograph [STK 2001]
If a dam monograph was compiled (summary of the main plans, characteristics of

the facility, reports on its condition and behaviour).

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Federal Department of the Environment, Transport, Energy and

Swiss Federal Office of Energy (SFOE)

Directive on the Safety of Water Retaining

Part D: Commissioning and operation

The most recent version replaces all previous versions.

Formally adopted by the management board of the SFOE on 1 September 2015.

2.2 Commissioning licence (Article 7, WRFO)

Documents References Comments

Acceptance report on Article 9, paragraph 3, Compiled by the supervisory authority

Commissioning programme Article 12, paragraph 1, Describes the foreseen commissioning

Surveillance regulations Specifies the required visual inspections,

Facility-specific requirements According to the special characteristics of the facility

Table D2: Content of commissioning licence

- the geological conditions and status of knowledge about the underground;

As a rule, the filling procedure is as follows:

Surveillance regulations during the commissioning phase

2.5 Commissioning report (Article 13, paragraph 1, WRFO)

Upon completion of the commissioning procedure, the operator is required to submit a

2.5.2 Commissioning with reservoir filling that cannot be controlled

The objectives are as follows:

The surveillance of water retaining facilities is dealt with in detail in section 4.

The main objective of surveillance is to guarantee the safety of the facility.

Its purposes are as follows:

Through surveillance it is also possible to develop a measurements and observations

Surveillance encompasses the following activities:

Surveillance of a water retaining facility

Measurement Visual Function tests

Measures Inspections Tests

Quantitative Qualitative Qual. & quant.

Evaluation, plausibility assessment,

Behaviour Condition Functional

Abnormal? Anomalies? Anomalies?

Figure D1: Surveillance of a water retaining facility

Monitoring is organised at several different levels (cf. Figure D2).

1 Dam warden Geodetics specialist

(only applies to water retaining

Figure D2: Organisation of surveillance activities

As a rule, the dam warden is an employee of the operator or of a company

These include ongoing evaluations of visual observations, measurement

Performance of level 1 tasks by the qualified professional

4.1.3. Monitoring system: Categories of measurement instruments

1) Measurement instruments for ongoing behaviour monitoring

This category encompasses instruments that are required for:

Remotely transmitted measurement data in this category of instruments must be

Remotely transmitted measurement data must be periodically verified through manual

Modifications of these instruments and the respective measurement intervals do not

4.1.4. Measurement system: instrumentation range

4.1.5. Surveillance regulations (Article 14, paragraph 2, WRFO)

They must especially describe the following:

4.2. Level 1 surveillance

Level 1 surveillance represents continual inspections as specified in Article 16, WRFO.

4.2.2. Job profile of dam warden

Concrete Embankments Comments

Deformations (with Once a year to

Concrete Embankments Comments

Continual visual inspections 2 to 4 times a year 2 to 4 times a year

Deformations (with Once a year up to

Other large water retaining facilities without five-yearly inspections

Concrete Embankments Comments