Appendices APPENDIX I. World Bank: Operational Policy ... APPENDIX II. World Bank: Bank Procedure ...

Appendices APPENDIX  I. World Bank:  Operational  Policy ... APPENDIX  II. World  Bank:  Bank  Procedure ...
Appendices
APPENDIX I. World Bank: Operational Policy 4.37 on the Safety of Dams
APPENDIX II. World Bank: Bank Procedure 4.37 on the Safety of Dams
APPENDIX III. World Bank: Bank Procedure 4.37 on the Safety of Dams,
Annex A on Dam Safety Reports: Content and Timing
APPENDIX IV. Republic of South Africa, 1998 National Water Act, Chapter
12: Safety of Dams
APPENDIX V. British Columbia, Canada, Dam Safety Regulation
APPENDIX VI. Canadian Dam Association, Sample Operations, Maintenance,
and Surveillance Manual
APPENDIX VII. Selected Legislation on Dam Safety and Additional Information
Sources
95
APPENDIX I
World Bank: Operational Policy 4.37 on the Safety of Dams
III Operational Policies
THE WORLD BANK OPERATIONAL MANUAL
OP 4.37
~~~~~~~~~~~~~~~~~~~October
2001
These policies werepreparedfor use by World Bank staff and are not necessarily a complete treatment of the subject.
Safety of Dams
Note: OP and BP 4.37 replace the versions dated September 1996. Other Bank policies that may apply to projects that involve dams include the following: OP/BP 4.01,
EnvironmentalAssessment; OP/BP 4.04, Natural Habitats;OP 4.11, Cultural Property;
OD 4.20, Indigenous Peoples; OD 4.30, Involuntary Resettlement; and OP/BP 7.50,
Projects on InternationalWaterways. Questions on dam safety should be addressed to
the Director, Rural Development Department (RDV).
1. For the life of any dam, the owner' is responsible for ensuring that appropriate measures are taken and sufficient resources provided for the
safety of the dam, irrespective of its funding sources or construction
status. Because there are serious consequences if a dam does not function properly or fails, the Bank 2 is concerned about the safety of new
dams it finances and existing dams on which a Bank-financed project
is directly dependent.
New Dams
2. When the Bank finances a project that includes the construction of a
new dam, 3 it requires that the dam be designed and its construction
1. The owner may be a national or local government, a parastatal, a private company,
or a consortium of entities. If an entity other than the one with legal title to the dam site,
dam, and/or reservoir holds a license to operate the dam, and has responsibility for its
safety, the term "owner" includes such other entity.
2. "Bank" includes the International Development Association (IDA), and "loans" include credits.
3. For example, a water storage dam for a hydropower, water supply, irrigation, flood
control, or multipurpose project; a tailings or a slimes dam for a mine project; or an ash
impoundment dam for a thermal power plant.
97
98
Regulatory Frameworks for Dam Safety
supervised by experienced and competent professionals. It also requires that the borrower 4 adopt and implement certain dam safety
measures for the design, bid tendering, construction, operation, and
maintenance of the dam and associated works.
3. The Bank distinguishes between small and large dams.
a) Small dams are normally less than 15 meters in height. This category includes, for example, farm ponds, local silt retention dams, and
low embankment tanks.
b) Large dams are 15 meters or more in height. Dams that are between
10 and 15 meters in height are treated as large dams if they present
special design complexities-for example, an unusually large floodhandling requirement, location in a zone of high seismicity, foundations that are complex and difficult to prepare, or retention of
toxic materials.5 Dams under 10 meters in height are treated as large
dams if they are expected to become large dams during the operation of the facility.
4. For small dams, generic dam safety measures designed by qualified engineers are usually adequate. For large dams, the Bank requires
a) reviews by an independent panel of experts (the Panel) of the investigation, design, and construction of the dam and the start of operations;
b) preparation and implementation of detailed plans: a plan for construction supervision and quality assurance, an instrumentation
plan, an operation and maintenance plan, and an emergency preparedness plan; 6
4. When the owner is not the borrower, the borrower ensures that the obligations of
the borrower under this OP are properly assumed by the owner under arrangements acceptable to the Bank.
5. The definition of "large dams" is based on the criteria used to compile the list of
large dams in the World Register of Dams, published by the International Commission on
Large Dams.
6. BP 4.37, Annex A, sets out the content of these plans and the timetable for preparing and finalizing them. In the dam safety practice of several countries, the operation and
maintenance plan includes both the instrumentation plan and the emergency preparedness plan as specific sections. This practice is acceptable to the Bank, provided the relevant
sections are prepared and finalized according to the timetable set out in BP 4.37, Annex A.
Appendix 1
c) prequalification of bidders during procurement and bid tendering; 7
and
d) periodic safety inspections of the dam after completion.
5. The Panel consists of three or more experts, appointed by the borrower
and acceptable to the Bank, with expertise in the various technical fields
relevant to the safety aspects of the particular dam.8 The primary purpose of the Panel is to review and advise the borrower on matters relative to dam safety and other critical aspects of the dam, its appurtenant
structures, the catchment area, the area surrounding the reservoir, and
downstream areas. However, the borrower normally extends the Panel's
composition and terms of reference beyond dam safety to cover such
areas as project formulation; technical design; construction procedures;
and, for water storage dams, associated works such as power facilities,
river diversion during construction, shiplifts, and fish ladders.
6. The borrower contracts the services of the Panel and provides administrative support for the Panel's activities. Beginning as early in project
preparation as possible, the borrower arranges for periodic Panel meetings and reviews, which continue through the investigation, design,
construction, and initial filling and start-up phases of the dam.9 The
borrower informs the Bank in advance of the Panel meetings, and the
Bank normally sends an observer to these meetings. After each meeting, the Panel provides the borrower a written report of its conclusions
and recommendations, signed by each participating member; the borrower provides a copy of that report to the Bank. Following the filling
of the reservoir and start-up of the dam, the Bank reviews the Panel's
findings and recommendations. If no significant difficulties are encountered in the filling and start-up of the dam, the borrower may disband the Panel.
7. See Guidelines:Procurement under IBRD Loans and IDA.
8. The number, professional breadth, technical expertise, and experience of Panel
members are appropriate to the size, complexity, and hazard potential of the dam under
consideration. For high-hazard dams, in particular, the Panel members should be internationally known experts in their field.
9. If the Bank's involvement begins at a later stage than project preparation, the Panel
is constituted as soon as possible and reviews any aspects of the project that have already
been carried out.
99
loo Regulatory Frameworks for Dam Safety
Existing Dams and Dams under Construction
7. The Bank may finance the following types of projects that do not include a new dam but will rely on the performance of an existing dam
or a dam under construction (DUG): power stations or water supply
systems that draw directly from a reservoir controlled by an existing
dam or a DUC; diversion dams or hydraulic structures downstream
from an existing dam or a DUC, where failure of the upstream dam
could cause extensive damage to or failure of the new Bank-funded
structure; and irrigation or water supply projects that will depend on
the storage and operation of an existing dam or a DUC for their supply of water and could not function if the dam failed. Projects in this
category also include operations that require increases in the capacity
of an existing dam, or changes in the characteristics of the impounded materials, where failure of the existing dam could cause extensive
damage to or failure of the Bank-funded facilities.
8. If such a project, as described in para. 7, involves an existing dam or
DUC in the borrower's territory, the Bank requires that the borrower
arrange for one or more independent dam specialists to (a) inspect and
evaluate the safety status of the existing dam or DUC, its appurtenances,
and its performance history; (b) review and evaluate the owner's operation and maintenance procedures; and (c) provide a written report of
findings and recommendations for any remedial work or safety-related
measures necessary to upgrade the existing dam or DUC to an acceptable standard of safety.
9. The Bank may accept previous assessments of dam safety or recommendations of improvements needed in the existing dam or DUC if
the borrower provides evidence that (a) an effective dam safety program is already in operation, and (b) full-level inspections and dam
safety assessments of the existing dam or DUC, which are satisfactory
to the Bank, have already been conducted and documented.
10. Necessary additional dam safety measures or remedial work may be financed under the proposed project. When substantial remedial work is
needed, the Bank requires that (a) the work be designed and supervised
Appendix 1
by competent professionals, and (b) the same reports and plans as for a
new Bank-financed dam (see para. 4[b]) be prepared and implemented.
For high-hazard cases involving significant and complex remedial
work, the Bank also requires that a panel of independent experts be employed on the same basis as for a new Bank-financed dam (see paras.
4[a] and 5).
11. When the owner of the existing dam or DUC is an entity other than
the borrower, the borrower enters into agreements or arrangements
providing for the measures set out in paras. 8-10 to be undertaken by
the owner.
Policy Dialogue
12. Where appropriate, as part of policy dialogue with the country, Bank
staff discuss any measures necessary to strengthen the institutional,
legislative, and regulatory frameworks for dam safety programs in the
country.
101
APPENDIX
II
World Bank: Bank Procedure 4.37 on the Safety of Dams
THE WORLD BANK OPERATIONAL MANUAL
1EIBank Procedures
BP 4.37
October2001
These procedures were preparedforuse by World Bank staff and are not necessarilya
complete treatment of the subject.
Safety of Dams
Note: OP and BP 4.37 replace the versions dated September 1996. Other Bank policies that may apply to projects that involve dams include the following: OP/BP 4.01,
EnvironmentalAssessment; OP/BP 4.04, NaturalHabitats;OP 4.11, CulturalProperty;
OD 4.20, Indigenous Peoples; OD 4.30, Involuntary Resettlement; and OP/BP 7.50,
Projects on International Waterways. Questions on dam safety should be addressed to
the Director, Rural Development Department (RDV).
Project Processing
1. When the Bank' begins processing a project that includes a dam, the
processing team includes individuals who have relevant experience in
dam engineering and in preparation and supervision of previous Bankfunded projects that have included dams. If such individuals are not
available within the Region, the task team ('r) consults the Rural Development Department for referral to appropriate specialists inside or
outside the Bank.
2. Bank projects involving dams are processed according to the procedures set forth in BP1o.00, Investment Lending: Identification to Board
Presentation.
3. As soon as a project involving a dam is identified, the TT discusses
with the borrower the Bank's policy on dam safety (OP 4.37).
1. "Bank" includes IDA, and "loans" includes credits.
103
104
Regulatory Frameworks for Dam Safety
Preparation
4. The TT ensures that the borrower's terms of reference (TOR) for technical services to investigate the site and design the dam, supervise new
or remedial construction, advise on initial reservoir filling and start-up
operations, and perform inspections and safety assessments, as well as
the qualifications of the professionals (e.g., engineers, geologists, or
hydrologists) to be employed by the borrower are adequate to the complexity of the particular dam.
5. If an independent panel of experts (the Panel) is required, the Tr advises borrower staff, as necessary, on the preparation of the TOR. The
TT' reviews and clears the TOR and the Panel members proposed by the
borrower. Once the Panel is in place, TT staff normally attend Panel
meetings as observers.
6. The TT reviews all reports relating to dam safety prepared by the borrower, the Panel, the independent specialists who assess an existing
dam or a dam under construction, and the professionals hired by the
borrower to design, construct, fill, and start up the dam.
7. The TI monitors the borrower's preparation of the plans for construction supervision and quality assurance, instrumentation, operation
and maintenance, and emergency preparedness (see OP 4.37, para. 4,
and BP 4.37, Annex A).
Appraisal
8. The appraisal team reviews all project information relevant to dam
safety, including cost estimates; construction schedules; procurement
procedures; technical assistance arrangements; environmental assessments; and the plans for construction supervision and quality assurance, instrumentation, operation and maintenance, and emergency
preparedness. The team also reviews the project proposal, technical aspects, inspection reports, Panel reports, and all other borrower action
plans relating to dam safety. If a Panel has been required, the team verifies that the borrower has taken the Panel's recommendations into
Appendix II
consideration and, if necessary, assists the borrower in identifying
sources for dam safety training or technical assistance.
9. The TT and the assigned Bank lawyer ensure that the legal agreements
between the Bank and the borrower require the borrower
(a) if a Panel has been required, to convene Panel meetings periodically during project implementation and retain the Panel through the
start-up of a new dam;
(b) to implement the required plans (see Annex A) and raise to the required standard any that have not been adequately developed; and
(c) after filling and start-up of a new dam, to have periodic dam safety
inspections performed by independent qualified professionals who
have not been involved with the investigation, design, construction, or operation of the dam.
Supervision
10. During implementation, the TT monitors all activities relating to the
dam safety provisions in the Loan Agreement, using technical staff
and, as appropriate, consultants to assess the borrower's performance.
If performance in regard to dam safety is found to be unsatisfactory,
the TT promptly informs the borrower that the deficiencies must be
remedied.
11. During the latter stages of project implementation, the TT discusses
post-project operational procedures with the borrower, stressing the
importance of ensuring that written instructions for flood operations
and emergency preparedness are retained at the dam at all times. The
Tr also points out that the advent of new technology or new information (e.g., from floods, seismic events, or discovery of new regional or
local geologic features) may in the future require the borrower to modify the technical criteria for evaluating dam safety; the TT urges the
borrower to make such modifications and then apply the revised criteria to the project dam and, as necessary, to other dams under the borrower's jurisdiction.
105
106
RegulatoryFrameworks for Dam Safety
12. To ensure that completed dams are inspected and maintained satisfactorily, Regional staff may carry out supervision beyond the closing date
of the project, either during work on follow-up projects or during specially scheduled supervision missions.z
2. See OP/BP 13.05, ProjectSupervision.
APPENDIX III
World Bank: Bank Procedure 4.37 on the Safety of Dams,
Annex A on Dam Safety Reports: Content and Timing
*flfn THE WORLD BANK OPERATIONAL MANUAL
BP 4.37 - Annex A
IE Bank Procedures
October 2001
These procedureswere preparedforuse by World Bank staff and are not necessarilya
complete treatment of the subject.
Dam Safety Reports: Content and Timing
1. Plan for construction supervision and quality assuratnce.This plan is provided to the Bank by appraisal. It covers the organization, staffing levels, procedures, equipment, and qualifications for supervision of the
construction of a new dam or of remedial work on an existing dam.
For a dam other than a water storage dam,' this plan takes into account the usual long construction period, covering the supervision requirements as the dam grows in height-with any accompanying
changes in construction materials or the characteristics of the impounded material-over a period of years. The task team uses the plan
to assess the need to fund components under the loan to ensure that
dam-safety-related elements of the design are implemented during
construction.
2. Instrumentationplan. This is a detailed plan for the installation of instruments to monitor and record dam behavior and the related hydrometeorological, structural, and seismic factors. It is provided to an
independent panel of experts (the Panel) and the Bank during the design stage, before bid tendering.
3. Operation and maintenance (O&M) plan. This detailed plan covers orga-
nizational structure, staffing, technical expertise, and training required;
1. For example, a mine tailings, ash impoundment, or slag storage dam.
107
108
Regulatory Frameworks for Dam Safety
equipment and facilities needed to operate and maintain the dam;
O&M procedures; and arrangements for funding O&M, including longterm maintenance and safety inspections. The O&M plan for a dam
other than a water storage dam, in particular, reflects changes in the
dam's structure or in the nature of the impounded material that may be
expected over a period of years. A preliminary plan is provided to the
Bank for use at appraisal. The plan is refined and completed during project implementation; the final plan is due not less than six months prior to the initial filling of the reservoir. Elements required to finalize the
2
plan and initiate operations are normally financed under the project.
4. Emergency preparedness plan. This plan specifies the roles of responsible
parties when dam failure is considered imminent, or when expected
operational flow release threatens downstream life, property, or economic operations that depend on river flow levels. It includes the following items: clear statements on the responsibility for dam operations decision making and for the related emergency communications;
maps outlining inundation levels for various emergency conditions;
flood warning system characteristics; and procedures for evacuating
threatened areas and mobilizing emergency forces and equipment. The
broad framework plan and an estimate of funds needed to prepare the
plan in detail are provided to the Bank prior to appraisal. The plan itself is prepared during implementation and is provided to the Panel
and Bank for review not later than one year before the projected date
of initial filling of the reservoiL
2. In the dam safety practice of several countries, the operation and maintenance plan
includes both the instrumentation plan and the emergency preparedness plan as specific
sections. This practice is acceptable to the Bank, provided the relevant sections are prepared and finalized according to the timetable set out in this Annex.
APPENDIX IV
Republic of South Africa, 1998 National Water Act,
Chapter 12: Safety of Dams
NOTE: This appendix is provided merely as an example of a statute that contains specific provisions on dam safety. There are many other examples of
such statutes and the inclusion of this example in this report should not be
interpreted as an endorsement of this statutory model over other models.
(English text signed by the President)
(Assented to 20 August 1998)
REPUBLIC OF SOUTH AFRICA
NATIONAL WATER ACT
Act No. 36 of 1998
ACT
To provide for fundamental reform of the law relating to water
resources; to repeal certain laws; and to provide for matters connected therewith.
PREAMBLE
Recognising that water is a scarce and unevenly distributed national resource
which occurs in many different forms which are all part of a unitary, interdependent cycle;
Recognising that while water is a natural resource that belongs to all people,
the discriminatory laws and practices of the past have prevented equal access
to water, and use of water resources;
Acknowledging the National Government's overall responsibility for and authority over the nation's water resources and their use, including the equitable allocation of water for beneficial use, the redistribution of water, and
international water matters;
109
110 Regulatory Frameworks for Dam Safety
Recognising that the ultimate aim of water resource management is to
achieve the sustainable use of water for the benefit of all users;
Recognising that the protection of the quality of water resources is necessary
to ensure sustainability of the nation's water resources in the interests of all
water users; and
Recognising the need for the integrated management of all aspects of water
resources and, where appropriate, the delegation of management functions
to a regional or catchment level so as to enable everyone to participate;
BE IT ENACTED by the Parliament of the Republic of South Africa, as follows:
CHAPTER 1: INTERPRETATION AND FUNDAMENTAL PRINCIPLES
1.
2.
3.
4.
Definitions and interpretation
Purpose of Act
Public trusteeship of nation's water resources
Entitlement to water use
CHAPTER 2: WATER MANAGEMENT STRATEGIES
Part 1: National water resource strategy
5. Establishment of national water resource strategy
6. Contents of national water resource strategy
7. Giving effect to national water resource strategy
Part 2: Catchment management strategies
8.
9.
10.
11.
Establishment of catchment management strategies
Contents of catchment management strategy
Guidelines for and consultation on catchment management strategies
Giving effect to catchment management strategies
CHAPTER 3: PROTECTION OF WATER RESOURCES
Part 1: Classification system for water resources
12. Prescription of classification system
Part 2: Classification of water resources and resource
quality objectives
13. Determination of class of water resources and resource quality objectives
14. Preliminary determination of class or resource quality objectives
Appendix IV
15. Giving effect to determination of class of water resource and resource
quality objectives
Part 3: The Reserve
16. Determination of Reserve
17. Preliminary determinations of Reserve
18. Giving effect to Reserve
Part 4: Pollution prevention
19. Prevention and remedying effects of pollution
Part 5: Emergency Incidents
20. Control of emergency incidents
CHAPTER 4: USE OF WATER
Part 1: General principles
21. Water use
22. Permissible water use
23. Determination of quantity of water which may be allocated by responsible authority
24. Licences for use of water found underground on property of another
person
25. Transfer of water use authorisations
26. Regulations on the use of water
Part 2: Considerations, conditions and essential requirements of
general authorlsations and licences
27.
28.
29.
30.
31.
Considerations for issue of general authorisations and licences
Essential requirements of licences
Conditions for issue of general authorisations and licences
Security by applicant
Issue of licence no guarantee of supply
Part 3: Existing lawful water uses
32.
33.
34.
35.
Definition of existing lawful water use
Declaration of water use as existing lawful water use
Authority to continue with existing lawful water use
Verification of existing water uses
111
112
Regulatory Frameworks for Dam Safety
Part 4: Stream flow reduction activities
36. Declaration of stream flow reduction activities
Part 5: Controlled activities
37. Controlled activity
38. Declaration of certain activities as controlled activities
Part 6: General authorisations
39. General authorisations to use water
Part 7: Individual applications for licences
40. Application for licence
41. Procedure for licence applications
42. Reasons for decisions
Part 8: Compulsory licences for water use in respect of
specific resource
43.
44.
45.
46.
47.
48.
Compulsory licence applications
Late applications
Proposed allocation schedules
Preliminary allocation schedule
Final allocation schedules
Licences replace previous entitlements
Part 9: Review and renewal of licences, and amendment and
substitution of conditions of licences
49.
50.
51.
52.
Review and amendment of licences
Formal amendment of licences
Successors-in-title
Procedure for earlier renewal or amendment of licences
Part 10: Contravention of or failure to comnply with authorisations
53. Rectification of contraventions
54. Suspension or withdrawal of entitlements to use water
55. Surrender of licence
CHAPTER 5: FINANCUAL PROVISIONS
Part 1: Water use charges
56. Pricing strategy for water use charges
57. Application of pricing strategy
Appendix IV
58. Recovery of water use charges
59. Liability for water use charges
60. Water use charges are charges on land
Part 2: Financial assistance
61. Financial assistance by Minister
62. Regulations on financial assistance
CHAPTER 6: GENERAL POWERS AND DUTIES OF
MINISTER AND DIRECTOR-GENERAL
Part 1: Delegation, directives, expropriation, condonation and
additional powers
63.
64.
65.
66.
67.
68.
Delegation of powers and duties by Minister
Expropriation of property
Expropriation for rehabilitation and other remedial work
Condonation of failure to comply with time period
Dispensing with certain requirements of Act
Intervention in litigation
Part 2: General provisions regarding regulations
69. Making of regulations
70. Consideration of regulations
71. Rejected regulations
Part 3: Powers relating to catchment management agencies
72. Powers and duties of catchment management agencies vest in Minister in certain circumstances
73. Assignment of powers and duties to catchment management agencies
74. Directives to water management institutions
Part 4: Powers of Director-General
75. Delegation of powers by Director-General
76. Appointment of persons on contract
CHAPTER 7: CATCHMENT MANAGEMENT AGENCIES
Part 1: Establishment and powers of catchment
management agencies
77. Proposal for establishment of catchment management agency
78. Procedure for establishment of catchment management agencies
113
114
Regulatory Frameworks for Dam Safety
79. General powers and duties of catchment management agencies
80. Initial functions of catchment management agencies
Part 2: Governing board of catchment management agencies
81. Appointment of governing board of catchment management agency
82. Chairperson, deputy chairperson, chief executive officer and committees of catchment management agency
83. Removal of members from governing board
Part 3: Operation of catchment management agencies
84. Funding of catchment management agencies
85. Documents relating to litigation
86. Delegation of powers by catchment management agency
Part 4: Intervention, disestablishment or change of water
management areas of catchment management agencies
87. Intervention by Minister
88. Disestablishment of catchment management agency
89. Transfer of assets and liabilities after change of water management area
or disestablishment
90. Regulations on catchment management agencies
CHAPTER 8: WATER USER ASSOCIATIONS
91.
92.
93.
94.
95.
96.
97.
98.
Proposal for establishment of water user association
Procedure for establishment of water user association
Constitution of water user association
Powers of water user association
Directives to water user association
Disestablishment of water user association
Winding up affairs of disestablished water user association
Transitional provisions for certain existing organisations
CHAPTER 9: ADVISORY COMMITIEES
99. Establishment of advisory committees
100. Regulations regarding advisory committees
101. Transitional provisions relating to advisory committees
Appendix IV
CHAPTER 10: INTERNATIONAL WATER MANAGEMENT
102.
103.
104.
105.
106.
107.
108.
Establishment of bodies to implement international agreements
Governance and functions of bodies
Powers of bodies
Bodies must manage different functions as separate units
Reports on performance of functions
Investigation of affairs or financial position of bodies
Transitional provisions relating to existing bodies
CHAPTER 11: GOVERNMENT WATERWORKS
109. Acquisition, construction, alteration, repair, operation and control of
government waterworks
110. Consultation and environmental impact assessment
111. Financing of government waterworks
112. Water from government waterworks
113. Access to and use of government waterworks for recreational purposes
114. Government waterworks constructed before commencement of Act
115. Disposal of government waterworks
116. Regulations regarding government waterworks
CHAPTER 12: SAFETY OF DAMS
117.
118.
119.
120.
121.
Definitions
Control measures for dam with safety risk
Responsibilities of approved professional persons
Registration of dam with safety risk
Factors to be considered in declaring dam or category of dams with
safety risk
122. Exemptions
123. Regulations regarding dam safety
CHAPTER 13: ACCESS TO AND RIGHTS OVER LAND
Part 1: Entry and inspection
124. Appointment of authorised persons
125. Powers and duties of authorised persons
116
Regulatory Frameworks for Dam Safety
Part 2: Servitudes
126.
127.
128.
129.
130.
131.
132.
133.
Definitions
Acquisition of servitudes
Rights and duties of servitude holders and landowners
Procedure for acquisition and amendment of servitudes
Powers of High Court in respect of claim for servitude
Compensation payable for granting of servitudes
Noting of servitude and amendment by endorsement against title deed
Cancellation of servitude
134. Joint waterwork involving servitude
Part 3: Waterworks and personal servitudes
135. Ownership of waterworks on land belonging to another
136. Transfer of personal servitudes
CHAPTER 14: MONITORING, ASSESSMENT AND INFORMATION
Part 1: National monitoring systems
137. Establishment of national monitoring systems
138. Establishment of mechanisms to co-ordinate monitoring of water resources
Part 2: National information systems on water resources
139. Establishment of national information systems
140. Objectives of national information systems
141. Provision of information
142. Access to information
143. Regulations for monitoring, assessment and information
Part 3: Infornation on floodlines, floods and droughts
144. Floodlines on plans for establishment of townships
145. Duty to make information available to public
CHAPTER 15: APPEALS AND DISPUTE RESOLUTION
146.
147.
148.
149.
150.
Establishment of Water Tribunal
Operation of Water Tribunal
Appeals to Water Tribunal
Appeals from decisions of Water Tribunal
Mediation
Appendix IV
CHAPTER 16: OFFENCES AND REMEDIES
151.
152.
153.
154.
155.
Offences
Enquiry in respect of compensation for harm, loss or damage suffered
Award of damages
Offences in relation to employer and employee relationships
Interdict or other order by High Court
CHAPTER 17: GENERAL AND TRANSITIONAL PROVISIONS
Part 1: Liability
156.
157.
158.
159.
State bound
Limitation of liability
Amendment or substitution of instruments
Effect of delegation
Part 2: Powers and authorisatlons
160.
161.
162.
163.
164.
Documents deemed to be properly authorised and issued
Documents and steps valid under certain circumstances
Service of documents
Repeal of laws and savings
Short title and commencement
CHAPTER 12
SAFETY OF DAMS
This Chaptercontains measures aimed at improving the safety of new and existing
dams with a safety risk so as to reduce the potentialfor harm to the public, damage to property or to resource quality. To reduce the risk of a dam failure, control
measures require an owner to comply with certain directives and regulations, such
as to submit a report on the safety of a dam, to repairor altera dam, or to appoint
an approvedprofessionalperson to undertake these tasks. These measures are in
addition to the owners' common law responsibility to ensure the safety of their
dams. An approved professionalperson has a statutory duty of care towards the
State and the general public and must fulfil, amongst other things, defined responsibilities when acting under this Chapter. Not all dams are subject to regulation under this Chapter, and the Minister may exempt certain persons from its requirements. Only dams of a defined size, dams which have been declared to be dams
with a safety risk, or dams falling into a prescribedcategory are affected. All dams
with a safety risk must be registered. Compliance with any directive or regulation
117
118 Regulatory Frameworks for Dam Safety
under this Chapterdoes not exempt an owner from complying with any other provision of this Act, such as the requirementfor a licence or other authorisationfor
water use in respect of the dam.
Definitions
117. In this Chapter (a) "approved professional person" means a person registered in terms
of the Engineering Profession of South Africa Act, 1990 (Act No.
114 of 1990), and approved by the Minister after consultation with
the Engineering Council of South Africa (established by section 2
of that Act);
(b) "dam" includes any existing or proposed structure which is capable of containing, storing or impounding water (including temporary impoundment or storage), whether that water contains any
substance or not;
(c) "Dam with a safety risk" means any dam (i) which can contain, store or dam more than 50 000 cubic meters of water;
(ii) belonging to a category of dams declared under section 118(2)
to be dams with a safety risk; or
(iii) declared under section 118(iii)(a) to be a dam with a safety risk;
(d) "owner of a dam" or "owner of a dam with a safety risk" includes
the person in control of that dam; and
(e) "task" includes a task relating to designing, constructing, altering,
repairing, impounding water in, operating, evaluating the safety of,
maintaining, monitoring or abandoning a dam with a safety risk.
Control measures for dam with safety risk
118. (1) The owner of a dam must
(a) within the period specified, provide the Minister with any information, drawings, specifications, design assumptions, calculations, documents and test results requested by the Minister;
or
(b) give any person authorised by the Minister access to that dam,
to enable the Minister to determine whether
(i) that dam is a dam with a safety risk;
(ii) that dam should be declared to be a dam with a safety risk;
Appendix IV
(2)
(3)
(4)
(5)
(iii) a directive should be issued for specific repairs or alterations to that dam; or
(iv) the owner has complied with any provisions of this Act applicable to that dam.
The Minister may by notice in the Gazette declare a category of
dams to be dams with a safety risk.
The Minister may
(a) by written notice to the owner of a dam, declare that dam to be
a dam with a safety risk;
(b) direct the owner of a dam with a safety risk to submit, at the
owner's cost, and within a period specified by the Minister, a report by an approved professional person regarding the safety of
that dam; or
(c) direct the owner of a dam with a safety risk to undertake, at the
owner's cost, and within a period specified by the Minister, any
specific repairs or alterations to that dam which are necessary
to protect the public, property or the resource quality from a
risk of failure of the dam.
If the owner of the dam fails to comply with the directive contemplated in subsection (3)(c) within the period specified, the Minister
may undertake the repairs or alterations and recover the costs from
the owner.
Before issuing a directive, the Minister must
(a) be satisfied that the repairs or alterations directed are necessary,
adequate, effective and appropriate to reduce the risk to an acceptable level; and
(b) consider the impact on public safety, property, the resource
quality and socio-economic aspects if the dam fails.
Responsibilities of approved professional persons
119. (1) When carrying out a task in terms of this Chapter, an approved
professional person also has a duty of care towards the State and
the general public.
(2) An approved professional person appointed to carry out a task on
a dam must
(a) ensure that the task is carried out according to acceptable dam
engineering practices;
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120
Regulatory Frameworks for Dam Safety
(b) keep the prescribed records;
(c) compile the prescribed reports; and
(d) where the task includes constructing, altering or repairing a
dam, issue a completion certificate to the owner of the dam to
the effect that the task on that dam has been carried out according to the applicable design, drawings and specifications.
(3) An approved professional person appointed to carry out a dam
safety evaluation must (a) consider whether the safety norms pertaining to the design,
construction, monitoring, operation, performance and maintenance of the dam satisfy acceptable dam engineering practices;
and
(b) compile a report on the matters contemplated in paragraph (a)
according to the prescribed requirements and submit the signed
and dated report to the owner of the dam within the prescribed
period.
Registration of dam with safety risk
120. (1) The owner of a dam with a safety risk must register that dam.
(2) An application for registration must be made within 120 days
(a) after the date on which the dam with a safety risk becomes capable of containing, storing or impounding water;
(b) after the date on which an already completed dam is declared
to be a dam with a safety risk; or
(c) after publication of a notice declaring a category of dams to be
dams with a safety risk, as the case may be.
(3) A successor-in-title to an owner of a dam with a safety risk must
promptly inform the Director-General of the succession, for the
substitution of the name of the owner.
Factors to be considered in declaring dam or category of
dams with safety risk
121. In declaring a category of dams or a dam to be a category of dams or a
dam with a safety risk, the Minister must consider
(a) the need to protect the public, property and the resource quality
against the potential hazard posed by the dam or category of dams;
Appendix IV
(b) the extent of potential loss or harm involved;
(c) the cost of any prescribed measures and whether they are reasonably achievable;
(d) the socio-economic impact if such a dam fails; and
(e) in the case of a particular dam, also
(i) the manner in which that dam is designed, constructed, altered, repaired, operated, inspected, maintained or abandoned;
(ii) the person by whom that dam is designed, constructed, altered, repaired, operated, inspected, maintained or abandoned;
and
(iii) the manner in which the water is contained, stored or impounded in that dam.
Exemptions
122. (1) The Minister may exempt owners of dams belonging to certain categories, by notice in the Gazette, from compliance with any provision of this Chapter or any regulation made under this Chapter, on
conditions determined by the Minister.
(2) The Minister may in writing exempt an owner of a dam belonging
to a certain category from compliance with any provision of this
Chapter on conditions determined by the Minister.
(3) The Minister may withdraw the exemption or impose further or
new conditions in respect of the exemption.
(4) Before deciding on an exemption, the Minister must consider
(a) the degree of risk or potential risk posed by the dam or category of dams to public safety, property and the resource quality;
(b) the manner of design, construction, alteration, repair, impoundment of water in, operation or abandonment of the dam
or category of dams;
(c) the supervision involved in the dam or category of dams;
(d) alternative measures proposed for regulating the design, construction, alteration, repair, operation, maintenance, impoundment of water in, inspection or abandonment of the dam or
category of dams and the effectiveness of these measures;
(e) the knowledge and expertise of the persons involved in any
task relating to the dam or category of dams;
121
122 Regulatory Frameworks for Dam Safety
(1) the costs relating to the dam or category of dams;
(g) any security provided or intended to be provided for any damage which could be caused by the dam or category of dams; and
(h) whether the dam or category of dams are permitted in terms of
a licence or any other authorisation issued by or under any other Act.
Regulations regarding dam safety
123. (1) The Minister may make regulations
(a) for the establishment of a register of approved professional persons for dealing with dams with a safety risk
(i) providing for
(aa) different classes of approved professional persons;
(bb) the tasks or category of tasks which each class of approved professional persons may perform; and
(cc) the conditions under which each class of approved
professional persons may perform any task or category
of tasks;
(ii) concerning the requirements for admission to each class;
(iii) setting out, in respect of each class, the procedure for
(aa) approval;
(bb) withdrawal of an approval; and
(cc) suspension of an approval; and
(iv) providing for a processing fee for an approval;
(b) regulating the approval of a person as an approved professional
person for a specific task
(i) setting out the procedure for approval;
(ii) setting out the procedure for cancelling an approval;
(iii) requiring that the approved person be assisted in the task
by another person or group of persons with specific experience and qualifications; and
(iv) providing for a processing fee for an approval;
(c) in respect of dams with a safety risk
(i) classifying such dams into categories;
(ii) requiring the owner of a dam of a specific category to appoint an approved professional person to
Appendix IV
(aa) design that dam or any repair, alteration or abandonment of the dam;
(bb) ensure that a task is carried out according to the applicable design, drawings and specifications; and
(cc) carry out dam safety evaluations on the dam;
(iii) requiring that licences be issued by the Minister before any
task relating to a specific category of dams may commence,
and the conditions, requirements and procedure to obtain
any specific licence;
(iv) laying down licence conditions and requirements that
must be met when carrying out a task on a specific category of dams;
(v) requiring an approved professional person, appointed for a
dam of a specific category, to keep records of information
and drawings, and to compile reports;
(vi) requiring
(aa) an owner of a dam belonging to a specific category of
dams; and
(bb) an approved professional person appointed for a specific task for a specific dam, to submit information,
drawings, reports and manuals;
(vii) determining the duties of
(aa) an owner of a dam belonging to a specific category of
dams; and
(bb) an approved professional person appointed for a specific task for a specific dam;
(d) requiring the owner of a dam with a safety risk to accomplish
regular monitoring of the dam, to the extent and manner prescribed;
(e) requiring the registration of a specific dam with a safety risk,
and setting out the procedure and the processing fee payable
for registration; and
(D specifying time periods that must be complied with.
(2) In making regulations under subsection (1)(a), the Minister must
consider
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Regulatory Frameworks for Dam Safety
(a) the expertise required for the effective design, construction, alteration, repair, operation, maintenance and abandonment of a
dam in the category concerned; and
(b) the qualifications and experience needed to provide the expertise for a particular category of tasks.
(3) Before making regulations under subsection (1), the Minister must
consult the Engineering Council of South Africa, established by
section 2 of the Engineering Profession of South Africa Act, 1990
(Act No. 114 of 1990), and any other appropriate statutory professional bodies.
APPENDIX V
British Columbia, Canada, Dam Safety Regulation
NOTE: This appendix is provided merely as an example of a regulation that
deals exclusively with dam safety. There are many other examples and the
inclusion of this example in this report should not be interpreted as an endorsement of this regulatory model over other models.
B. C. Reg. 44/00
DepositedFebruary 11, 2002
BRITISH COLUMBLA
DAM SAFETY REGULATION
CONTENTS
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
Definitions
Application
Operation and maintenance of dam
Alteration of a dam
Inspection
Reporting
Dam Safety Review
Hazardous conditions at a dam
Suspension of normal operation or removal of a dam
Information and evaluation
Instrumentation
Expert opinion
Schedule 1
Schedule 2
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RegulatoryFrameworks for Dam Safety
Definitions
1. In this regulation:
"Act" means the Water Act
"dam" means
(a) a barrier constructed across a stream, or
(b) a barrier constructed off stream and supplied by diversion of water
from a stream for the purpose of enabling the storage or diversion
of water, and includes all works which are incidental to or necessary for the barriers;
"dam owner" means with respect to a dam, any or all of the following:
(a) the person who holds the current license or is required to hold a license for the dam;
(b) the person who last held a license for the dam including a license
that has been suspended, cancelled, abandoned and or terminated;
(c) if there is no person whom paragraph (a) or (b) applies, the owner
of the land on which the dam is located or the person who had the
dam constructed;
"dam safety officer" means an engineer or officer, designated in
writing by the comptroller as a dam safety officer;
"emergency preparedness plan" means a plan prepared by a dam
owner under section 3 (2) (a) that describes the actions the dam owner proposes to take in the event of an emergency at a dam;
"height" means the vertical distance to the top (crest) of a dam
measured,
(a) in the case of a dam across a stream, from the natural bed of the
stream at the downstream outside limit of the dam, or
(b) in the case of a dam that is not across a stream, from the lowest elevation at the outside limit of the dam;
"Instrumentation" means, but is not limited to, survey monuments
and stations, inclinometers, extensometers, piezometers or measuring
weirs;
Appendix V
"maintain" or "maintenance" means the performance of those
tasks required to keep the dam in a good operating condition;
"operation, maintenance and surveillance manual" means a
manual prepared by a dam owner under section 3 (2) (b) that describes
the dam owner's operation, maintenance and surveillance procedures
for the dam;
"professional engineer" means a person registered, and in good
standing, as a professional engineer under the Engineers and Geoscientists Act;
"volume of water" means the total storage volume of the reservoir
at full supply level measured in accordance with one of the following:
(a) between the natural bed of the stream and the spillway crest;
(b) between the upstream outside limit of the dam and the spillway crest;
(c) if a low level outlet is excavated to an elevation lower than the general foundation of the dam, between the bottom of that outlet and
the spillway crest.
Application
2. (1) This regulation applies to all of the following:
(a) a dam 1 meter or more in height that is capable of impounding
a volume of water greater than 1,000,000 m3 ;
(b) a dam 2.5 meters or more in height that is capable of impounding a volume of water greater than 30,000 m3 ;
(c) a dam 7.5 meters or more in height;
(d) a dam that does not meet the criteria under paragraph (a), (b)
or (c) but has a downstream consequence classification under
Schedule 1 of low, high or very high.
(2) This regulation does not relieve a dam owner from any other requirements that may be imposed under the Act, the Water Regulation or any other applicable enactment.
Operation and maintenance of a dam
3. (1) A dam owner must operate and maintain a dam in accordance
with all of the following:
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Regulatory Frameworks for Dam Safety
this regulation;
any applicable license or approval;
any order that is made under the Act;
the emergency preparedness plan that has been prepared and
accepted in accordance with subsection (2) (a);
(e) the operation, maintenance and surveillance manual that has
been prepared and accepted in accordance with subsection (2) (b)
(2) A dam owner must, in the form and manner and within the time
period specified by the comptroller or regional water manager, prepare and submit to dam safety officer, for acceptance by the dam
safety officer, the following:
(a) if the downstream consequence classification under Schedule 1
is high or very high, an emergency preparedness plan;
(b) if the downstream consequence classification under Schedule 1
is low, high or very high, an operation, maintenance and surveillance manual.
(3) Subsection (2) applies whether there is a term or condition in an
approval granted or license issued that requires the preparation of
such a plan or manual for the dam.
(4) A dam owner must ensure the dam is adequately safeguarded to
prevent unauthorized operation of the dam by someone other
than the dam owner or an agent of the dam owner.
(a)
(b)
(c)
(d)
Alteration of dam
4. (1) Any alteration, improvement or replacement to all or any part of a
dam must be authorized by an approval, license or order.
(2) Subsection (1) does not apply to an alteration, improvement or replacement for the purpose of
(a) maintaining the dam as authorized under section 3, or
(b) addressing a hazardous condition as specified in section 8.
(3) A dam owner must submit to a dam safety officer, on completion
of the alteration, improvement or replacement, a report on the
work and the manner in which any such alteration, improvement
or replacement to all or any part of the dam was performed.
Inspection
S. A dam owner must do all of the following:
Appendix V
(a) carry out an inspection of a dam on the frequency applicable to the
downstream consequences classification for the dam as set out in
Schedule 2 in order to assess the condition of the dam during the
construction, operation or alteration of the dam;
(b) record the results of every inspection performed under paragraph (a);
(c) repair any safety hazards revealed by an inspection, if authorized
to do so by an approval, license or order or as authorized under this
regulation.
Reporting
6. (1) A dam owner must, when an inspection is carried out under section 5 or when any other inspection is carried out with respect to
a dam,
(a) submit to a dam safety officer, in the form and manner and
within the time period specified by the dam safety officer,
(i) the record of inspection required by section 5(b), and
(ii) the results and analysis of any test or measurement taken
including, but not limited to,
a) instrumentation readings and analysis,
b) visual records or observations,
c) drawings,
d) soil, aggregate and concrete test results, and
e) any other test results, and
(b) promptly submit to a dam safety officer the record of inspection
required by section 5 (b) if the inspection reveals a potential
safety hazard.
(2) A dam owner must submit to a dam safety officer, if requested by
the dam safety officer, the original or clear copies of the following
documentation required for the design, construction or alteration
of the dam:
(a) all design notes, drawings and specifications;
(b) hydraulic, hydrologic, geological and geotechnical data;
(c) reports and other similar documentation.
Dam safety review
7. (1) If required by Schedule 2, a dam owner must have a professional
engineer, experienced in dam safety analysis, do a dam safety
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Regulatory Frameworks for Dam Safety
review and prepare, in the form and manner and within the time
period specified by the comptroller or regional water manager, a
dam safety report.
(2) The dam owner must submit to a dam safety officer a copy of the
dam safety report prepared by the professional engineer who carried out the dam safety review under subsection (1).
Hazardous conditions at a dam
8. If conditions are, or may likely be, hazardous to a dam, or conditions
may reasonably be anticipated to cause a dam, or any part of a dam, or
any operation or action at or in connection with a dam, to be or become potentially hazardous to public safety, the infrastructure or
works, other property or the environment, a dam owner must promptly do all of the following:
(a) if an emergency preparedness plan exists, modify the operation of
the dam, or any part of the dam, in accordance with the emergency
preparedness plan;
(b) if an emergency preparedness plan does not exist, operate the dam
in a manner, and initiate any remedial actions, that will
(i) safeguard the public,
(ii) minimize damage to the infrastructure or works or to other
property, including that not owned by the dam owner, and
(iii) minimize damage to the environment;
(c) contact the Provisional Emergency Program contained under the
Emergency ProgramAct;
(d) notify a dam safety officer, or the comptroller or regional water
manager, of
(i) the nature of existing or anticipated conditions,
(ii) all things done by the dam owner to rectify the conditions, and
(iii) the time and exact nature of any information or waming of existing or anticipated conditions issued to any person under this
section;
(e) inform local authorities, and persons who may be in immediate
danger from the potential failure of the dam, of the nature of the
existing or anticipated conditions and, if necessary, advise those
persons who may be in immediate danger to vacate and remove
any property from the endangered area;
Appendix V
(f) modify the operation of the dam to minimize or prevent damage
which may be caused by the failure of the dam, and undertake any
other hazard response activity if required by a dam safety officer or
engineer or by the comptroller or regional water manager.
Suspension of normal operation or removal of dam
9. (1) A dam owner must give the comptroller or regional water manager
at least 60 days written notice before undertaking any of the following activities:
(a) removing all or a significant part of a dam;
(b) decommissioning or abandoning a dam;
(c) stopping the normal operation of a dam for a period of time
longer than one year.
(2) The dam owner must prepare, and submit to a dam safety officer
for approval,
(a) a plan respecting an activity under subsection (1) (a) or (b), or
(b) if required by the dam safety officer, a plan respecting an activity under subsection (1) (c).
(3) The dam owner must, at least 14 days before the date on which the
work is expected to commence, notify a dam safety officer before
commencing any work under the approved plan.
(4) The dam owner must submit to a dam safety officer, on the completion of the work performed under the approved plan, a report
on the work and the manner in which it was performed.
(5) The dam owner must undertake any further actions that the comptroller or regional water manager requires to alleviate any adverse
consequences to any person, the infrastructure or works, other
property or the environment that may be affected by any work performed on the dam.
(6) An approval under subsection (2) respecting the decommissioning
of a dam is subject to the Environmental Assessment Act and to approvals, if any, required under the Act.
Information and evaluation
10. (1) A dam owner must, if requested by a dam safety officer, provide the
following information in order to evaluate the condition or hazard
potential of a dam:
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Regulatory Frameworks for Dam Safety
(a) information with respect to the dam including, but not limited to,
(i) foundation investigation results,
(ii) design details and as-built plans,
(iii) construction records,
(iv) operation manuals,
(v) records of instrumentation,
(vi) inspection reports,
(vii) safety reports, and
(viii) inundation studies and emergency preparedness plans;
(b) information with respect to the nature of the land and the
stream, and the use of the land and the stream, downstream
from or adjacent to the dam or reservoir, including the hydraulic, hydrologic, geological and geotechnical characteristics
and the uses of the land and stream;
(c) information with respect to the watershed upstream of the
dam.
(2) The information requested under subsection (1) must be submitted
to a dam safety officer, in the form and manner and within the time
period specified by the comptroller or regional water manager.
(3) The dam owner must conduct any inspection, investigation, survey or test that is necessary to provide the information required by
subsection (1).
Instrumentation
11. A dam owner must do all of the following:
(a) install any instrumentation necessary to adequately monitor the
performance of a dam;
(b) monitor, maintain or replace instrumentation installed at a dam to
ensure continuity of readings;
(c) submit instrumentation readings and evaluations to a dam safety
officer, in the form and manner and within the time period specified by the dam safety officer;
(d) submit, to a dam safety officer for approval by the dam safety officer,
(i) notice of any planned modifications to, changes to or removal
of the instrumentation at least 60 days before the proposed
modification, change or removal, or
Appendix V
(ii) an annual plan outlining intended changes to the instrumentation.
Expert opinion
12. (1) If, based on information submitted in respected of a dam or related works, the comptroller or regional water manager considers that
a question has arisen as to what is proper practice for resolving an
issue involving a dam or related works, the comptroller or regional
water manager may require a dam owner to retain an expert, satisfactory to the comptroller or regional water manager, with qualifications and experience as follows:
(a) In the case of a dam, in dam design, construction and analysis;
(b) In the case of related works, in hydraulic, hydrological, geological, geotechnical, mechanical or structural engineering or other
appropriate disciplines.
(2) The expert retained under subsection (1) must provide a report to
the comptroller or regional water manager on the issue.
133
SCHEDULE 1 (Sections 2[1][d] and 3[2])
Downstream Consequence Classification Guide
Rating
Loss of Life
Economic and Social Loss
Environmental and Cultural Loss
VERY HIGH
Large potential for multiple loss of life involving residents and working, traveling, and/or
recreating public. Development within inundation area (the area that could be flooded if the
dam fails) typically includes communities, extensive commercial and work areas, main
highways, railways, and locations of concentrated recreational activity. Estimated fatalities
could exceed 100.
Very high economic losses affecting infrastructure, public and commercial facilities inand beyond inundation area. Typically includes destruction of or extensive damage to large
residential areas, concentrated commercial
land uses, highways, railways, power lines,
pipelines, and other utilities. Estimated direct
and indirect (interruption of service) costs
could exceed $100 million.
Loss or significant deterioration of nationally or
provincially important fisheries habitat (including
water quality), wildlife habitat, rare and/or endangered species, unique landscapes or sites of cultural significance. Feasibility and/or practicality of
restoration and/or compensation islow.
HIGH
Some potential for multiple loss of life involving
residents, and working, traveling, and/or recreating public. Development within inundation
area typically includes highways and railways,
commercial and work areas, locations of concentrated recreational activity and scattered
residences. Estimated fatalities less than 100.
Substantial economic losses affecting infrastructure, public and commercial facilities in
and beyond inundation area. Typically includes
destruction of or extensive damage to concentrated commercial land uses, highways, railways, power lines, pipelines, and other utilities. Scattered residences may be destroyed
or severely damaged. Estimated direct and indirect (interruption of service) costs could exceed $1million.
Loss or significant deterioration of nationally or
provincially important fisheries habitat lincluding
water quality), wildlife habitat, rare and/or endangered species, unique landscapes or sites of cultural significance. Feasibility and practicality of
restoration and/or compensation ishigh.
LOW
Low potential for multiple loss of life. Inundation area is typically underdeveloped except
for minor roads, temporarily inhabited or nonresidential farms and rural activities. There
Low economic losses to limited infrastructure,
public and commercial activities. Estimated direct and indirect (interruption of service) costs
could exceed $100,000.
Loss or significant deterioration of regionally important fisheries habitat (including water quality),
wildlife habitat, rare and/or endangered species,
unique landscapes or sites of cultural significance.
must be a reliable element of natural warning
if larger development exists.
VERY LOW
Minimal potential for any loss of life. The inundation area istypically undeveloped.
Feasibility and practicality of restoration and/or
compensation is high. Includes situations where recovery would occur with time without restoration.
Minimal economic losses typically limited to
owners' property and do not exceed $100,000.
Virtually no potential for future development of
other land uses within the foreseeable future.
No significant loss or deterioration of fisheries habitat, wildlife habitat, rare and/or endangered species, unique landscapes or sites of cultural significance.
S C H E D U L E 2 (Sections 5[a] and 7[1])
Minimum Inspection Frequency and Dam Safety
Review Requirements
Item
Very High
Consequence
Low
Consequence
High
Consequence
Very Low
Consequence
8
Site Surveillance
Weekly
Weekly
Monthly
Quarterly
Formal Inspectionb
Semi-annually
Semi-annually
or annually
Annually
Annually
Instrumentation
As per OMS
manual
As per OMS'
manual
As per OMSmanual
N/A
Test Operation of
Outlet Facilities.
Spillway Gates and
Other Mechanical
Components
Annually
Annually
Annually
Annually
Emergency
Preparedness Plan
Update
communications
directory
semi-annually
Update
communications
directory
semi-annually
Update
communications
directory annually
N/A
Operation
Maintenance &
Surveillance Plan
Review every 7-10
years
Review every 10
years
Review every 10
years
Review every 10
years
Dam Safety Review,
Every 7-10 years d
Every 7-10 years d
d
d
Operation, Maintenance and Surveillance.
N/A Not available.
'Site surveillance may consist of visual inspections and/or monitoring of automated data acquisition systems. Reduced frequencies of visual inspections may be determined by seasonal conditions.
bFormal Inspections are intended as more thorough inspection performed by the appropriate representative of the
owner responsible for safety surveillance.
'A Dam Safety Review involved collection of all available dam records, field inspections, detailed investigation and
possibly laboratory testing. It then proceeds with a check of structural stability and operational safety of the beginning with a reappraisal of basic features and assumptions. The level of detail required ina Dam Safety Review should
be commensurate with the importance and complexity of the dam, as well as the consequences of failure.
dOam owners must conduct an annual review of conditions downstream of their dam and notify and dam safety officer ifthe downstream consequence classification level increases. The downstream consequence classification guide
isshown inSchedule 1.
136
APPENDIX VI
Canadian Dam Association, Sample Operations,
Maintenance, and Surveillance Manual
NOTE: This appendix is provided merely as an example of the table of contents of an OMS Manual. There are many other examples and the inclusion
of this example in this report should not be interpreted as an endorsement
of this model of an OMS Manual over other possible models.
NON-STRUCTURAL SAFETY MEASURES
DAM SAFETY PLANS
Based on "Dam Safety Guidelines-Canadian Dam Association-January 1999"
OPERATION & MAINTENANCE PLAN
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
General Information
Operation
Reservoir operational rules
Flood forecasting (if available)
Flood operating procedures
Emergency operating procedures
Maintenance
Historical document
Performance indicators
Preventive measures
Instrumentation Plan (see detail)
Surveillance
Standards
Regular inspections
Special inspections
Tests
Emergency Preparedness Plan (EPP) (see detail)
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Regulatory Frameworks for Dam Safety
EMERGENCY PREPAREDNESS PLAN (EPP)
*
*
*
*
*
*
*
*
Responsibilities
Emergency Identification, Evaluation and Classification
Preventive Actions
Notification Procedures
Notification Flowchart
Inundation Maps and Tables
Testing and Upgrading the EPP
Training
INSTRUMENTATION PLAN
*
*
*
*
*
*
Description and location of instruments and monitoring devices
Initial datum, design limits, calibration requirements, operating ranges
"Alarm" levels
Mode and methodology of readings
Data recording and storing
Data interpretation
OPERATION AND MAINTENANCE (O&M) MANUAL
B.1. General
Dam operation, maintenance and surveillance shall be provided so that an
acceptable level of dam safety is ensured.
A manual (the "O&M Manual") shall be prepared, documenting operation,
maintenance and surveillance. The O&M manual shall be implemented, followed, and updated at appropriate intervals. The manual shall contain suitable and sufficient information to allow operators to operate the dam in a
safe manner, maintain it in a safe condition, and monitor its performance
well enough to provide early signs of any distress.
A general description of the dam should be included to indicate such items
as type, size, consequence classification, age, location, and access.
Qualified personnel shall be used for the operation, maintenance and surveillance.
The O&M Manual should state the chain of operational responsibilities and
requirements for training of staff at the various levels.
Appendix VI
As a minimum, the O&M Manual should be reviewed annually to ensure that
all appropriate updates of personnel or organization have been made.
The required duties and qualifications of operators in regard to dam safety
should be defined, listing the appropriate areas of involvement. The description may include details of suitable training programs.
A permanent log book should be maintained, containing information and
records appropriate to the type of dam, such as:
* Weather conditions
* Changes to normal operation, unusual events, conditions or public
activity
* Unusual maintenance activities
* Instructions
* Alarms or annunciation
* Inspections
The log book should not detail activities of normal operation nor records
routinely being maintained elsewhere. Suitable instructions should be in
place for the recording of this operating information, including references to
drawings and technical operation and maintenance manuals.
B.2. Operation
B.2.1. Flood Operating Procedures
During the flood season, a sufficient number or capacity of gates and facilities necessary for discharging flows up to the Inflow Design Flood (IDF) shall
be maintained in operable condition, and procedures for state operation
shall be specified.
Any restrictions for gate operation shall be documented.
The reservoir shall be operated in such a manner that the Inflow Design
Flood can be routed safely. Drawdown or other reservoir operating restrictions shall be documented.
Descriptions of all the various parts of the dam that affect the above requirements should be provided and where appropriate, manufacturers' operating
manuals should be readily available.
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Regulatory Frameworks for Dam Safety
Concise operating instructions should be provided for use, during normal
operation as a well as in the case of extreme flood, by qualified dam operators who are not necessarily familiar with the particular facility or project.
Details of normal operating conditions should be provided to indicate
such items as: inflows and discharges, normal levels, storage volumes,
spillway and tailwater rating curves, spillwater operating parameters, power supplies and environmental restrictions. Potential emergency conditions should be identified and listed with related recommended operating
parameters and restraints.
The instructions should detail the flow capacities of the structures and related water elevations, list the hazard areas and flows at which they are affected, and provide details about warning systems as well as primary and backup
power systems.
B.2.2. Emergency OperatingProcedures
Procedures for reservoir control and discharge in the case of a developing
breach or potential breach, and for any emergency drawdown of the reservoir, shall be established.
General procedures and considerations should be outlined, such as any special instructions for spillway operation, and instructions on reservoir drawdown to alleviate the effect of emergencies. These should include any limitations on reservoir surcharge or drawdown, implications of rising flows
downstream, list of erosion-prone areas of river banks, and reservoir slopes
which should be monitored. Operations during an emergency would follow
procedures of the Emergency Preparedness Plan, as described in Section C.
Operation to evacuate the reservoir in the event of damage to the dam, including precautions to avoid damage to facilities and any restrictions on the
rate of drawdown should be provided.
B.2.3. Ice and Debris Handling
Where reservoirs can contain significant quantities of ice or debris, procedures shall be established for safely handling ice and/or debris.
The details, functions and required operating activities of log, trash and ice
booms, including trash removal and any ice-growth restrictions on structures
Appendix VI
or gates, should be described in the O&M Manual. The operation of any required bubble systems for ice prevention and/or steam lances should be
described.
B.2.4. Flood Forecasting
If available, the source of flood forecasting information shall be identified.
Authorized sources of flood forecasting should be designated, with a list of
other available sources of flood forecast. The Inflow Design Flood, the basis
of its estimation and the capacity of the facilities should be described.
B.3. Maintenance
Maintenance policies, procedures, records and responsibilities shall be developed and implemented to ensure that the dam, together with applicable
structures and equipment required for flood discharge, is maintained in a
safe and fully operable condition.
Equipment shall be inspected and tested at regular intervals to ensure safe
and reliable operation.
A description of maintenance policies, procedures, records and responsibilities for dams, appurtenant structures and associated equipment (including
instrumentation) essential to dam safety should be available.
Maintenance requirements should also be documented for all miscellaneous
structures such as timber cribs and conduits.
All relevant manufacturers' and designers' maintenance manuals should
be available.
Changing conditions in the facility must be evaluated and appropriate actions taken both in regard to design reviews and necessary construction
changes and/or repairs.
Instrumentation required to verify the continuing safe operation of the dam,
together with any data acquisition and transmission systems, must be maintained in good working condition.
Considerations for maintenance of different types of structures and equipment are briefly outlined below.
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Regulatory Frameworks for Dam Safety
Concrete Structures
Uplift pressure and water seepage are the main potential causes of instability,
under normal loadings, of part or all of the structures, as well as the primary
cause of degradation due to leaching of frost action. In addition, the effects
of freeze/thaw at the water line and alkali aggregate reaction (AAR) can have
serious impacts on the safety of the structures.
Annual or long-term maintenance programs for concrete structures should include, but not be limited to, regular cleaning of drains and drainage systems,
maintenance of sealing systems, pumping equipment, monitoring equipment
and instrumentation required to assure the safety of the structures.
Steel Structures
Maintenance requirements for the structural steel components of items such
as gates, stoplogs, guides, hoist structures, monorails, and conduits, may apply to the following: alignment, anchor bolts, bolted, riveted and welded
connections, protective coatings, support details, support grouts.
Earthfill Dams
Earthfill structures require maintenance work directed essentially to controlling seepage and erosion, in order to prevent deterioration of structures and
development of seepage paths.
Annual or long-term maintenance programs for earthfill structures may include regular maintenance of instrumentation, rip-rap and crest maintenance and repair, control of vegetation and burrowing animals, slope stabilization, drainage system maintenance, and removal of upstream debris, to
assure the safety of the structure.
Equipment
Maintenance requirements may apply to all mechanical and electrical com-
ponents which are essential to dam safety, including: spillway and conduit
gates, hoists, gate and guide heating systems, stoplog hoisting facilities,
bubbler systems, relevant instrumentation, normal and emergency lighting
and pumps.
A preventative maintenance program should be devised based upon dam
consequence classification, industry standard, manufacturer's recommendations and operating history for particular pieces of equipment.
Appendix VI 143
Reference should be made (with supplementary information where necessary) to manufacturers' and designers' operating and maintenance manuals
for required maintenance, spare parts, and appropriate regular tests to confirm ongoing functionality.
Communicators and Control
Operating staff should have a description, including a complete overview
with system schematic diagram of all the communication and control equipment. Equipment should be operated continuously and monitored to ensure
integrity. The documentation should include all current test and maintenance practices.
B.4. Surveillance
B.4.1. Standards
Standards shall be established to cover inspections, monitoring of waterretaining structures, and testing of discharge facilities.
Standards or guidelines should be provided to establish the types of inspections to be carried out, the purpose of each type of inspection, frequency
of inspections, type of items to be inspected, required documentation,
qualification and training of inspectors and procedures for the correction
of deficiencies.
B.4.2. Regular Inspections
Requirements: Periodic inspections shall be performed to determine the
condition of integral portions of water-retaining structures.
Appropriate investigations shall be undertaken of all potential deficiencies
disclosed by regular inspection.
Instructions and procedures for the dam should provide the following information:
* Checklists for routine, intermediate and comprehensive inspections
for all structures and equipment
* Frequency, responsibility and requirements for recording and reporting
* Description of additional inspections which may be required including
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Regulatory Frameworks for Dam Safety
underwater inspections and inspections required during initial reservoir impounding
Requirement and frequency of alignment and deformation surveys
The program of inspections, including the frequency of inspections, should
be devised based upon the dam classification, industry standards, manufacturers' recommendations, operating history and condition of particular structures and equipment.
As a general guideline, "routine" inspections should be performed by project
staff as a regular part of their maintenance activities. Such inspections should
be carried out weekly or monthly as appropriate for the item being inspected. Reduced frequencies may be selected to suit seasonal restraints. "Intermediate" inspections are intended as more formal inspections, generally annual
or semi-annual, performed by the appropriate representative of the owner responsible for safety surveillance. Comprehensive inspections (Dam Safety Review) should be performed by an independent expert or panel of experts at
regular time intervals.' The review should include the O&M Plan and the EPP
to determine any modifications thereof.
Procedures, including definition of responsibility, should be in place for evaluating data (obtained from visual inspections, instrumentation and design
reviews of current operating conditions such as spillway capacity, freeboard,
drawdown, maximum water levels) to confirm structural and operational
safety and to identify areas requiring deficiency investigations. These procedures should include an "action code" to ensure that appropriate action will
be taken, depending on the severity of the observed deficiency.
B.4.3. Special Inspections
Special inspections shall be performed following potentially damaging events.
Instructions and procedures for the dam should describe special inspections
and other surveillance and procedures required after floods, windstorms,
earthquakes and unusual observations such as cracks, settlements, sinkholes
and slopes failures. The responsibility to undertake these special inspections
1. Review period depends on the consequence classification of the dam:
Low
High
Very High
Consequence category:
10 (years)
7
5
Period between reviews:
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Regulatory Frameworks for Dam Safety
All test procedures should be specified in the O&M Manual and incorporated
with the inspection checklists. Instructions and procedures should provide
descriptions of operational and integrity tests for all mechanical and electrical components of water flow control equipment to ensure fully operational
condition.
EMERGENCY PREPAREDNESS PLAN (EPP)
C.1. General
Potential emergencies at a dam shall be identified and evaluated, with consideration of the consequences of failure, so that appropriate preventative or
remedial actions can be taken.
An Emergency Preparedness Plan (EPP) shall be prepared, tested, issued and
maintained for any dam whose failure could be expected to result in loss of
life as well as for any dam for which advanced warning would reduce upstream or downstream damage.
A notification process shall be initiated as specified in the EPP, immediately
upon finding a hazardous condition that could lead to a dam breach, or
upon discovering a potential dam breach or dam breach in progress.
The dam owner2 or operator shall assess whether dam breach warnings
should be issued directly to inhabitants in areas immediately downstream of
a dam, due to the short period of time before the anticipated arrival of a
flood wave.
Where preventative actions are available, these actions shall be initiated, as
appropriate, to prevent failure or to limit damages where failure is inevitable.
An EPP is a formal written plan that identifies the procedures and processes
that the dam operators would follow in the event of an emergency at a dam.
The emergency could be, for example, failure of essential equipment such as
flood gates, slope failure having the potential to cause dam failure, or a complete failure of the dam caused by overtopping, earthquake or piping.
2. As defined in this document, the term "owner" refers to the person or entity responsible for the safety of the dam.
Appendix VI 145
should be assigned to all site staff and the engineer responsible for dam safety.
This wide empowerment is intended to ensure timely inspection after all potentially damaging events.
Requirements for documentation and reporting should be specified with inspection checklists and procedures for review by the engineer responsible for
dam safety, following the occurrence of the above events.
B.4.4. Instrumentation
Instrumentation shall be monitored, evaluated and maintained to assist in
the safe operation of the dam.
Included with all descriptions of instruments should be their initial data, design limits, dates of and requirements for calibration, normal operating
ranges, and "alarm" levels at which point detailed review of the readings is
required. The responsibility should be assigned for routine instrument readings, changes to data, calibration and interpretation of the results.
The mode and methodology of readings should be described, i.e., automated
or manual. If automated, the system should be described including modem
telephone numbers. If manual, there should be documentation of methodology, maintenance, calibration and storage of instrumentation reading
equipment.
Exact locations and details of the instrument installations should be provided, complete with plan views and cross-sectional drawings.
The documentation of instrumentation could be covered in a separate instrumentation report, with reference to it in the O&M Manual.
B.4.S. Tests
All operating equipment and facilities necessary to pass extreme floods shall
be inspected and tested annually to ensure that they will function as required
during an extreme flood.
Intake flow control equipment should undergo a balance pressure test annually before the flood season. Spillway gates should have annual operation
tests to ensure correct operation. The frequency and level of inspection and
testing should be compatible with the consequence category of the dam.
Appendix VI
An EPP allows for planning by municipalities, local police, provincial agencies, telephone and transportation companies and other parties affected in
the event of a dam break flood, and the coordination of efforts between
provincial and municipal levels of government. In the event of an emergency, an effective, comprehensive, well-tested EPP will save lives and has
the potential to reduce property damage.
C.2. Development of an EPP
An EPP shall describe the actions to be taken by the dam owner and operator in an emergency. The EPP shall assign responsibility for each action to be
taken to an individual and/or a backup.
Input from other agencies and affected parties shall be included in the EPP,
as appropriate.
Copies of the EPP, or summaries of relevant information, shall be provided
to those who have responsibilities under the plan.
The steps in developing an EPP are as follows:
1. Identify those situations or events that would require initiation of an
emergency action; specify the actions to be taken and by whom.
2. Identify all jurisdictions, agencies, and individuals who will be involved in implementing the EPP.
3. Identify primary and auxiliary communications systems, both intemal
(between persons at the dam) and external (between dam personnel
and outside agencies).
4. Identify all persons and agencies involved in the notification process,
and draft a notification flowchart which shows whom should be notified, in what order and what other actions are expected of downstream
agencies. Each provincial and local government agency involved may
have its own general emergency plan. This would normally require
amending to include actions required as a result of dam break flooding.
5. Develop a draft of the EPP.
6. Hold coordination meetings with all parties included in the notification list for review and comment on the draft EPP.
7. Make any revisions, obtain any necessary regulatory approval, finalize
and distribute the EPP.
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Regulatory Frameworks for Dam Safety
C.3. Contents of an EPP
The EPP shall include the following procedures and information:
*
*
*
*
*
*
*
*
*
*
*
*
*
Emergency identification and evaluation
Preventative actions (where available)
Notification procedure
Notification flowchart
Communication systems
Access to site
Response during periods of darkness
Response during periods of adverse weather
Sources of equipment
Stockpiling supplies and materials
Emergency power sources
Inundation maps
Warning systems (if used)
Emergency Identification and Evaluation
If detected early enough, potential emergencies can be evaluated and preventative or remedial actions taken. The EPP should contain clear procedures for
taking action when a potential emergency is identified. Notification of emergency situations requires that a responsible contact person initiate the remedial action and decide if and when an emergency should be declared and the
EPP executed. Clear guidance should be provided in the EPP on the conditions which require that an emergency be declared.
The Emergency Preparedness Plan should include a discussion of procedures
for timely and reliable identification, evaluation, and classification of existing or potential emergency conditions. Major elements of these procedures
are:
* Listing of the conditions or events which could lead to or indicate an
existing or potential emergency. Situations involving flood emergencies due to a breach or other structural failure as well as a major flood
without a breach should be included. Breach conditions could occur
Appendix VI
as a result of such occurrences as piping, floods, earthquake, sabotage
or landslide-induced waves.
* Brief description of the means by which potential emergencies will be
identified, including the data and information collection system, monitoring arrangements, surveillance, inspection procedures and other
provisions for early detection of conditions indicating an existing or
potential emergency.
* Procedures, aids, instructions and provisions for interpreting information and data to assess the severity and magnitude of any existing or
potential emergency.
* Designation of the person responsible for identifying and evaluating
the emergency. This would normally be the owner or his representative: however, if the owner does not have the proper technical expertise, responsibility may need to be assigned to another individual. Appropriate alternatives should be designated to ensure that continuous
coverage is provided.
Preventative Action
Where there are provisions for preventative actions available they should be
clearly detailed in the EPP. These could include listings of the availability of
machines, equipment, material and labour that are ready available to the
dam operator in an emergency situation.
Notification Procedures
Notification Procedures must be clear and easy to follow. The EPP should
contain a list of all persons to be notified in the event that an emergency
is declared.
Notification Flowchart
A notification flowchart is a diagram showing the hierarchy of notification
during an emergency. It is a pictorial representation of the notification procedure. The EPP should contain a notification flowchart clearly summarizing
the notification procedure for each of the emergency conditions considered.
CommunicationsSystems
Full details of internal and external communications systems as they apply
to the EPP should be included.
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Regulatory Frameworks for Dam Safety
Access to the Site
The description of access should focus on primary and secondary routes and
means for reaching the site under various conditions (e.g., foot, boat, helicopter, snowmobile).
Response during Periods of Darkness
The EPP should cover the response to potential or actual emergency conditions during periods of darkness including those caused by power failure.
Response during Periods of Adverse Weather
The EPP should address emergency response under adverse weather conditions including extremes of cold, snow or storms.
Sources of Equipment
The location and availability of equipment and contractors that could be
mobilized in case of an emergency should be included.
Stockpiling Supplies and Materials
The location and availability of stockpiled materials and equipment for emergency use should be addressed.
Emergency Power Sources
Details on the location and operation of emergency power sources should be
included.
InundationMaps
Inundation maps are needed by local authorities to develop an adequate
evacuation plan.
Warning Systems
Warning systems are sometimes used to provide wamings to residents, campgrounds and parks that are close to the dam. Full details should be contained
within the EPP.
Appendices
Additional items may be covered in appendices to the EPP. General site plans
may be useful. Drawings showing the potential breach location used in the
inundation study may be included. Tables showing the variation in flood
stage with time at key locations in the flooded area should also be included.
Appendix VI
C.4. Maintenance and Testing of an EPP
The EPP shall be issued to those affected, and all registered copies of the EPP
shall be updated.
The EPP shall be tested.
As updates or amendments to the EPP are produced they are forwarded to
each holder (as listed in the EPP) and acknowledged by the recipient. Telephone numbers and names of contact persons should be updated on a regular basis, at least annually. It is helpful to place the EPP in a loose-leaf binder
so that outdated pages can be easily removed and replaced with updated information, to ensure a complete, current and workable plan. A list of planholders should appear in the EPP.
Testing is an integral part of EPP to ensure that both the document and the
training of involved parties are adequate. Tests can range from a limited
table-top exercise to a full-scale simulation of an emergency and can include
multiple failures.
C.S. Training
Training shall be provided to ensure that dam personnel involved in the EPP
are thoroughly familiar with all elements of the EPP, the availability of equipment, and their responsibilities and duties.
Technically qualified personnel should be trained in problem detection and
evaluation and appropriate remedial (emergency and non-emergency) measures. This training is essential for proper evaluation of developing situations
at all levels of responsibility which, initially, is usually based on observations
on-site. A sufficient number of people should be trained to ensure adequate
coverage at all times.
C.6. Inundation Studies
Requirement: An inundation study shall be carried out based on assumptions
that will indicate all areas that could be flooded for the most severe combination of reasonably possible conditions.
Various dam failure scenarios are normally studied: these cover rapid failure times, large breach sizes and conservative antecedent conditions. The
151
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Regulatory Frameworks for Dam Safety
potentially inundated area should be determined and the following conditions considered:
* Design flood failure
* Fair-weather dam failure
* At full supply level (piping, earthquake)
* During winter conditions where ice jam formation is possible
* Failure induced by failure of an upstream structure
Inundation maps showing the maximum flooded areas should be prepared.
Inundation maps should also be prepared for the reservoir rim and for areas
affected by the backwater effect upstream of the reservoir. Two cases should
be analyzed:
* Extreme flood exceeding the discharge capacity
* Reduction of discharge capacity during the passage of a large flood
(for example, blockage by debris, or malfunction or non-operation
of gates).
APPENDIX
VII
Selected Legislation on Dam Safety and Additional
Information Sources
SELECTED LEGISLATION
Argentina
* Decree no. 239/99 (Mar. 17, 1999)
Australia
New South Wales:
* Dams Safety Act (1978)
Victoria:
* Water Act (2000)
Queensland:
* Water Resources Act (1989)
* Water Act (2000)
Canada
Alberta:
* Dam and Canal Safety Regulation (1978, as revised in 1998)
* Dam Safety Guidelines (1975)
* Dams Safety Guidelines of the CDA (1995)
British Columbia:
* Dam Safety Regulations B.C. Reg 44/00, (deposited Feb. 11, 2000, issued by the Government of British Columbia in Feb. 2000)
Ontario:
* Lakes and Rivers Improvement Act (issued by the Ministry of Natural
Resources in 1977)
Quebec:
* Dam Safety Act (adopted by the Quebec Parliament on May 23, 2000)
153
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Regulatory Frameworks for Dam Safety
Finland
* Dam Safety Act (1.6.1984/413)
* Dam Safety Decree (27.7.1984/574)
* Water Act (19.5.1961/264)
* Dam Safety Code of Practice (1985, last revised in 1997)
France
* Law on the Organization of Civil Security, Protection against Forest
Fires, and Prevention of Major Risks (ul. 22, 1987) [Loi du 22 juillet
1987 relative a l'organisationde la securHt civile, a la protection de la foret
contre l'incendie et a la prevention des risques majeurs]
* Water Law (an. 3, 1992)
* Circular no. 70/15 on the Inspection and Surveillance of Dams Relevant to Public Safety (Aug. 14, 1983) [Inspection et Surveillance des barrages interessantla Securite publique]
* Circular on the Security of Zones in Proximity to and Downstream
from Dams (Jul. 13, 1999) [Circulairede 13 juillet 1999 relative a la s6curite des zones situees a proximite ainsi qu'a l'aval des barrages et amenagements hydrauliques, face aux risques lies a l'exploitation des ouvrages]
* Decree Creating the Permanent Technical Committee on Dams (un.
13, 1966)
* Intervention Plans for Hydraulic Installations (Decree 399/997, Sept.
15, 1992)
India
* Draft Dam Safety Act (2000)
Latvia
* Hydropower Plant Dam Safety Act (Dec. 2000)
Mexico
* National Water Law
New
*
*
*
Zealand
Resource Management Act (1991) (amended)
Building Act (1991)
Guidelines for Resource Consents for Dams and Associated Activities
(Nov. 2000)
Appendix VII 15
Norway
* Water Resources Act (an. 1, 2001)
* Regulations Governing the Classification of Watercourse Structures
(Dec. 11, 2000)
* Regulations Governing the Safety and Supervision of Watercourse
Structures (Dec. 15, 2000)
* Regulations Governing the Qualifications of Those Undertaking the
Planning, Construction, and Operation of Watercourse structures (Dec.
11, 2000)
Portugal
* Decree Law (1990)
* The Portuguese Code of Practice for Observation and Inspection of
Dams
* Standards for Monitoring and Surveillance of Dams
Russian Federation
* Federal Law 21.07.97, N117- OC (adopted by the State Duma on June
23, 1997)
South Africa
* Regulations, Govemment Gazette Vol. 253 (No. 10366, July 25, 1986)
* National Water Act (no. 36, 1998)
Spain
* Technical Regulation about Reservoir and Dam Safety (1996) [Reglamento Tecnico Sobre Seguridad de Presas y Embases]
* Order of the Ministry of Public Works Approving Instructions for the
Project, Construction, and Operation of Large Dams (Mar. 31, 1967)
* Basic Directive on Planning for Civil Protection against the Risk of
Flood (1994) [Directriz Bdsico de Planificaci6nde Protecci6n Civil Ante el
Riesgo de Inundaciones]
Switzerland
* Federal Law Regarding Supervision of Hydraulic Structures (une 22,
1877, as amended) [Bundesgesetz ueber die Wasserpolizef]
* Executive Decree (Dec. 7, 1998, went into effect Jan. 1, 1999) [Verordnung ueber die Sicherheit von Stauanlagen, Stauanlagenverordnung]
156
Regulatory Frameworks forDam Safety
United Kingdom
* Reservoirs Act (1975, entered into force on Dec. 1, 1991)
United States
* National Dam Safety Program Act, (passed in 1972, revised in 1984,
and incorporated as Section 215 of the Water Resources Development
Act of 1996, PL104-303, October 12, 1996 [NDSPA])
* ASDO Summary of State Laws and Regulations on Dam Safety (2000)
1. Arizona-Arizona Revised Statutes, title 45: Waters, chap. 6: Dams
and Reservoirs, art. I: Supervision of Dams, Reservoirs and Projects
(ARS 45:1201-1223); Arizona Rules and Regulations Pertaining to
the Supervision of Dams, chapter 15 (R12-15-151 and 152-15-1201
through 1226)-adopted 1978 and substantially revised in 2000
2. California-California Water Code, division 3, secs. 6000-6501 (last
amended 1995); California Administrative Code, title 23, ch. 2, arts.
1-301 to 5-333 (adopted 1996)
3. Idaho-Idaho Safety of Dams Rules and Regulations (amended July
1998), implementing provisions of Safety of Dams Statutes, title 42
ch. 17 Idaho Code (as amended)
4. Iowa-ch. 455B, division III (Water Quality), pt. (Water Allocation
and Use), first enacted 1949 and last amended 1986; chs. 70-75
Iowa Administrative Code, title V,Flood Plain Development (1975),
amended 1994
5. Kentucky-Kentucky Revised Statutes, ch. 151, Geology and Water
Resources (1996), amended 1990; Kentucky Administrative Code,
ch. 4, title 401, Water Resources
6. Maine-Maine Revised Statutes, title 37-B, Defense, Veterans and
Emergency Management, secs. 1051-1070, ch. 21, Dams and Reservoirs and ch. 22, Dam Inspection (1983 and revised 1989 to include
safety components separated from title 38 art. 3-A, Dam Registration and Abandonment, secs. 815-843); title 37-B revised in 1997
with inclusion of Section 1065(5), Correction of Unsafe Conditions
and 1080, Establishment of Commission); in 1999 Section 1065 updated and added 1071, Notice of Transfer of Ownership; Regulations, ch. 3, Design and Construction Standards for New or Reconstructed Dams (1990)-laws currently under revision;
Appendix VII 157
Maine Dam Registration, Abandonment, and Water Level Act of
1983, title 38, General Provisions Relating to Rivers and Streams,
ch. 5, subchapter 1, Mills and Dams, secs. 611-933 (enacted in 1983
to include safety components, amended in 1987 and changed to
separate safety components in 1989)
7. Michigan-Natural Resources and Environmental Protection Act, pt.
315, Dam Safety (1994 PA 451 as amended); draft rules promulgated
8. Missouri-Revised Statutes of Missouri (RSMo.), secs. 236.400236.500 (enacted 1989, last amended 1993); Code of State Regulations, 10CSR 22-1.010 to 10 CSR 22-4.020
9. Montana-Dam Safety Act, ch. 15 (85-15-101 through 504), last
amended 1993; Department of Natural Resources and Conservation,
Title 36, ch. 25: Safety of Dams (1988)
10. New Hampshire-RSA Chapter 482 (1937), last amended 1998; New
Hampshire Code of Administrative Rules, ch. ENV-WR 100-800 (NH
Water Division, Dept. of Environmental Services), effective 1980
and 1981, last amended 1997
11. Ohio-Ohio Revised Code (ORC), title XV (enacted 1963, last amended 1990); administrative rules enacted by Division of Water of Department of Natural Resources (enacted 1972, revised 1981 and 1999)
12. Pennsylvania-Dam Safety Encroachments Act (DSE Act), enacted
1979, last amended 1985; title 25: Rules and Regulations, pt. I: Department of Environmental Resources, subpart C, Protection of Natural Resources, article Il: Water Resources, ch. 105: Dam Safety and
Waterway Management (the Rules), adopted 1980; rules supplemented by subsequent policy statements incorporated into ch. 105;
complete revision adopted in 1991, further revisions planned in
2000 or 2001
13. Puerto Rico-Puerto Rico Law Number 133 of July 15, 1986; Administrative Regulations of the Dam Safety Program may be obtained
through the Dam Safety Unit of the Puerto Rico Electric Power Authority (PREPA)
14. Utah-Utah Code, secs. 73-5a-101 through 702 (enacted 1990 and
amended 1993); State of Utah Statutes and Administrative Rules for
Dam Safety (1996) contains both statutes and administrative rules
-
158 Regulatory Frameworks for Dam Safety
15. Washington-Revised Code of Washington, chs. 90.03, 43.21A and
86.16 (1994); Washington Administrative Code, chs. 173-175 (1992);
Dam Safety Guidelines (Department of Ecology)
16. West Virginia-West Virginia Dam Control & Safety Act (1973), Code
of West Virginia, chs. 22-14, last amended 1992; Dam Control Regulations, title 47, Series 34 under Division of Environmental Protection (DEP) regulations (1982)
17. Wisconsin-Regulation of Dams and Bridges Affecting Navigable Waters (1971), last amended 1984, Wisconsin Statutes, ch. 31; Dam Design and Construction Standards, Wisconsin Administrative Code,
ch. NR 333 (adopted 1985, last amended 1987)
Additional Information Sources
Not Appearing in Appendices or Footnotes
ANCOLD Guidelines on Dam Safety Management (1994)
Dam Safety Guidelines (Canadian Dam Association, January 1999)
Pisaniello, John D., and Jennifer M. McKay, Models of "Appropriate"Practicein
Private Dam Safety Assurance 1 Water Policy 525-530 (1998)
159
Jeannette Marie Smith
00803
ISN
MC C3-301
WASHINGTON Dt
Regulatory Frameworks for Dam Safety was conceived and prepared
in rosponse to growing concern over the safety of dams. Given the
large number of darns around the world, the safe operation of dams
has significant social, economic, and environmerntal relevance. A dam
failure can result in extremely adverse impacts, including a large-scale
loss of human lifo. For countries with largo stocks of dams, the issue
of dam safety is critical. Regulatory Fr'ajmeworks for Dam Safety
examines thC? dam safety regulatory frameworks of 22 rountries.
it draws comparisons and hiighlights similarities among the various
systems. Most important, it identifies essential eIlements, desirable
features, and emerging trends for dam salety regulatory frameworks.
lhe authors are loading experts in their fields. Daniel Bradlow is
professor and director of the Interinational I egal Studies Program
at the Washinqton Collegce of law at American University and was a
consultant to the World Commission on Dams. Alessandro Palmieri is
L.ead L)am Specialist in the Quality Assurance and Compliancc Unit
of teh? Frnvironmrentally and Socially Sustainable Development Vice
Presidency at ihc World Bank. Salman Salman is Load Counsel in the
E:nvironmentally and Soially Sustainable Development and
International l aw Giroup of the World 13ank's Legal Vice Presidency
and hlas published extensively irn the orea of water law.
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