China - Jiangxi Integrated Agricultural Modernization Project : environmental impact assessment (Vol. 3 of 5) : Dam safety review management documents

E519 Volume 3 People's Republic of China Jiangxi Integrated Agricultural Modernization Project (JIAMP) World Bank Operational Policy (OP) 4.37 on Dam Safety COVER NOTE to Dam Safety Review Management Documents Document 1(4): Dam Safety Review Guidelines Document 1(4) - Annex 1: List of Small Dams Document 2(4): Guidelines for Small Dam Safety Review Document 3(4): Guidelines for Dam Safety Emergency Preparedness Document 4(4): Guidelines for Operation and Maintenance of Project Dams FILE Q  2 General While the Jiangxi Integrated Agricultural Modernization Project (JIAMP) does not involve construction of new dams or reservoir, the project's Irrigation Component includes 96 existing irrigation areas in 21 project counties, of which 68 in 19 project counties depend on reservoir supplies for irrigation.. The 68 irrigation areas are mainly located in the eastern, northern and southern parts of Jiangxi Province, and there are altogether 124 dams. Of these 76 dams are 10 meters and above in height and with storage volume of one million cubic meters and above, thus being subject to safety review in accordance with procedures acceptable to the Bank and in accordance with OP 4.37. The remaining 48 are subject to regular inspection with special reference to dam safety. The project will be implemented in accordance with the Dam Safety Review Management Plans, consistent with World Bank Operational Policy for Dam Safety, and acceptable to the Chinese national regulations relating to dam safety. These plans include (1) Dam Safety Review Guidelines (including two tables listing all dams in project areas with technical specifications related to these dams); (2) Guidelines for Small Dam Safety Review guidelines; (3) Guidelines Dam Safety Emergency Preparedness; and (4) Guidelines for Operation and Maintenance of Project Dams. A brief summary of each of these documents is provided below. Document 1. Dam Safety Review Guidelines This document is formulated according to national regulations and review methods issued by China State Council and the Ministry of Water Conservation, and the World Bank Operational Policy OP 4.37 on Dam Safety. It covers the application of the different guidelines. For instance, WB guidelines apply to all reservoir dams in the irrigation zones of the project, if their height is more than 15 mneters, or if their height is between 10 and 15 meters, but have a reservoir capacity that is larger than 1 million cubic meters. National guidelines apply to all dams in project areas that have not passed safety tests in the past 6 to 10 years. It lays out the procedure to carry out periodic dam safety reviews, the necessary expertise for the team undertaking it, classification criteria for different dams, and the responsibility of the provincialUregional administrative departments in initiating the reviews. Document 2. Guidelinesfor Small Dam Safety Review This document covers the applicability of the guidelines, the necessary steps to organize a small dam review and the basic procedure to follow during a review. It elaborates on staffing needs, expertise and material required, responsibilities of eater resource bureaus and field inspection procedures. Additional technical forms that could be of used as reference during review and inspection, are included. (e.g composition of dam engineering hazard value, composition of spillway engineering hazard value, etc.). Document 3. Guidelinesfor Dam Safety Emergency Preparedntess This document starts by providing an overview of the basic conditions, and a brief description of the potentially affected areas with a review of water resources characteristics and rainfall patterns. The primary risk identified is flood with the threat to downstream life, property, and economic activity. An outline for the preparation of a risk map is laid out, and a flood control scheme is presented. The latter suggests some additional works such as improving capability of rainstorm and flood forecasting, flood-control inspection, strengthening the management of engineering structures such as reservoirs, river training activities, dikes, and improving flood control equipments.  3 Document 4. Guidelinesfor Operation and Maintenance of Project Dams This detailed plan covers organizational structure, staffing, technical expertise, and training required; equipment and facilities needed to operate and maintain the dam; O&M procedures; and arrangements for funding O&M, including long-term maintenance and safety inspections.  Document 1(4) DRAFT Jiangxi Integrated Agricultural Modernization Project Irrigation Component Dam Safety Review Guidelines General These guidelines have been prepared in accordance with the following documents: (i) Regulation for Dam Safety Management promulgated by the China State Council in 1991; (ii) Methods of Dam Safety Review issued by the Ministry of Water Resources in 1995; and (iii) World Bank Operational Policy OP 4.37 on Dam Safety. 1. The guidelines are applicable to the following dams in the project area: 1-1 Dams 15 meters and above in height and also those below 15 meters in height which are included for review based on safety considerations; 1-2 Dams which have not been subject to a safety review and have not been given a safety clearance during the past 6-10 years; 1-3 Dams which were subject to a safety review during the past 6-10 years and rated as 'third category damsi", and which have not been strengthened and have not been given a safety clearance; 1-4 68 existing dams identified as poptential dams serving irrigation sub-projects would be subject to these guidelines. These are shown in Annex 8-1-2. The list is not exhaustive, and additional potential dams may be included as and when they are identified. 1-5 Dams 10 m and above but below 15 m in height and with storage capacity of one million cubic metes and above would be subject to the Small Dam Safety Review Guidelines as per Annex 8-2. 2. Irrigation sub-projects served by existing dams can be included for implementation in the annual work plan only if such dams have been subject to the safety review procedures and rated as 'first category dams' or 'second category dams'. 3. Organization of Safety Review 3-1 A dam safety review would be organized and presided over by the authority responsible for its admunstration. The authority concerned would appoint relevant specialists to form an expert panel for the safety review.of the dam. 3-2 An expert panel generally comprises 7-9 specialists, and should include: (i) the technical person in charge from the authority responsible for the administration of the dam; (2) the technical See Appendix I Classification Criteria for Dam Safety  2 person in charge and relevant technical specialists from the organization responsible for the operation and maintenance of the dam; (3) relevant specialists from the organizations responsible for the design and construction of the dam; (4) relevant specialists from a research institute or institution of higher learning; (5) relevant specialists from the dam safety authority. The expert panel should include specialists in the fields of hydrology, geology, hydraulic structures, mechanical and electrical engineering, and metalwork. The qualifications of the participating experts should be reviewed and cleared by the higher level authority responsible for dam administration. 4. Report on Dam Safety Review - Review Procedure and Contents of the Report 4-1 The authority responsible for the adminsistration of the dam would prepare the terms of reference for dam safety review and the work program, and appoint the expert panel. 4-2 The organization responsible for the dam operation and maintenance should furnish the following documents and materials for the safety review: (i) report on the dam operation and maintenance; (ii) information and data pertaining to survey, investigations and design of the dam; (mi) information and data pertaining to the construction of the dam (including a list of construction materials used); (Iv) records and drawings provided during handing-over of the dam for operation; (v) materials and records pertaining to yearly operation and maintenance of the dam; and (vi) materials and records pertaining to the dam safety monitoring, data compiled, analysis of the data and results. 4-3 The organization responsible for the operation and maintenance of the dam would appoint a Water Conservation design institute, research institute, or institution of higher learning to carry out an analysis and evaluation of the dam safety and prepare a report thereof. The report should cover the following aspects: 1) Review of design floods, including review of hydrological computations and and resevoir operation study for flood control; 2) Review of seismic design, includinig earthquake intensity and the dam resistance to earthquake shocks; 3) Analysis and evaluation of technical quality, including technical quality of the dam during construction and at present; 4) Analysis of structural and seepage stability, including deformation of the dam; 5) Analysis of dam operation conditions, including analysis of ageing of works; 6) Overall assessment of dam safety and preparartion of a report presenting the findings on dam safety; 7) Operation & maintenance program, covering organizational structure, staffing, technical experts, O&M procedures and safety inspection system (see Guidelines for Operation and Maintenance of Dams); 8) Emergency preparedness plan, specifying the roles of responsible parties when dam failure is considered imminent, or when expected flow release threatens downstream life, property, or economic operations that depend on nver flow levels. It includes the following items: clear statements of the responsibility for dam operations decision making and for the related emergency communications; maps outlining inundation levels for various emergency conditions; flood warning system and its characteristics; and procedures for evacuating threatened areas and mobilizing emergency help and support and equipment (see Guidelines for Emergency Preparedness Plan) 4-4 During dam safety review, when it becomes necessary to carry out supplemental investigations and tests in order to obtain further information to facilitate study and judgment, the  3 organization responisble for operation and maintenance should appoint competent parties to carry out the work. The latter should carry out the required investigations and study and report on the results. 4-5 The authority responsible for the administration of the dam would organize a site inspection. The expert panel and the party responisble for preparing the dam safety analysis and evaluation report should participate in the site inspection. The organization responisble for the operation and maintenance of the dam should co-operate fully in this regard. Following the site inspection, a reported entitled 'Dam Safety Site Inspection Report' should be prepared. 4-6 The expert panel should review and hold discussions on the above-mentioned information, materials and reports, carry out a comprehensive overall evaluation of the dam safety, and determine the rating of the dam. Where a dam is rated as as a third category dam it is necessary that the maximum storage volume and maximum water level allowable prior to dam strenthening and rectification works being carried out be specified. The safety review report should be prepared and submitted to the higher level authority responsible for dam administration for review and record. 5. The project would finance the costs for dam safety review. The contract for dam safety review shall be arranged in accordance with the Guideline for Selection and Employment of Consultants by the World Bank. 6. Where it is necessary to carry out dam strengthening and rectification work following a dam safety review, the works should be funded by the county government in which the dam is located. The county government concerned would use funds from the following sources for this purpose: (a) Basic Construction Fund included in the budget of Finance Bureau (including special funds); (b) Water Conservancy Construction Fund, used for the construction of water conservancy works, obtained from the following two sources: * Local govemnment funds (from fees collection); * Variou funds levied for the construction of flood control works as approved by provicial government (fund, fees collection), consolidated as local water conservancy construction fund.. (c) Loan from domestic banks and non-bank financial institutions; (d) Funds raised by the issue of governmental bond with approved of the national government; (e) Funds raised from foreign governments or international financial institutions; (f) Other funds as approved for the construction of water conservancy projects (such as Food for Work Fund, Agricultural Development Fund, etc)  4 Appendix 1: Classification Criteria for Dam Safety The First Category: Actual capacity to withstand design flood meets the standard and regulation as specified by the Ministry of Water Resources; the operation condition of dam is normal; no major technical problems exist and operation of the dam according to design is possible. The Second Category: Actual capacity to withstand a flood magnitude is not less than that requried for the flood magnitude specified by the Ministry of Water Resources, defined as the recent period extraordinary flood adopted for dams undergoing strengthening and rectifcation works; the operation condition of dam is normal; no major technical problems exist and operation of the dam according to design is possible. Third Category: Actual capacity to withstand a flood magnitude is less than that required for the flood magniture specified by the Ministry of Water Resources, defined as the recent period extraordinary flood adopted for dams undergoing strengthening and rectifcation works; or there exist serious technical problems that will affect the dam safety and normal operation of the dam is not possible.  _ g 5 3 5 i E E _~~~~~~~~~~~~~~~~~~~~~~~~~~= M