Table of Contents

	Objectives
	Scope

B. Identification and Selection of Focal Dams/Basins for the Case Studies

	Identification Procedure
	Selection of Case Studies

C. Approach and Methodology

	General Approach and Process
	Methodology
	Stakeholder Participation and Input

D. Operational Aspects: Mode of Implementing the Case Studies

	Activities and Steps in Each Case Studies
	Formation and Composition of the Study Team
	Terms of Reference and Contracting
	Engagement of In-Country Study Teams
	Timing and Schedule

E. Integration with Other Work Programme Activities and Outputs

	Other Work Programme Activities
	WCD Outputs

A. Objectives and Scope

1. Annex 1 provides additional information on the objectives, scope and methods for the focal dam/basin case studies, the selection of focal dams/basins, and the implementation schedule.

Objectives

2. As noted in the main work programme report, the WCD will draw upon four sources of information and experience to generate the WCD knowledge base from which the three complementary WCD outputs, including the global review of dams, will be developed. The four sources feeding the WCD knowledge base are the case studies, 150+ large dams cross-check review, thematic reviews and inputs from interested groups and individuals received through the various Commission outreach mechanisms.

3. The objective of the focal dam/basin case studies is to assemble information and provide a vehicle for the case study team, together with in-country stakeholders, to review, assess and illustrate views on the performance and development effectiveness of the dam, relevant to their country situation and basin context. Among other aspects of the experience with the focal dams, the case studies will seek to assess and illustrate key decision-making processes for the dam at each stage in the planning and project cycle, including how the key decision trade-offs were handled.

4. Given that there are estimated to be over 45,000 large dams world wide, the several case studies undertaken and facilitated by the WCD are by no means intended to be statistically representative of the experience with all dams. For the region and basins where they are conducted, each of the WCD focal dam/basin case studies, with the engagement of in-country stakeholders, will aim to:

	collect and verify quantitative and qualitative data to support the independent review of development effectiveness of the dams and decision-making processes;
	be illustrative in nature;
	capture convergent and divergent views;
	summarize lessons learned.

5. In-country teams hired and supervised by the Secretariat will undertake the case studies. The framework for each case study will follow the model developed by the Secretariat for the Orange River pilot in South Africa. Standard procedures and tools will be supplied to the various study teams by the Secretariat, including an example report. A stakeholder analysis, scoping report and consultative meeting with stakeholders will launch the study. Within each case study process, parallel steps of data collection and verification, structured interviews, enquiries, and invitation of submissions from interested parties will form a knowledge base unique to each study. The study team will provide an initial review of the information assembled, and identify the convergent and divergent views that have emerged. These results will be provided in a draft report. This draft report will be shared openly with the stakeholders in a formal review and discussion process, before the final case study report capturing the experience, the lessons learned, and the convergent and divergent views is produced.

6. The several case studies facilitated by the WCD will thus represent an important multi-stakeholder contribution to the broader WCD knowledge base, and will serve to inform the Commission Members in their deliberations on the global review of the development effectiveness of dams.

Scope

7. For each case study, the focal dam will be studied intensively in the context of its river basin, while other large dams within the basin will also be examined to illustrate any interactive and cumulative effects with the focal dam. The information collection phase for each case study will thus aim to provide:

	Country Setting/Basin Profile: a sketch of the broader policy/planning situation, the broader decision-making context and institutional framework, and a profile of the full river basin (or major tributary). This will include factual and descriptive information on basin characteristics, including the main physical, socio-economic, cultural and environmental parameters;
	Focal dam assessment: detailed information on the focal dam needed to prepare parameters and indicators to illustrate and then capture stakeholders views on the performance and development effectiveness and decision-making processes for the focal dam. This will include both quantitative and qualitative information and the varying views;
	Catchment and Interactive Issues: additional summary information on other large dams in the basin to elicit and illustrate the planned and actual extent of interaction between the focal dam and the other large dams, such as to explore if such issues were relevant in planning and decision-making stages, and to address and cumulative impacts where relevant. Information on the non-focal large dams in the basin will be collected during the case study as part of the case study team’s terms of reference so as to include these dams in the cross-check review. The actual 150+ large dam cross-check review will be undertaken as a separate exercise by Secretariat staff, as discussed in Annex 2 of the work programme.

8. The focal dam therefore will be considered in the context of the other developments in the river basin including upstream and downstream effects and riparian issues. This approach will provide a range of insights and detail that cannot be provided simply by considering the dam in isolation from other river development activities, or in isolation from other sectoral planning or basin-level factors that may have been important in the original decision-making and project selection process, or in the design, construction and operation phases of the dam, as well as stakeholders perspective on its development effectiveness.

9. For the case studies the concept of "development effectiveness" is taken in the broadest sense. This includes the relevance and appropriateness of the dam as a response to the needs that motivated its construction (e.g. irrigation, power, flood management, water supply, navigation or mulit-purpose benefits). It further comprises the projected versus actual services and benefits, costs and impacts associated with results obtained, the distribution of gains and losses among groups, and the general conditions under which the dam was built and is operated. This latter aspect relates to decision-making and consultative processes, and to the ex-post validity of the key assumptions upon which the project was originally developed.

10. While the case studies will be prepared with a view to the national and sectoral planning context, a more in-depth national-level study will also be prepared as an enhancement to selected basin case studies. The purpose of this enhancement component for the selected case studies will be to illustrate the evolution of the planning and decision-making process over time, and to illustrate the development effectiveness of large dams in a broader framework of governance and national planning. These enhanced case studies will provide the opportunity to analyse and illustrate the role of non-dam alternatives (options), and alternative decision-making processes and institutional arrangements with regard to the sustainable management of water and energy resources, and the services provides by dams and non-dam alternatives.

Identification Procedure

1. As described in the main work programme text, Secretariat staff prepared an initial list of possible focal dams/basins for case study in August 1998. This list was presented at the Second Commission Meeting in Cape Town, September 1998.

2. In summary the selection criteria applied across the list of potential case studies included:

	Regional diversity ( the intention of covering all continents);
	Transboundary impacts (possibility of increasing the number of countries represented);
	Age diversity;
	Functional diversity (hydro-electric, irrigation, flood-control, multi-purpose, etc.);
	Diversity of issues to illustrate;
	Diversity of lessons to be learned;
	The magnitude of impacts (size of population or region affected);
	The reservoir size (to differentiate between large and major dams);
	Diversity of the catchment area;
	Information availability.

3. Subsequent to the Commission Member’s review of the initial list, informal contact was made with governments and dam authorities on potential cooperation with the case studies.


Selection of Case Studies

4. Based on the Commission’s third WCD meeting held in Colombo Sri Lanka, immediately after the south Asia regional consultation, the focal dams/basins listed in Figure 1-1 were adopted for the global study programme. For schedule and efficiency reasons, it was decided that the case studies would be started in sequence, or in groups. Formal contacts with governments were undertaken in January 1999 to seek agreement to support the initial group of case studies. Co-operation of the government and dam operators was deemed essential to provide access for interviews and data collection work, and to maximise stakeholder involvement in the case study process.

C. Approach and Methodology

1. The individual basin/focal dam case studies will be prepared by inter-disciplinary teams consisting of in-country/regional consultants or institutions supervised by Secretariat staff. The approach proposed for assembling and supervising the in-country/regional study team is discussed in Section D of this Annex.

General Approach and Process

2. After the co-operation of the host government(s) is established, the case studies will be launched based on detailed Terms of Reference (TOR). This TOR currently is being developed by the Secretariat based on the Orange River Pilot case study conducted with local stakeholder input. In this respect, the aim of the pilot case study is to develop, pre-test and refine the approach, methods, data collection instruments and stakeholder consultation procedures for use in the global case studies. Each in-country study team will use the standardised framework, approach, data collection instruments and stakeholder facilitation procedures, adapted where necessary to country conditions. The general framework for the case studies is illustrated in Figure 1-2 as follows.

Figure 1 - 2: Framework for the Case Studies

3. Once engaged, the in-country study team leader will assemble a core in-country study team to prepare a stakeholder analysis. The team will also initiate the basic data collection for the factual description of the country and basin setting, and prepare the scoping report. The scoping report will be the basis for the first consultative meeting where stakeholders will discuss the key issues and study emphasis for their dam and basin context, and consider any necessary modifications to the standard data collection procedures or methods to obtain stakeholder inputs. The stakeholders include: the project affected communities; the major beneficiary groups; government decision-making and regulatory authorities; the dam operator or agency; national and local NGOs; and various key interest groups in the private and public sectors.

4. At the initial consultation meeting the full method, approach and priority issues for the case study will be reviewed. The respective roles and the expectations of the various stakeholder groups will be clarified. Based on this, the full work program will be initiated.

5. Standardized data and enquiry/opinion collection instruments (forms and questionnaires) are being developed by the Secretariat for this purpose. With reference to Figure 1-2 these include:

	country/region setting and basin description fact sheets
	focal dam data collection fact sheets
	stakeholder enquiries forms
	guidelines for other submissions on the focal dam and basin issues

6. Once these data sheets and other related inputs are prepared, the baseline information will be reviewed by the Secretariat and study team leader for completeness. In some case studies, it is proposed that an advisory panel of in-country and regional experts be established to review and comment on intermediate outputs such as the assembled fact sheets. As the case studies will be an open process, all intermediate outputs will also be made available to the stakeholders group attending the consultative meetings, and also to the international community for comment through the WCD web page posting of information.

7. The study team will then consolidate the results of the different data collection forms and other information collection instruments and prepare the discussion draft of the case study report. This report will include the background country and basin context, the preliminary analysis of empirical data on the focal dam’s development effectiveness, the identification of the areas of convergent and divergent views on development effectiveness, and a preliminary formulation of the of lessons learned. This report will be provided to stakeholders for discussion at a second consultative meeting. The result of the second consultative meeting will be captured in the final case study report. In particular it will be important to verify the conclusions, lessons learned and convergent and divergent views on these matters in the second consultative meeting.

Methodology

8. For the purpose of synthesizing the case study results in the global review, it is important to assess and illustrate the performance and development effectiveness of dams, and the surrounding decision-making experience in a manner that is consistent, comprehensive, informative and appropriate to the country situation. This includes consideration of the nature and quantity of empirical evidence to be collected, data verification procedures, procedures for solicitation of stakeholder views on key issues, and how the information is summarized and presented. The approach adopted during the pilot case study to develop a consistent method of was to formulate a set of key questions to illustrate development effectiveness, and then to structure data collection efforts and the procedures for exchange of views around these key perspectives. These key questions will be addressed in each case study. Similarly, the scoping paper for each case study will highlight the key study issues around these questions. As noted in the main work programme report, these questions are:

	What were the projected vs actual benefits, costs and impacts?
	What were the unexpected benefits, costs and impacts?
	What was the distribution of costs and benefits – who gained and who lost?
	How were decisions made?
	Did the project comply with the criteria and guidelines of the day?
	How would this project be viewed in today’s context in terms of lessons learned?

9. The responses to these particular questions will be combined with additional development indicators gathered through the questionnaires, and used to assess and illustrate the "development effectiveness" of the dam and draw out lessons learned. Details anticipated on these central questions are provided in the main text of the work programme.

10. Important inter-linkages within the basin, and interactions between the focal dams and other large dams will also be reviewed and illustrated in the case studies. While each focal dam and basin will have specific circumstances, the potential interactions and cumulative effects will be considered in areas such as:

	Decision-making linkages and relationships, including options assessments;
	Hydrological and water quality linkages (flows);
	Project design and infrastructure considerations (location of structures, access roads and transmission lines);
	Project operation (reservoir operation and water release patterns);
	Ecosystem linkages ( fisheries and sensitive ecosystem impacts);
	Social impact linkages ( relating to distribution of benefits and costs, jobs, etc);
	Legal and institutional linkages (including riparian aspects).

11. The techniques and formats for information collection to illustrate interactions between the focal dam and other large dams in the basin will be refined during the Orange River pilot case study.

Stakeholder Participation and Input

12. The primary mechanisms for stakeholder participation in the case studies will include:

Preparation of a stakeholder analysis

Circulation of the Scoping Report to Stakeholders

First Consultative Meeting: Scoping

	Open Invitation of Submissions with guidelines provided
	Structured interview with Stakeholders during the data collection/interview stage
	Site visits and collective interviews with affected communities
	Facilitation mechanisms for stakeholders with limited access to prepare inputs
	Circulation of information and fact sheets
	Circulation of the draft report

Second Consultative Meeting: Review of Findings and Formulations on Lessons Learned

	Web access with on going up dates for the international community
	Feedback to the Stakeholders on the ongoing use of the case study and the WCD process
	Follow-up outreach where appropriate on the case study (in-country).

13. At minimum, any submission by an interested party on a non-focal dam will be referenced in the case study report. Guidelines will be provided for such submissions.

D. Operational Aspects: Mode of Implementing the Case Studies

Activities and Steps in Each Case Study

1. The general sequence of activities or steps envisaged in February – March 1999 for the inception phase of the basin/focal dams case study will be:

	Implementation of the Orange River Basin pilot study to refine and pre-test data collection procedures and formats, scope and coverage of key issues, and the case study methodologies more generally;
	Based on this experience, development of the individual Terms of Reference (TOR) for each of the global basin/focal dam case studies;

In Parallel

	Desk study and literature survey of each of the selected basins by Secretariat staff;
	Contact and arrangement with the host Government and in-country institutions/consultants on participation and the mode of implementation.

The task breakdown and schedule for each case study will be included in the study terms of reference.

Formation and Composition of the Study Team

2. The study team for each case study will consist of two Secretariat staff members and the in-country/regional team. An additional study member will be the government or dam operator liaison individual. Where appropriate, a review panel will be established to provide input from key senior experts of prominence, however the function of the panel will be limited to review.

3. The Secretariat core team will be two persons in most cases. This core team form the Secretariat will handle all visits to the country representing the Secretariat. For case studies where there is the additional work involving an enhancement of the country-level assessment, additional Secretariat staff may be added to the core team. There will be some flexibility in these arrangements owing to the work schedule for the case studies, and to accommodate responsibilities for other aspects of the WCD the work programme. For each case study the Secretariat support team will consist of all other Secretariat staff who will provide inter-disciplinary specialist support to the case study team.. This support will be needed at key stages, such as to review the draft scoping report and draft study report.

4. The in-country study team will consist of a core team of three to four individuals plus a specialist support team. The core team typically would have a composition similar to the following:

In-Country Team Leader

	Environment/Economics Professional
	Policy/InstitutionalProfessional
	Social Impacts/Assessment Professional

5. The specialist team members will be hired for periods of a week or more for critical tasks identified in the scoping phase. The time and priority for their input will be decided after the scoping phase, though the actual contractual arrangements may proceed in parallel with the scoping meeting preparations. Types of specialist from physical, natural and social sciences disciplines that may be required for specific case studies, although not necessarily all these in one case study, include:

	Meeting Facilitator (consultative meetings)
	Fisheries Specialist
	Hydropower Specialist
	Water Resource Specialist
	Social Specialist – Resettlement Specialist
	Public Health Specialist
	Ecologist

Macro economist

	Irrigation Economist
	Institutional /Policy Specialist

Terms of Reference and Contracting

6. The terms of reference (TOR) will be the basis for the contract between the Secretariat and the lead institution/consultant. The lead institution/consultant will be required to form the core team and engage short-term specialists based on selection criteria provide by the Secretariat and only after approval by the Secretariat. There will be a single contract for the case study with the lead institution/consultant responsible for all sub-contracting, and all logistical arrangements associated with the case study, except those for the Secretariat team members.

Engagement of In-Country Study Teams

7. The Secretariat will prepare an initial assessment of candidates for the lead institution/consultant role. The study teams will be contracted in a manner appropriate to each of the countries, and the approach may vary depending on the circumstances. In cases where there is an obvious recognized institution or independent center of excellence, an approach will be made to the institution to prepare a budget proposal responding to the terms of reference prepared by the Secretariat. In other cases, two or more institutions/consulting groups will be invited to respond to the TOR for that country.

8. While the case study is in progress, the two-person Secretariat team will only make 2 visits to the case study countries of 7 to 10 days duration on each occasion. Selection of a highly competent in-country team is essential and day-to-day co-ordination and supervision of data collection and assembly stages are important operational concerns. In this context, the review panel will also be considered.

Timing and Schedule

	from initial contact with the host Government to delivery of the draft case study report will require 6-7 months;
	typical milestones are as follows: Month Government Agreement 0 Lead Institution/Group Contract in Place 1 Core In-Country Study Team in Place 1 Scoping Report Draft Stakeholders 2 1st Consultative Meeting -Scoping 3 Data Collection/Enquiry Forms Ready 4 Draft Report by In-Country Team 7 2nd Consultative Meeting 8 Final In-Country Report 9

9. Due to logistical and time constraints the case studies will have to be launched in groups. In that manner the full case study program can be completed in Dec 1998/Jan 1999 timeframe. While this schedule and milestones reflect the requirements for typical case study, longer periods of stakeholders notice for review of documents will affect the schedule. At present three weeks notice of key meeting is planned.

1. Parallel activities to the case studies include the 150+ large dam cross-check review the thematic studies, and the processing of inputs from others that together will form the WCD knowledge base from which the three main outputs will be derived. Information, insights and illustrations of experience arising from the case studies will inform the complementary work undertaken by the WCD on the cross-check review and thematic studies. In this respect, the case studies will provide quantitative and qualitative data records for the focal and non-focal dams in each basin to be incorporated in the 150+ large dam cross-check review. Similarly, concrete illustrations of different planning, decision-making and development effectiveness issues under consideration in the thematic reviews will be assembled from the case studies.

2. The WCD knowledge base, of which the case studies will be an important component, will yield the three major WCD outputs detailed in the work programme.
Thus the case studies facilitated by the WCD will represent an important multi-stakeholder contribution to the broader WCD knowledge base, and will serve to inform the Commission Members in their deliberations on the global review of the development effectiveness of dams. Evidence on the development effectiveness of dams globally and regionally, and lessons learned with the convergent and divergent views will be the synthesis points for preparing Output 1. The illustration of experience and lessons learned from the case studies will similarly inform Outputs 2 and 3, which are forward looking. The final report and subsidiary products of the Commissions work will be presented in various forms including CD formats.