|
Table
of Contents
A. Methodological Approach
B. Selected Topics
Social Issues
 |
Social
Impact of Large Dams: Equity and Distributional Issues |
|
Dams,
Indigenous People and Vulnerable Ethnic Minorities |
|
Displacement,
Resettlement, Rehabilitation, Reparation and Development
|
Environmental Issues
|
Dams,
Ecosystem Functions and Environmental Restoration |
|
Dams
and Global Change
|
Economic and Financial Issues
|
Economic,
Financial and Distributional Analysis |
|
International
Trends in Project Financing
|
Options Assessment
|
Assessment
of Electricity Supply and Demand Management Options |
|
Assessment
of Irrigation Options |
|
Assessment
of Water Supply Options |
|
Assessment
of Flood Control and Management Options |
|
Operation,
Monitoring and Decommissioning of Dams
|
Institutional Processes
|
Planning
Approaches |
|
Environmental
and Social Assessment for Large Dams |
|
River
Basins - Institutional Frameworks and Management Options |
|
Regulation,
Compliance and Implementation |
|
Consultation
and Participatory Decision Making |
World Commission on Dams
Cape Town, South Africa
February 1999
A. Methodological Approach
Thematic reviews in the context
of the WCD work
1. As part of the WCD programme,
the thematic reviews will provide baseline information, review and recommendations on
cross-cutting issues associated with large dams. They will present the information on
current international experience concerning key issues of the ongoing debate on dams, and
draw out lessons for Output 1: Global Review of Development Effectiveness of Dams. As part
of their forward-looking function, the thematic reviews will identify principles, policies,
procedures and practical operational tools to incorporate in Output 2: Options
Assessment and Decision Making Framework and Output 3: Criteria and Guidelines, which are
detailed in the main report.
Objectives
2. The objectives of the thematic
reviews are:
|
To
achieve a common understanding on the diversity of perspectives and regional approaches
related to the key issues; |
|
To
synthesize state-of-the-art information on relevant emerging issues; |
|
To
clarify the areas of common ground or contention around highly controversial issues, and
ways to narrow positions; |
|
To
identify best practices (including tools, methodologies and procedures) that could improve
the decision making process within the broader context of sustainable management of water
and energy resources. |
|
To
identify criteria and guidelines for the identification, design, construction, operation,
monitoring and decommissioning of dams.
|
Products
3. The final product for each
thematic review will be a synthesis paper, which will summarise the contributions
to the review of the topics, based on the experience of institutions and experts worldwide
and the submissions to the WCD by interested individuals and groups.
Main tasks
4. The following figure shows the
sequencing of the proposed tasks for the thematic reviews.
5. Scoping Papers: The
Secretariat will prepare scoping papers for each topic with the active involvement of the
Commissioner Members. The scoping papers, which are to be completed by February 1999, will
provide a conceptual framework for the review process, and the basis for the Terms of
Reference for the review papers.
6. Review papers: With
input from Commission Members, the Secretariat will also identify potential experts and
centres of excellence in the various thematic areas to take the lead to prepare the review
papers. Small teams, reflecting a diversity of approaches on the theme will produce the
papers. An effort will be made to build on the synergies with parallel initiatives
currently undertaken by international organizations and professional institutions.
7. The review papers will
synthesize state-of-the-art knowledge, practices and key viewpoints on each theme. These
papers will normally be prepared within the following framework:
|
Review
of the theme based on existing knowledge and selected research activities; |
|
Identification
of implications and scenarios for future consideration; |
|
Development
of tools based on principles of good practice; |
|
Proposal
of criteria and guidelines for decision-making where large dams are an option. |
8. The papers will be sequenced
in order to maximise the interactions with and incorporate interim findings from the case
studies and cross-check review. They will also take into account specific submissions,
regional consultation presentations, etc., as available. The draft papers will be
submitted to peer-reviewing procedures and posted in the web site for comments.
9. The level of effort involved
in the preparation of the thematic reviews shall be determined according to the complexity
of the issue and the level of controversy surrounding it, also taking into consideration
the resources available and time frame. The Secretariat together with the focal
institution/lead specialist will organise review panels. The panels utilize
electronic media to the extent possible (web site, audio- and video conferences), and
explore the opportunities of linking their meetings to professional conferences and
similar events.
10. After the discussion of the
initial drafts of the review papers, the WCD may designate task forces
involving key stakeholders in order to clarify the areas of potential agreement and
disagreement on highly controversial issues. They will require a major commitment from WCD
both in terms of content and process, involving wide consultation and inputs from key
stakeholders and interest groups, including affected people. The task forces will conduct
their work both through meetings and by using electronic media. Additional inputs such as
position papers could be commissioned, where needed, to support the work of the task
forces; facilitation resources could also be made available. Submissions to WCD on these
selected themes will be channeled directly to the task forces.
11. Synthesis papers: Based
on the discussion of the review papers and the task forces, the Secretariat will prepare
the draft synthesis papers with the WCD conclusions and recommendations related to the
topic. Upon approval by the WCD, these papers will feed directly into the production of
the WCD outputs.
12. Schedule: The TORs for
the review papers should be completed by March 1999 and leading institutions/individuals
identified. The draft versions of the papers will be distributed to the Commission Members
for comment as the papers are ready. By August 1999, all draft review papers should be
submitted for discussion by the WCD. The review panels and task forces will be organised
with the support of the Secretariat, as soon as they are identified. All review papers
should be completed by mid-December 1999. The WCD will complete its review of the thematic
areas by February 2000.
B. Selected Topics
13 The topics for the thematic
reviews were selected by WCD according to their relevance to the ongoing debate on dams.
They are distributed into five theme areas, summarised below:
|
Social
Issues |
|
Environment
Issues |
|
Economic
and Financial Issues |
|
Options
Assessment |
|
Institutional
Processes |
The summary descriptions given
below are preliminary and the contents will be refined in the full scoping papers
currently being developed by the WCD.
Social issues
I.1 Social impacts of large dams:
equity and distributional issues
14. This overarching review will
assess development orientation and impact of large dams on project affected population as
a whole. The objective of this theme is two-fold: to improve the understanding of the
impact area of large dams, and to document best approaches in dealing with downstream
impacts with regard to the sharing of costs and benefits of large dams. It is intended to
cover the often-neglected downstream social impacts and give due consideration to the way
large dams affect the livelihoods of people living in downstream sections of dammed
rivers. It will be necessary to assess what is known about the development role of large
dams, but also go beyond the generic concept of "affected population", used to
refer to "beneficiaries" or to "victims" of large dams. Assessing the
development effectiveness of large dams will require a broader perspective and a better
understanding of how the lives and livelihoods of riverine communities have been affected.
Among the aspects to be analyzed include:
|
suggestions
for an operational definition for defining the concept of 'affected peoples'. |
|
assessment
of the extent to which downstream impacts of large dams, including hydropower dams, are
addressed in the planning process of large dam projects |
|
review
of the impacts of large dams on disadvantaged groups and gender |
|
assessment
of the influence of large dams on the pattern of resource distribution, especially water
and land. |
|
identification
of best practices in addressing downstream aspects of large dams, and in minimizing
distributional imbalances.
|
I.2 Dams, indigenous people and
vulnerable ethnic minorities
15. The objective of this
thematic study is to assess to what extent indigenous people (IP’s) and vulnerable
ethnic minorities (VEM’s) may have gained or lost from dam projects. The terms
'vulnerable ethnic minorities', ‘indigenous peoples’, indigenous ethnic
minorities’, tribal groups’, and ‘scheduled tribes’ have been employed
to describe social groups with a social and cultural identity distinct from dominant
society that makes them more vulnerable to unanticipated impacts of dams. Submergence
brings about change in the landuse practice breaking the fragile links in the subsistence
base of the indigenous economy.
Among the aspects to be analysed
include:
Tasks to assess performance of past policy frameworks and guidelines
|
identification
of best practices in terms of policy and institutional framework, criteria and guidelines
in assessing development options and making decisions on large dams that consider
indigenous peoples and ethnic minorities as equal negotiating partners in the planning
process and ways of improving current approaches.
|
I.3 Displacement, resettlement,
rehabilitation, reparation, and development
16. The phenomenon of population
displacement or involuntary resettlement of people has increasingly come to be seen as the
most serious social impact or consequence of large dams. This review concerns the
displaced people - all those fully and partially affected by reservoir, infrastructure,
and other means.
Among the aspects to be analysed
include:
|
what
constitutes a 'successful' displacement, resettlement, rehabilitation and development
programme |
|
the
financial and institutional constraints to a successful resettlement programme in
development mode and how such constraints have been overcome. |
|
how
legal and regulatory instruments facilitating displacement and involuntary resettlement
safeguard constitutional and basic human rights |
|
how
social and cultural empowerment of the displaced people is achieved in the process of
resettlement and relocated communities are integrated into the wider political economies |
|
the
critical elements ensuring sustainability and consolidation of the gains of the
resettlement process |
|
the
experiences and lessons learned in dealing with reparation to displaced and other
negatively affected people |
In order to
achieve development of the displaced and other negatively affected people, the review will
suggest:
|
essential
elements of social impact assessment framework for dam and non-dam options |
|
basic
elements of economic development and social opportunity in ensuring sustainable
livelihoods and improved living standards |
|
how
future resettlement policy, institutional framework, decision making process and
instruments should incorporate participation, gender, equity, accountability and
sustainability concerns |
|
the
specific steps needed to ensure that the interests of groups like women and children,
indigenous peoples, ethnic minorities and others are protected in the process |
|
legal
instruments and remedial action to ensure accountability on part of governments and
facilitating agencies for accomplishing negotiated resettlement goals.
|
Environmental Issues
II.1 Dams, ecosystem functions
and environmental restoration
17. Large storage dams regulate
the flow of water and sediments down the river and impact the functions and services of
downstream ecosystems (i.e. those natural processes that meet human needs and are provided
free of charge) and their biodiversity in many different ways. In some cases dams have
also created water bodies that reflect some ecosystem values, especially for wildlife or
for fisheries for example. Some reservoirs support substantial wildlife populations and
others have had productive and valuable National Parks declared along their shores.
18. The science of wetland and
river ecosystem management is still in its infancy and lacks 100% predictive capacity. A
movement is however underway to restore, to a greater or lesser degree, the natural values
of riverine ecosystems, often due to belated recognition that something of value had been
lost during past development activities. For downstream ecosystems the impacts of dams can
sometimes be partially mitigated by flood releases at particular times of year through
minimum flow requirements, or through the definition of river management objectives. This
requires a range of trade-offs to be addressed as water is diverted from power generation,
irrigation or water supply in order to meet ecosystem requirements.
Among the aspects to be analysed
include:
|
the
positive and negative impact of dams on ecosystem functions and services, and how they can
be costed; |
|
the
information base necessary for informed decision-making and monitoring in this area; |
|
international
best practice in defining river management objectives (e.g. instream flow requirements)
and whether it is feasible to develop them for large basins; |
|
the
existing criteria and guidelines for ecosystem mitigation and compensation |
|
thresholds
for acceptable loss of biodiversity, and quantifiable guidelines for compensation or
mitigation; |
|
the
necessary regulatory and institutional arrangements for meeting river management
objectives.
|
II.2 Dams and global change
19. The impacts of dams at global
scale have so far been little studied. The impacts of global change, especially global
climate change, and its implications for dams is largely unknown. Some of these emerging
issues, and particularly the potential for release of methane (a potent greenhouse gas)
from reservoirs, require further attention as they may influence the context of future dam
development and the operation of existing dams in a context of increasing uncertainty and
unexpected variability of environmental conditions.
Among the aspects to be analysed
include:
|
the
relative contributions of different energy options to global warming and to what extent
greenhouse gases emissions are or should be factored into decision-making on energy
options |
|
how
the effects of global warming on the hydrological cycle affect run-off and
inflows to dams and how this should be considered in the planning, design and operation of
present and future dams |
|
whether
the time has come to explicitly consider these emerging issues in assessing the viability
of dams
|
Economic and Financial Issues
III.1 Economic, financial and
distributional analysis
20. Traditional methods for
assessing dams focussed primarily on the calculation of internal rates of return and
cost-benefit review using a limited set of quantifiable parameters. As concerns over the
distributional and non-economic impacts of dams have become more prominent, the
limitations of these approaches and tools have also become more apparent. It is now
generally accepted that financial and economic review of options for sustainable water
resources development and management requires the internalization of externalities,
inclusion of non-quantifiable values, as well as the evaluation of the distributional
effects and risks associated with different alternatives. But there is no clear consensus
on what are the best practices with respect to the financial and economic review of dams
and alternatives.
Among the aspects to be analysed
include:
|
an
assessment of past and current methods of economic and financial review to determine their
strengths and weaknesses |
|
the
effects of discounting benefits and costs under different decision-rules on project
selection and the possible conflicting outcomes from economic and financial review |
|
good
practices for the valuation and integration of non-priced factors such as habitats and
spiritual sites among others in dams-related options assessment and decision-making |
|
good
practices for the distributional review of costs, benefits, impacts and risks of options
for water resources development and management |
|
good
practices for risk and sensitivity review for dams and alternatives |
|
mechanisms
for increasing transparency and participation in economic and financial review
|
III.2 International trends in
project financing
21. Over the past decade
significant changes have occurred in global and regional approaches for project financing.
Changes are also occurring around financing of dams and other large infrastructure
investments, as part of a general trend to economic liberalization. Governments
increasingly have other investment priorities for social programmes and social
infrastructure. While the direction and pace of changes in project financing practices are
country-specific, the private sector is increasingly sought as a partner in physical
infrastructure development to reduce demand on limited government resources.
22. Changes in methods of
financing for dams may significantly or marginally alter roles, decision-making and
implementation responsibilities, depending on circumstances. The government role is
generally shifting to more of a regulatory oversight function, particularly for power
infrastructure development, rather than direct investment alone. This entails establishing
new legal, licensing, regulatory and other policy frameworks to facilitate private sector
investment in construction and operation of dams. Changes in financing methods for dams
and options are increasingly important in respect to the chain-reaction influence on a
range of concerns, such as: planning and decision-making processes; the scope and timing
for participatory planning, availability of financing for both dam and non-dam options;
and, the capacity of government departments and newly formed organisations to perform in
newly defined regulatory and institutional frameworks.
Among the aspects to be analyzed
in this paper include:
|
recent
global/regional trends in public and private sector financing for dams and non-dam
options, including the range of financing approaches and models; |
|
success
rates in adopting different project financing approaches for dams and non-dam options and
their contribution to sustainable development principles; |
|
key
characteristics of the associated legal, regulatory, and licensing frameworks and industry
structures for dams development emerging in different regions of the world: |
|
characteristics
of the impacts of deregulation of the power industry on financing dam and non-dam options; |
|
key
issues arising in respect to redefining critical roles for government departments,
independent regulatory agencies, public utilities, civil society and the private sector in
all phases of the planning and project cycle for dams; |
|
key
issues arising from the shift in responsibilities between government and the private
sector for dams motivated by changes in public and private sector financing methods; |
|
good
practices in adapting various processes and procedures such as for participatory planning
and decision-making around dams, environment and social impact assessment, management,
monitoring, auditing and compliance - to reflect sustainable development principles while
accommodating changes in financing approaches and roles; |
|
how
various supply-side and demand-side non-dam options are advantaged and/or disadvantaged
and considered in the diversifying project financing climate: both in respect to
decision-making and access to financing.
|
Options Assessment
IV.1 Assessment of electricity
supply and demand management options
23. Electricity is a rapidly
growing end-use in global terms. Highest rates of growth are in developing and
transitional economies. Per capita consumption now varies from the OECD county average of
7,500 kWh/yr., to 482 kWh/yr. in Asia (excluding China, which is 822 kWh/yr.) to 490
kWh/yr. in Africa, and 1,402 kWh/yr. in Latin America.
24. Conventional electricity
supply options include thermal (coal, oil and gas), nuclear and hydropower of different
scales. These technologies currently dominate global electricity generation (thermal 62%,
hydraulic 20%, nuclear 17% and all other 1%). Use of co-generation particularly, and
geothermal and wind generation both for isolated supply and small to medium scale grid
feeding applications is small but increasing on a global level. Other electricity
generation options include small hydroelectric and emerging solar electric and biomass
systems of a centralised and decentralised nature. New technologies and systems such as
tidal and ocean thermal systems for coastal countries are in early stages of prototype
development.
25. Plans to commit to
conventional and renewable energy sources for electricity generation are generally
influenced by the indigenous resource endowment of the country, and policies on risk
aversion and self-reliance. Additional dimensions of the supply-side option issue for
electricity relate to the scale of electricity generation, such as involving centralised
versus decentralised approaches, and the broader electricity system operation context.
Different generation technologies play different roles in isolated supply and in grid
supply - in the latter context for seasonal and daily base, mid-range and peaking
generation.
26. In rural areas of developing
economies, where the bulk of the world population reside, kerosene and traditional energy
sources including forest biomass, dung, and agriculture wastes play an overwhelming role
in the demand-supply situation, dominated by household energy needs. In both monetized and
non-monetized settings, traditional energy systems are under increasing pressure due to a
range of demographic, social and environmental factors.
27. Various demand-side
management (DSM) measures are feasible for electricity conservation and end-use efficiency
improvements in modern sectors of the economy, using policy tools such as pricing, direct
control and voluntary measures, as well as inter-fuel substitution options. The scope and
attention paid to DSM may generally be considered in relation to the stage of development
of the country’s energy economy, electricity end-use patterns, and the relative per
capita electricity consumption levels. Other country-specific conditions affecting
achievement of demand side management goals include consumer awareness and end-user
affordability issues; the availability of efficient end-use devices in the market place
for motors, lighting and cooking end-uses; and institutional, standards and regulatory
situations.
Among the aspects to be analyzed
in this paper include:
|
major
trends in hydropower, conventional and non-conventional options contribution to the
electricity generation mix globally and regionally; |
|
the
gross hydropower potential derived from assessments previously made in different regions;
similarly scenarios describing the potential growth/change in the contribution anticipated
from conventional and non-conventional electricity generation options and demand
side-management (DSM) programmes, globally and regionally; |
|
indicators
of current status and evolution of sub-regional and regional power exchange networks, and
the role of options in this context; |
|
indicators
of the current cost, technical capabilities, and efficiency of hydropower and other
electricity generation options reflecting life-cycle principles; and indications of
significant changes anticipated for "next generation" technologies; |
|
environmental
impacts (locally, regionally and globally), and cultural and other factors affecting
public acceptance of different electricity generation and DSM options; |
|
methodologies
for electricity demand forecasting; |
|
methodologies
for electricity generation options and DSM assessment including the technical, economic,
financial, social , environmental and other merits of the options, and considered within
policy setting, power system planning and decision-making processes; |
|
trade-offs
(based on sustainable development principles) in deciding among hydropower dams of
different scales and types (e.g. large, medium, small, mini and micro hydro); |
|
trade-offs
expected in deciding between hydropower dams, other electricity supply and DSM options;
also in respect to their role in local/isolated supply, and in national and regional
electricity systems; |
|
key
legislative, regulatory, planning, decision-making and other institutional hurdles for
choosing and implementing DSM programs, and non-conventional generation options,
reflecting regional differences; |
|
the
role of electricity supply in the rural energy context of developing economies where
traditional energy sources are dominant; |
|
examples
of good practice in power system planning, decision-making, and life-cycle experience with
demand side management and alternative electricity supply options; |
|
economic,
fiscal, institutional, capacity, socio-cultural and other "enabling conditions"
required for successful selection, development, operation and public acceptance of
non-conventional supply options and DSM programmes.
|
IV.2 Assessment of irrigation
options
28. The debate on the role of
dams for irrigation will be set against a number of diverse concerns including the need to
provide more food for a rapidly growing population, increasing costs of new development,
low economic and financial returns for staple crops, poor efficiency and lack of
governance in many irrigation systems, high levels of financial subsidy and low levels of
maintenance expenditure, questions of sustainability (both of the land and water resources
as well as the physical systems themselves), and the distribution of benefits and
consequent socio-economic effects.
29. Although considerable work
has been conducted on these issues, a synthesis of the findings is necessary to determine
both the scale of their importance and the influence that they will have on future
development. The review will also provide a clear, and where possible quantified,
assessment of the viability of options that address the basic objective of food security
and sustainable development.
Among the aspects to be analyzed
include:
|
an
assessment of the effectiveness of alternative approaches to irrigation development and
other agricultural interventions from around the world in respect of meeting the growing
demand for food and the consequent effect these have on the planning cycle |
|
the
impact on food production and benefit distribution for a range of policy, process,
institutional and technical options |
|
the
extent of multiplier effects of irrigation to the local, regional and national economy |
|
opportunities
for demand-side management including the effect of increasing autonomy and accountability
in system management, pricing policies, production subsidies, biotechnology advances
leading to less water demanding crops, improved rainfed varieties, and internalising the
costs of drainage and other impacts of irrigation; |
|
supply-side
options including more localised small scale irrigation, improved conjunctive use of
surface and groundwater resources, the scope for introducing low cost high water efficient
systems, improved governance in system management, and alternative sources of supply |
|
environmental
and sustainability aspects related to more appropriate levels of fertiliser and pesticide
applications (through organic methods, crop rotation, integrated pest management etc.),
and reductions in waterlogging and salinity (through conjunctive use, local drainage
solutions, salt tolerant crops, etc.).
|
IV.3 Assessment of water supply
options
30. The importance of water
supply is reflected in the level of total investment in the sector. Estimates indicate
that approximately $25 billion annually is targeted at water supply and sanitation.
Resource development for water supply and competition with other sectoral interests is
expected to intensify into the 21st century. Although, in terms of volume of
water, municipal and industrial (M&I) water supply generally forms a relatively minor
part of multipurpose dam development projects, the high priority given to water supply and
high value of M&I water relative to irrigation can contribute significantly to a
project’s benefit stream. In addition to provision of bulk water, water supply
objectives of dams increasingly include releases to improve river water quality in areas
of high pollution or salinity.
Among the aspects to be analysed
include:
|
demand-side
management including the effect of; pricing and governance aspects of M&I service
delivery, the influence of loss reduction and other efficiency improvements, methods for
demand projection, particularly in transition economies moving from a low-income
agricultural base to a middle or high-income industrial base. |
|
supply-side
options including the effectiveness of conjunctive use of surface and groundwater
resources, waste treatment and recycling in reducing surface water storage requirements,
the scope for intermediate technologies such as rainwater harvesting and localised
supplies, and desalinisation |
|
alternatives
to providing additional storage capacity for improving water quality |
|
the
importance of information dissemination to the reduction of consumption |
|
the
decision making process related to demand and supply side management options including the
influence of private sector financing
|
IV.4 Assessment of flood control
and management options
31. Each year, flood events
result in significant loss of property, life, and livelihood. At a local scale, floods can
also be beneficial (groundwater recharge, silt deposits, floodplain fisheries etc). As the
economic base in developing countries shifts more to an urban and industrial base, the
financial consequences of flood damage increases and demand for flood protection
intensifies. In some countries, heightened attention is being given to more effective
process and technical advances for flood management including flood forecasting, land use
zoning, flood proofing, disaster preparedness, flood insurance either in parallel or
independently from physical flood protection measures. Lessons will be drawn from flood
control and management approaches in both developed and developing countries.
Among the aspects to be analysed
include:
|
examples
of the effectiveness of flood management options (dams, embanking rivers, flood warning,
flood proofing, land use zoning, restoration of wetlands, disaster preparedness, flood
insurance, catchment management) and the consequent distribution of costs, risks and
benefits. |
|
the
identification of circumstances where floods have been able to play a positive role
without threatening livelihoods and whether such benefits can be maintained with dam
projects. |
|
the
consequences on dam design of including flood control objectives with often competing
operational requirements of other sectors e.g. power generation and the extent to which
multipurpose objectives are met in practice. |
|
policy
and institutional factors in the introduction of comprehensive flood management
strategies, including risk assessment and financing arrangements |
|
the
beneficial aspects of floods and trade-offs with flood protection
|
IV.5 Operation, monitoring, and
decommissioning of dams
32. Much of the debate over large
dams is focussed on whether or not new dams should be built. But given that there are
already more than 40,000 large dams in the world, and the debate over large dams is based
on the experience of these, examination of ways to improve the functioning of large dams
is critical. As the economic life of an increasing number of dams is reached, regulatory
agencies, dam managers, advocacy groups and affected peoples have also begun to
re-evaluate the utility of existing dams in several countries around the world. Over time,
the purposes for which a dam was built and its operational objectives may change.
Similarly, the balance between the economic, environmental and/or social impacts may vary
over time relative to the benefits generated by a project. Options such as re-operation,
refurbishment, relicensing, and decommissioning for the sustainable management of water
resources will be addressed in this thematic review.
Among the aspects to be analysed
include:
|
the
benefits, costs and impacts of re-operation, relicensing, refurbishment and
decommissioning in the context of options for the sustainable management of water
resources. |
|
how
and with what types of information decisions related to operation, monitoring,
re-operation, relicensing, refurbishment and decommissioning of dams have actually been
made, and the policy and institutional conditions that enable transparent and
participatory decision-making in these areas. |
|
the
technical issues surrounding dam removal, and the economic, social and environmental
effects of decommissioning. |
|
the
financial aspects of decommissioning and, in particular, how the possibility of
decommissioning could be incorporated into the initial planning and design of dams and
upon whom the financial responsibility of decommissioning falls. |
|
criteria
and guidelines for the operation, monitoring, and decommissioning of dams.
|
Institutional Processes
V.1 Planning approaches
33. The framework and processes
for national and sector-level planning vary dramatically in scope and detail among
countries. Sub-sector planning processes such as for irrigation, energy, roads, transport,
social services and regional development planning must be complementary and reinforcing.
Coordination among sectoral planning activities, river basin and regional development
planning is essential in respect to decisions regarding large dams, as dams are
intrinsically multi-sectoral in terms of their range of benefits, costs and impacts.
Moreover, practices are constantly being adapted in response to local, national and global
influences such as economic reform, the information technology revolution and growing
public awareness of issues. An assessment of and recommendations for improving the
planning process related to large dams is an objective in the mandate the World Commission
on Dams. One of the central question that motivates this thematic review is how do
societies decide among the various options for the sustainable development and management
of water resources through a rational, fair, transparent, and participatory process?
Among the aspects to be analysed
include:
|
comparative
experience with planning for options-assessment in order to determine why some options may
have been privileged over others in the past. |
|
policy,
legal, regulatory and institutional frameworks that increase the likelihood that options
will be assessed fairly, comprehensively, transparently and in a participatory manner
during the planning cycle. |
|
tools,
methods and mechanisms that increase the likelihood that options will be assessed fairly,
comprehensively, transparently and in a participatory manner during the planning cycle |
|
identification
of good practice for integrating economic, environmental and social assessment processes |
|
linkages
between sectoral and river basin planning approaches; |
|
institutional
mechanisms and decision-making procedures that will increase the use and effectiveness of
multi-criteria, integrated planning approaches.
|
V.2 Improved environmental and
social assessment for large dams
34. Environmental Assessment (EA)
is a key tool to incorporate the environmental dimension into decision making and for
environmental management of dams throughout the project cycle. EAs of dams are among the
earliest applications of this tool and a large experience both in good and bad practice
has accumulated in the last thirty years. Also, governments, bilateral and multilateral
donor agencies have adopted an array of guidelines, criteria, standards and procedures for
EA. Social Impact Assessment (SIA) has been less widely practised in the context of large
dams as a separate review; it has often been integrated to EAs. The rising concerns with
displacement of populations often without adequate resettlement and compensation highlight
the need for widespread discussion on the SIA process.
Among the aspects to be analysed
include:
|
the
scope of EAs and SIAs in relation to the broad social concerns around dams |
|
how EA
studies have dealt with scientific uncertainty, "contradictory truths" and the
precautionary principle |
|
how to
ensure that the EA studies are carried out in a transparent and independent way |
|
whether
the EA process is adequate in exploiting environmental opportunities created by dams |
|
whether
the EA and SIA processes, criteria and guidelines have proved adequate in preventing,
compensating, mitigating or offsetting negative environmental impacts? |
|
how to
ensure that EA and SIA conclusions follow through to implementation – the kind of
support (financial, managerial, technical, political) necessary to achieve this – the
kind of monitoring and audit systems should be put in place
|
V.3 River basins –
institutional frameworks and management options
35. Widespread consensus is
emerging on adopting the boundary of the river basin as the appropriate planning unit for
water resources so as to accommodate the upstream and downstream impacts and the
influences of human interventions on both water and land resources. At the same time, the
planning and management system also has to reflect the realities of the national and local
level administrative systems. A range of institutional arrangements for river basin
planning and management have been implemented across the world including basin
authorities, commissions and committees, each with their own specific characteristics,
authority structures and institutional linkages.
Among the aspects to be analysed
include:
|
under
what conditions River Basin Organisations have been effective at managing inter-sectoral
issues related to water and the nature of alternatives for multi-sectoral management |
|
the
functions, responsibilities and influence RBOs should have to promote participation and
effective inter-sectoral decision-making and the models that different countries/regions
have adopted |
|
where
have intact river policies been successfully implemented and how |
|
how
effective linkages can be built between international, national and regional levels, and
between the different sectors |
|
how
RBOs have evolved and responded to changing circumstances as a consequence of the
evolution of the basin |
|
assessment
of the trends and review of issues raised regarding dam projects in internationally shared
rivers |
|
review
of mechanisms for negotiation, conflict resolution and mediation posed by large dam
projects in shared river basins and a documentation of best practices
|
V.4 Regulation, compliance and
implementation
36. Conflicts over dams have
contributed to the proliferation of criteria, guidelines and standards in order to improve
water resources development and management. Many stakeholders argue that internationally
accepted criteria, guidelines, and standards now exist and are generally quite adequate.
Others counter that criteria, guidelines and standards are still weak because they are
neither comprehensive nor integrated enough to offer a clear and applicable
decision-making framework for dams and alternatives.
Among the aspects to be analysed
include:
|
a
comprehensive overview of existing criteria, guidelines, standards |
|
the
convergences and divergences of existing criteria, guidelines and standards across
different countries and institutions |
|
the
coverage and gaps in existing criteria, guidelines, standards |
|
‘state
of the art’ principles and procedures around the world that are applicable for
varying systems of governance |
|
the
institutional procedures and legal frameworks that increase the likelihood that criteria
and guidelines are implemented once they are adopted |
|
proposals
for good practices for the allocation of roles and responsibilities among different
stakeholders to contribute to compliance and implementation |
|
strategies
for strengthening institutional capacities in cases where it is weak, and to increase the
human and financial resources necessary for compliance |
|
how
sector focused criteria, guidelines and standards can be linked and integrated during the
options-assessment, decision-making and execution process
|
V.5 Consultation and
participatory decision-making
37. It is generally accepted that
consultation with and among targeted communities and other stakeholders is a key factor in
the success of any development project, including large dams. For more than ten years,
practitioners have stressed the fact that dam planners need to involve farmers’ and
village-level organisations as well as district councils, local and national private
firms, voluntary organisations, and research institutions to achieve sustainable
development. A recent review of World Bank funded resettlement programs found that
:"…beneficiary participation in some aspects of project design and a broader set
of implementation decisions was a common feature across the sample." Yet, this
question is still among the most debated large dams-related issues leading to the
hypothesis that it is not so much the principle rather than the level and mechanisms of
participation and consultation processes where the problems occur.
Among the aspects to be analysed
include:
|
tracing
the key milestones regarding the evolution of participatory/consultative approaches in
large dam projects |
|
how
consultation and partnership with communities and interest groups affect the results of
large dams projects, and in particular successes and failures of project components such
as the mitigation of environmental and social costs, and the management of conflicts
between interest groups. |
|
how
public opinion has evolved in deliberating around issues such as the treatment of the
rights of minority and vulnerable groups |
|
the
role that NGOs and civil society groups can play in the consultation processes regarding
large dams |
|
examples
of participatory approaches that empower disadvantaged groups (women, indigenous
communities, and others); |
|
review
of the extent to which political context facilitates or hinders open consultation
processes. |
|
review
of existing procedures/guidelines and prevailing practices in engaging stakeholders in
large dam projects and recommendations for policies, processes and methods for improved
stakeholder consultation. |
|
|
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