Laying the Foundations : A Global Analysis of Regulatory Frameworks for the Safety of Dams and Downstream Communities / Marcus J Wishart.

Format:

Book

Government document

Author/Creator:

Wishart, Marcus J.

Contributor:

Boj Garcia, Esteban.

Lyon, Kimberly N.

Pisaniello, John D.

Tingey-Holyoak, Joanne L.

Ueda, Satoru.

Series:

World Bank e-Library.

Sustainable Infrastructure

Language:

English

Subjects (All):

Dam safety.

Physical Description:

1 online resource (412 pages)

Edition:

1st ed.

Place of Publication:

Washington, D.C. : The World Bank, 2020.

System Details:

data file

Summary:

Dam safety is central to public protection and economic security. However, the world has an aging portfolio of large dams, with growing downstream populations and rapid urbanization placing dual pressures on these important infrastructures to provide increased services and to do it more safely. To meet the challenge, countries need legal and institutional frameworks that are fit for purpose and can ensure the safety of dams. Such frameworks enable dams to provide water supplies to meet domestic and industrial demands, support power generation, improve food security, and bolster resilience to floods and droughts, helping to build safer communities. Laying the Foundations: A Global Analysis of Regulatory Frameworks for the Safety of Dams and Downstream Communities is a systematic review of dam regimes from a diverse set of 51 countries with varying economic, political, and cultural circumstances. These case studies inform a continuum of legal, institutional, technical, and financial options for sustainable dam safety assurance. The findings from the comparative analysis will inform decisionmakers about the merits of different options for dam safety and help them systematically develop the most effective approaches for the country context. By identifying the essential elements of good practices guided by portfolio characteristics, this tool can help identify gaps in existing legal, institutional, technical, and financial frameworks to enhance the regulatory regime for ensuring the safety of dams and downstream communities.

Contents:

Front Cover

Contents

Foreword

Acknowledgments

About the Authors

Abbreviations

Executive Summary

Context

Objective

Country Case Studies

Analytical Approach

Toward a Decision Framework

Legal Frameworks for Dam Safety

Institutional Frameworks for Dam Safety

Contents of the Regulatory Regime

Risk-Informed Decision-Making

Emergency Preparedness and Public Safety

Funding Dam Safety

Transboundary Dam Safety

A Decision Support Tool

1 Dams and Development: An Introduction

Development Context

Dams and Reservoirs: A Global Picture

World Bank Engagement With Dams

Defining Dam Safety Assurance

Notes

References

2 Objectives and Analytical Approach

Objectives

Country Selection

Analytical Framework

A Continuum of Options for Dam Safety Assurance

3 Legal Foundations for Dam Safety Assurance

Context and Rationale

Type of Legal System

Government Law Making and Administration

Types of Legislation for Dam Safety Assurance

Dam Safety Regulation under Enabling and Dedicated Legislation

Defining Legal Liability for Dam Safety Assurance

Insuring against Liability

Key Messages and Conclusions

4 Institutional and Governance Arrangements for Dam Safety Assurance

Roles and Responsibilities for Dam Safety Assurance

Oversight of Dam Safety Assurance

Role of THE Dam Safety Assurance Authority

Specific Roles and Powers of the Dam Safety Assurance Authority

Vertical Institutional Systems across Jurisdictions

Horizontal Institutional Systems across Sectors

5 Contents of the Regulatory Regime

Capture of Regulated Dams

Classification of Dams for Proportioning Regulatory Mandates.

Dam Classification and Design Standards

Requirements for Surveillance, Inspection, and Review

Requirements for Operation and Maintenance

Record-Keeping Requirements

Education and Training

Legal Status of Guidelines and Standards

Enforcement and Dispute-Resolution Mechanisms

6 Risk-Informed Decision-Making

Standards-Based Approach

Risk-Informed Approaches

Typical Steps in a Risk-Informed Approach

Typology of Risk Analysis and Assessment Techniques

Qualitative and Semiquantitative Risk Assessment

Quantitative Risk Assessments

Risk Tolerability Criteria

The Status of Risk-Informed Approaches

Portfolio Risk Assessment and Portfolio Risk Management

7 Emergency Preparedness and Public Safety

Emergency Preparedness Plan

Public Safety

Security

8 Funding Mechanisms for Dam Safety Assurance

Financial Framework for Dam Safety

Funding Dam Safety Management

Funding Dam Safety Regulation

Note

9 Transboundary Implications for Dam Safety Assurance

Criteria for determining transboundary dam safety

Legal frameworks for transboundary dam safety

Institutional Arrangements for Transboundary Dam Safety

Key messages and conclusions

10 A Regulatory Framework for Dam Safety Assurance

A Continuum: Defining the Regulatory Mix for Dam Safety Assurance

Characteristics Informing a Continuum

Legal Options along a Continuum

Institutional Options along a Continuum

Technical Considerations along a Continuum.

Financial Considerations along a Continuum

Enforcing Compliance with the Policy Mix

Appendix A: Case Study Countries and Characteristics

Appendix B: Heads of Analysis

Appendix C: Comparative Jurisdiction Review of Risk-Informed Approaches

Appendix D: Comparative Matrix of Portfolio Risk Management Approaches

Appendix E: A Decision Support Tool to Inform and Assess Regulatory Frameworks for Dam Safety Assurance

Glossary

Boxes

Box 1.1 World Bank operational policies on the safety of dams

Box 1.2 Dam failures often inform legislative responses

Box 3.1 The two main types of legal system

Box 3.2 Achieving uniform, efficient, and effective state-level dam safety assurance in the United States

Box 3.3 Burnie Port Authority v General Jones (Australia High Court, 1994): Negligence versus strict liability

Box 3.4 Implications of case law on reasonable practicability in common law countries

Box 5.1 Using remote sensing and artificial intelligence in Zambia to improve dam inventories

Box 5.2 Dam classification in Brazil

Box 5.3 Dam classification in Quebec Province, Canada

Box 5.4 Incorporating considerations of climate uncertainty

Box 5.5 Advanced reservoir operations coupled with intensive hydro-met monitoring and forecasting system in Japan

Box 6.1 The United Kingdom's approach to risk-informed dam safety assurance

Box 6.2 Life-safety evaluation

Box 6.3 Risk-informed approach to dam safety in France

Box 6.4 Enhancing resilience of vulnerable communities beyond life safety

Box 6.5 Portfolio risk management in Victoria, Australia

Box 6.6 Institutional benchmarking of dam safety in Indonesia

Box 7.1 Key factors in reducing potential loss of life and the criticalness of timely and effective warning.

Box 7.2 A tale of two dams: Emergency action and preparedness planning in indonesia

Box 7.3 Ensuring continuous improvement in emergency preparedness planning: The case of the Kariba Dam

Box 7.4 Advanced dam-break flood simulation models

Box 7.5 Cyberattacks: The Bowman Dam intrusion

Box 8.1 Costs of dam rehabilitation in the United States

Box 8.2 Dam safety in Sweden

Box 8.3 Financing framework for dam safety in Vietnam

Box 8.4 The Japan Water Agency's financing mechanism

Box 9.1 Regional dependencies associated with the Kariba Dam rehabilitation

Box 9.2 Regional dam safety programs in Central Asia

Box 9.3 Transboundary emergency preparedness: France and Italy

Box 9.4 Transboundary dam safety management: Spain and Portugal

Box 9.5 Improving the legal framework and capacity for dam safety in the eastern Nile region

Box 9.6 Zambezi Dam Operators Joint Operations Technical Committee

Figures

Figure 1.1 Number of dams worldwide, by primary purpose

Figure 1.2 The development of dams over time

Figure 1.3 World Bank-financed projects involving dams, FY02-FY19

Figure 1.4 Number of World Bank-financed projects and associated dams approved in FY02-FY19

Figure 1.5 Small and large dams supported under World Bank-financed projects approved in FY02-FY19, by primary purpose

Figure 2.1 Concept process flow for the global comparative assessment

Figure 2.2 Elements of a dam safety assurance system

Figure 2.3 Portfolio determinants that should shape the dam safety system

Figure 3.1 Distribution of the type of legal systems among the 51 case study countries

Figure 3.2 Law making and administration of dam safety assurance among the 51 case study countries

Figure 3.3 Legal basis for dam safety responsibility among the case study countries and jurisdictions.

Figure 3.4 Legal basis for sectoral dam safety responsibility among the case study countries and jurisdictions

Figure 3.5 Extent of definition of liability for dam failure among the case studies

Figure 3.6 Types of liability among the case study countries and jurisdictions

Figure 4.1 Institutional involvement in dam safety assurance

Figure 4.2 The continuum from minimum to maximum dam safety assurance

Figure 4.3 Independence of dam safety assurance authorities among the case study countries and jurisdictions

Figure 4.4 Overarching roles of the dam safety assurance authority

Figure 4.5 Specific roles and powers of dam safety assurance regulators among the case study countries and jurisdictions

Figure 4.6 National involvement in dam safety assurance among the case study countries and jurisdictions

Figure 4.7 Institutional arrangements of the regulatory systems among the case study countries and jurisdictions

Figure 5.1 Portugal's consolidated dam classification system

Figure 6.1 Integrated (risk-informed) decision-making

Figure 6.2 Reservoir safety management in the United Kingdom

Figure 6.3 Relationship among risk analysis, risk assessment, and risk management

Figure B6.1.1 Selecting the initial tier of risk assessment

Figure 6.4 Bow-tie risk management model, illustrating the components of a bow-tie diagram

Figure B6.2.1 EWACSLS in a Venn diagram that shows the relationship between risk-reduction indicators and efficiency and equity principles

Figure 6.5 Generalized and project-specific tolerability of risk framework

Figure B6.3.1 Criticality matrix

Figure B6.6.1 Illustrative examples of self-evaluated maturity matrices for dam safety in Indonesia

Figure B7.1.1 Fatality rate: Flood severity with little or no warning

Figure B7.1.2 Fatality rate: Flood severity with adequate warning.

Figure 8.1 General financing model for the water sector.

Notes:

Description based on print version record.

ISBN:

1-4648-1243-8

Publisher Number:

10.1596/978-1-4648-1242-2