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Dammed if you do, damned if you don’t:

A Global Comparative Assessment of the

Legal and Institutional Frameworks

for Dam Safety

Regional Meeting on Dam Safety Cooperation in Central Asia

Capacity-building Project for Cooperation on Dam Safety in Central Asia, Phase 3

March 1-2, 2017, Almaty Kazakhstan

Marcus Wishart, Satoru Ueda, Kimberly Lyon & Esteban Boj Garcia

World Bank Group

John Pisaniello & Joanne Tingey-Holyoak

University of South Australia

Study in Context

• Development of dams to store water for productive

purposes has been an important contributor to the

development of economic prosperity, poverty reduction

and improving sustainability

• Increasing demands for water resources and hydropower

development due to rapid population and economic growth

increasing operational complexity

• Safe and sustainable management of aging assets to

maintain economic and financial viability of water and

energy sector investments

• Increased WB lending portfolio, including for large dams,

building on large portfolio of rehabilitation projects

• Support for preparation of dam safety instruments required

under WB OP 4.37 Safety of Dams

• Increased support through Technical Assistance and

knowledge sharing on sustainable dam development and

operations

• Sharing of current good practices and models building on

the WB 2002 publication and 2014 ICOLD Committee

Dam Safety Report

1

WB Hydropower Project Portfolio

2

0

500

1,000

1,500

2,000

2,500199

1

19

92

199

3

199

4

199

5

199

6

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7

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8

199

9

200

0

200

1

200

2

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4

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5

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6

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7

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8

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9

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Us $

Mill

ion

Fiscal Year

Commitments 3 per. Mov. Avg. (Commitments)

WBG Dam Related Portfolio

3

> 110 projects in ~50 countries

Project costs between US$30-45billion

Financial Commitments >US$20-25billion

Projects relating to dams approved FY 10-16

WBG Dam Related Portfolio

4

110 projects supporting development or rehab of more than 473 dams.

This includes number of projects supporting an undetermined number of (likely small) dams.

Projects relating to dams approved FY 10-16

Objective 1. to provide a comprehensive set of country

case studies exploring the legal, regulatory, and

institutional mechanisms for dam safety, as well as

sustainable operations, including financial and human

resources, portfolio risk approaches and operating

modes from a diverse set of countries with varying

economic, political and cultural circumstances;

Objective 2. to carry out a comparative global analysis

of the legal, regulatory, and institutional metrics plus

financial and operating model analysis to identify

elements of exemplary practice and precedents for

appropriate practice for varying jurisdictional

circumstances;

Objective 3. to inform the development of a continuum

of legal, regulatory and institutional frameworks

suitable for different jurisdictional circumstances

supported by a menu of different options for achieving

sustainable dam safety.

OBJECTIVES OF THE STUDY

Dale Kolke / California Department of Water Resources

Builds on History of Dam Safety related Publications……

• WB publication on Regulatory Frameworks for Dam

Safety: A Comparative Study (2002)

• Series of ICOLD Bulletins, such as

– #130 Risk Assessment in Dam Safety Management: A

Reconnaissance of Benefits, Methods and Current

Application (2005)

– #154 Dam Safety Management: Operation Phase of Dam

Life Cycle (2011)

– #167 Regulation of Dam Safety: An Overview of Current

Practice Worldwide (2014)

• Technical guidelines (USACE, FEMA, Canada,

Australia, UNECE, etc.)

51 Country

Case Studies

18 High Income (OECD) countries 2 High Income (non-OECD) countries 13 Upper Middle Income Countries 14 Lower Middle Income countries 4 Low Income Countries

Phase 1: Heads of Analysis

• Country Characteristics including Dam Safety History and Regulation Development

• Legal Basis for Dam Safety Responsibility and Legislation

• Governance, Empowerment and Institutional Arrangements for Dam Safety Assurance

• The Contents of the Regulatory Scheme

• Funding of the Regulatory Scheme (Financial Framework) and Performance Assessment

A. MACRO LEVEL – Dam Safety Assurance Policy, Regulations and Institutions

• Corporate Governance

• Portfolio Risk Management

• Operation and Maintenance

• Dam Safety Review/Design

• Emergency Preparedness Plans

B. MICRO (DAM OWNER) LEVEL – Dam Safety Management Practices and Technical Instruments

C. TRANSBOUNDARY RIVER DAMS

MACRO (Regulatory) LEVEL

Dam Safety Assurance Policy, Regulations and Institutions

Classification & Registration

Institutional & Legal Framework

Form of Regulation

Financial Framework

Portfolio Risk Management

Enforcement Standards & Instruments

(risk based or standards based)

Emergency Preparedness Plans

Owner & Community Education, Insurance & Guidance

MICRO (Dam Owner) LEVEL

Dam Safety Management Practices and Technical Instruments

Roles & Responsibilities

Application of Regulation

Financial Framework

Portfolio Risk Management

Dam Safety Instruments (onsite manuals & procedures etc.)

Emergency Preparedness Plans

Owner & Community Education, Insurance & Guidance

National Assets & Operations

- Spatial boundaries

- Notification procedures

- Cumulative assessments

- Operating Rules

- Risk management

- Regulatory functions

C. DAMS WITHIN TRANSBOUNDARY RIVERS

Basin Assets & Operations- Spatial boundaries

- Notification procedures

- Cumulative assessments

- Operating Rules

- Risk management

- Regulatory functions

Critical elements for effective dam safety regulation with some variant models

Typical classification of dams (size, risk, consequence, etc.) including safety design criteria (flood, earthquake, etc.)

Introductory program for developing countries to establish a national dam safety framework possibly including portfolio risk management

Key elements for sustainable O&M / financing mechanism for different purpose of dams

Key elements for successful flood and hydropower operation on a basin scale between multiple dam owners

Key elements for effective emergency management

Innovative tools for effective dam safety management and reservoir operation (information network, database, etc.)

11

Phase 2 & 3: Comparative Analysis and Synthesis

12

Framework for Guiding Legal & Institutional Evolution ?

13

Framework for Guiding Legal & Institutional Evolution ?

14

Framework for Guiding Legal & Institutional Evolution ?

TIMELINE

PHASE 1.

51 Country

Case Studies

February

Meetings

Regional Validation

Workshops

(Tokyo, Addis, others)

- Review and Validation

- Strategic Direction for

aComparative Analysis

TOKYO:

APRIL 03-07

ADDIS (IHA):

May 09-11

Internal & Peer Review

PHASE 2.

Comparative

Analysis

PHASE 3.

Synthesis &

Recommendations

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Thank You

Спасибо