China - Gansu and Xinjiang Pastoral Development Project : environmental impact assessment (Vol. 6 of 7) : Gansu-Xinjiang dam safety review management documents

E614 Volume 6 People's Republic of China Gansu-Xinjiang Integrated Pastoral Development Project (GXPDP) 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: Basic Data on small reservoirs, Xinjiang Document 1(4) - Annex 2: Basic Data on small reservoirs, Gansu 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   2 General While the Gansu and Xinjiang Pastoral Development project (GXPDP) doesn't involve construction of new dams, it is possible that it will utilize irrigation water from dams exceeding 15 meters in height or 10 meters in height and more than 1 million cubic meters in storage capacity, thus being subject to safety review in accordance with procedures acceptable to the Bank and in accordance with OP 4.37. Twenty six dams in Xinjiang and 24 dams in Gansu could potentially require safety review. 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 (I) 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 meters, 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 provincial/regional administrative departments in initiating the reviews. Document 2. Guidelines for 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. Guidelines for Dam Safety Emergency Preparedness 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. Document 4. Guidelines for 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.   People's Republic of China Gansu-Xinjiang Integrated Pastoral Development Project (GXPDP) Dam Safety Review Guidelines Document 1(4) DRAFT  Dam Safety Review Guidelines General This document is formulated according to the: (i) Reservoir Dam Safety Management Regulation issued by the China State Council in 1991; (ii) the Reservoir Dam safety review Methods issued by the Ministry of Water Conservation in 1995; and (iii) the World Bank Operational Policy OP 4.37 on Dam Safety. The project does not include construction of any new dams. The project areas include 26 reservoirs in Xinjiamg-Uygur Autonomous Region (XAR) and 24 reserviors in Gansu Province (Gansu) that could potentially require dam safety review. Not all of these reservoirs are used for irrigation of the improved pastures, but due to their proximity to the proposed project areas, they could potentially impact the project and dam safety review might be warrranted. More information on the reservoirs can be found in Tables in Excel Annex I and Excel Annex 2 for XAR and Gansu, respectively. Application of Guidelines The World Bank OP 4.37 applies to all reservoir dams in the irrigation zones of the project, if their height is more than 15 meters, or if their height is between 10 and 15 meters, but have a reservoir capacity that is larger than I million cubic meters. The national guidelines apply to: * entire reservoir dams in the upper reaches of the project irrigation zones in accordance with provided criteria, since any problems in the upper dams will potentially impact the irrigation zone of the project; * all reservoir dams in the project irrigation zones, which have not passed safety tests in the past 6 to 10 years; and * all reservoir dams in the project irrigation zone where safety test were done in the past 6 to 10 years and were designated as "Third Category Dams' and not strengthened to alleviate risks and new safety tests were not done. Project areas that are located downstream of such dams and could be impacted if such dams fail. Also, the project irrigation zones (improved grassland areas) that will use water supply from the dams listed in Tables l and 2 can only be included into the annual grassland improvement plan under the condition that the dams pass the safety test and be designated as "First category dam" or "Second category dam." It is important to note that not all project components will be developed during the first year of the project and different sub-component will come online in phases. It is also important to know that althought the hectarage per county are known, the final location of areas that are earmarked for development of irrigated artificial pasture are not finalized yet and some of the areas might be relocated as the project progress. Therefore, the list of dams should be considered as a comprehensive list of dams could potentially have an impact on project and might need dam safety review. The list should be updated on an annual basis as the final location of irrigated fodder and forage crop areas are better defined and firmed up. The maximum number of dams that should be reviewed for dam safety would be the number of dams presented in Tables I and 2. See Appendix I Classification Criteria for Dam Safety 2  Organization of a Dam Safety Review The dam safety review will be organized and led by the water administration department of Gansu and XAR. An expert group consisting of the following specialists should be organized to conduct the testing. The expert group usually is composed of 7 to 9 specialists depending on multi-purpose use of the dam including: 1. technical person from the dam administration department; 2. technical person/specialist from the dam operation management unit; 3. specialists from relevant design and construction units; 4. specialists from related research institutes and universities; and 5. specialists from related dam safety management unit. The expert group should at least include specialists in the areas of hydrology, geology, hydraulic engineering, machinery and electronics, and metal structure, depending on type of the dam and their proposed use. The qualifications of the experts to participate in the dam safety review should be appraised and cleared by the upper level dam safety management department. Procedure of the Review and Content of the Review Report Each dam, identified in Tables I and 2 that qualifies for review according to the World Bank OP 4.37 requirements will be subjected to a dam safety review. The respective Dam safety review administration departments in XAR and Gansu will be responsible for issuing the Dam safety review task, formulating the work plan and organizing the expert group. The respective dam operation management units should provide the following documents for the review: * Dam operation management situation report; * dam survey and design Information; * List of dam construction materials; * Completion and transfer documents and maps; * Annual operation and management information; and * Dam safety monitoring records, compiled results and analysis of the observation materials in the past years. The dam operation management unit should invite water conservation design institute or research institute/university experts to conduct analysis and evaluation on the dam safety and prepare a report. The report should include: * Recheck of the dam flood criteria, including hydrology and flood adjustment; * Recheck of anti-earthquake capacity of the dam; * Analysis and evaluation on the quality of the dam, including quality of the dam in the construction period and current quality; 3  * Analysis of the stability of dam structure and leak flow, including shape changing stability analysis; * Analysis of dam operation, including analysis of the ageing of engineering; * Comprehensive analysis of dam safety, presenting the overall study report on the dam safety; * Operation & Maintenance Plan, covering organizational structure, staffing, technical expertise, and O&M procedures and safety inspections; and * Emergency Preparedness Plan, specifying the roles of responsible parties if the dam failure occurs, or when expected operational flow release threatens downstream life, property, or economic operations that depend on river flow levels. It should include: * A clear statements on who will be responsible for dam operations decision making and respective emergency communications; * Maps outlining inundation levels for various emergency conditions; * Flood warning system characteristics; and procedures for evacuating threatened areas and mobilizing emergency forces and equipment. During the dam safety review process, it might be found necessary to make additional testing of engineering characteristics of the dam to obtain further information to make informed judgmen. In such cases, the dam operation management unit should be entrusted to identify well qualified units with corresponding qualification to conduct appropriate examinations. The entrusted unit(s) should provide detailed report on the results of the examination and recheck. The administration department in charge of the dam safety review is responsible for organizing the on-site safety examination, and to ensure that the expert group and units responsible for analysis and evaluation of the dam safety, actively participate in the review. They are also responsible to ensure that the dam operation unit cooperates closely with the safety review team. After the check, an On-Site Dam Safety Report should be drafted. The expert group should check and discuss the provided materials and reports, conduct comprehensive evaluation of the dam safety review, determine the safety category of the dam, present safety test reports, and submits the information to upper administration for final review. The project should pay the cost related to dam safety review. The contractual arrangements for dam safety review has to be done in accordance with the World Bank's Procurement Guidelines. However, if the dam safety review determines that certain rehabilitation work is required, these works should be carried out, using a separate budgetary resource that should be provided by other levels of government. 4  Appendix 1. Classification Criteria for Dam Safety The First Categorv: Real anti-flood criteria meets the regulation requirement of the Ministry of Water Resources; the operation condition of dam is normal; no major safety problems is present; the dam is able to operate according to engineering design. The Second Category: Real anti-flood criteria is not lower than "Critical Water Conservation Engineering, and Consolidating, and Risk Alleviating Abnormally Used Flood Criteria in the Recent Period": the operation condition of the dam is normal; no major dam safety issues are present; the dam could be operated according to the engineering design. Third Category: Real anti-flood criteria is lower than "Critical Water Conservation Engineering, and Consolidating, and Risk Alleviating Abnormally Used Flood Criteria in the Recent Period"; major dam safety issues/problem exist that could be affecting the dam safety; dam cannot be operated according to the engineering design specifications. 5   People's Republic of China Gansu-Xinjiang Integrated Pastoral Development Project (GXPDP) Guidelines for Small Dam Safety Review Document 2(4) DRAFT  Guidelines for Small Dam Safely Review 1. Applicability These guidelines are is in line with the requirements of stale water resource departments. They apply to the following dams in the project area under the Irrigation and Drainage System Component and: 1.1 All dams in the project areas which do not fall under the applicability of the Dam Safety Review Guidelines (dams with a height of more than 15 m and also those included due to safety consideration), but which are more than 10 meters in height and have a reservoir storage capacity of I million cubic meters or more; 1.2 These Guidelines apply to all dams that did not pass a safety review within the last 6-10 years; 1.3 These Guidelines apply to all dams in the project area appraised as "Third Category Dam" in a safety review within 6-10 years period but that has not been consolidated and risk alleviated and re-reviewed. 1.4 The application of the guideline for safety review will be only one of the conditions to decide whether the proposed development of irrigated artificial pasture areas to be reviewed meet with the selection criteria of project area. 2. Organization for Safety Review 2.1 Dam safety review should be organized and headed by county water resources bureau with an expert group invited and established by the bureau, 2.2 The expert group is composed of 5-7 experts in the following field: (a) Technical manager in dam administrative department (b) Technical manager in damr operation and maintenance department, expert from relevant dam operation and maintenance unit; (c) Expert from relevant design and construction department; (d) Expert from relevant institute or college/university (e) Expert from relevant dam safety review unit 2.3 The expert group should include experts in the following field: hydrology, geology, irrigation and drainage engineering, electromechanical, metal structure, and others as appropriate, depending on type and intended uses of the dam. 2  3. Basic Procedure for Safety Review 3.1 The dam safety review should be carried for each dam individually. 3.2 The dam safety review should be carried out according to safety sorting. The review should focus on finding out current situation of dam and considering its relative safety degree so as to identify the risk level of dam safety. 3.3 Data collection The county water resource bureau should provide the following technical data: (1) Relevant engineering design report/data on general situation of engineering (geographic position, collecting rain area, dam height, total reservoir storage, population in downstream, irrigation area, etc); and (2) Original design, material related to geological survey and measurement; The material related to engineering operation and maintenance should be provided by dam management unit: (1) Construction record of engineering construction process (including consolidation and risk alleviation) and drawing (including completion work chart) (2) Data pertaining to engineering operation and management, including changes during the process of operation (together with observational material), danger case and abnormal case that had appeared, water level and flood discharge case (including the tiptop water level that had emerged and when, if such level had appeared) 3.4 Field inspection (1) The expert group should carry out field inspection. Inspection content: (I) Age of dam engineering, construction quality dam seepage pattern, structure stabilizing case in operation process; (2) Spillway: age of engineering, construction quality, structure stabilizing case; (3) Burying canal in the dam: construction quality, condition of operation, structure stabilizing case; (4) Metal structure: time of operation, condition of lifter operation, sluice gate structure stabilizing case; (5) Condition of operation of reservoir observation facilities; 3.5 Safety review (1) Follow the method of giving on-the-spot score. The members of expert group giving an on-the-spot mark and corresponding opinion on safety review after on-the-spot visit, inspection, survey and reference to relevant materials. 3  (2) On-the-spot score is calculated according to the follciwing formula. g SR= E (SR), i=] (SR), is grade of the i-th factor among the formula. [)anger cases that various factors make up are fallen into three grades, i.e. low, middle, and high. Hazard value is endowed accordingly to three grades from low to high. The hazard is made up according to Tables I to 4. (3) Safety review Statistics should be taken according to on-the-spot score. Average value of total score given by each expert should be used as foundation of the engineering safety evaluation. Engineering with SR value equal to or higher than 42 should be identified as high hazard engineering. (4) Review conclusion The expert group should carry out a comprehensive evaluation and should provide a jointly prepared safety conclusion according to the on-the-spot scores, including all relevant factors into consideration. In the report they should identify the dam safety category, using the dam classification standard and provide a safety review report to lined agencies/departments at higher levels for filing. 4  0 >= 0~~~~~ C) 0 C0D- 0 ~~~~~~~~~~~~~0 C) Cs~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~C 00 15~~~ Cd Cd ~ 0 C, C: <~~0 C >4 >~~~~~~~ - ~~~~~~0 - C 0 C) C)~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~C C 0 qN CD ~ ~ C 0 C) ~~~~~~~~~~~~~~~~~~~~~~~C) > E 0 ~ ~ ~ E * 0 C ~~~ 0 N~~~~~ -~~~ ~0 >4 - 0~~~~~~~~~r- rl >4 In Ca ~ ~ ~~~~~~~~) C) k 4. ~ ~ ~ ~ . (ZD C) N~~~~~~~~~~~~) - .20 ) CZ 5 Cd Ca Ca J fl 44 CI) VD CC)C' Cu ~ ~ ~ ~ c  ) C, C 0 o C.. < 0,0~~~~~ C~~~~~~~~~~~~~~~~~~~~~~~~~~~C E ~~~~~~~~~~~~~~00 C 1 U~~~~~U o C CC I- ~ CC - C:) C-C ~~~ CO~ C)C) - _ C)~~ Co ~~<CC C- UCCC - U.uo c C>~~~~~~~~~~C -C) Co ~~~CC C) C)C cl Cd~~~~~. CC 0 Co C)C~~~~~~~~~~~~~~~~ CO~~~~  People's Republic of China Gansu-Xinjiang Pastoral Development Project (GXPDP) Guidelines for Dam Safety Emergency Preparedness Document 3(4) DRAFT  Guidelines for Emergency Preparedness Plan 1. Basic Condition The Irrigation of artificial pasture sub-component of the World Bank financed Gansu and Xinjiang-Uygur Pastoral Development Project (GXPDP) involves many small-scale irrigated forage and fodder crop development, some receiving irrigation water from upstream reservoirs and some are using river/groundwater resources, bLit are in the proximity of dams that are not used by the project, but could cause potential dam safety issues. The safety of the dams will directly affect the lives and property of people living in downstream irrigation areas. Accordingly, it is very essential to prepare the Emergency Preparation Plan as well as to carry out necessary reservoir safety appraisal to guarantee the safety of the dams. 2. Brief Description of the Affected Area In total, there are 26 water storage works (reservoirs) in XAF, and 24 in Gansu are located upstream of project areas of which 18 in XAR and 23 in Gansu have a dam height that exceeds ISm and have safety considerations with a total capacity of 242.6 million m3 in XAR and 253.9 Million m3 in Gansu. There are also 8 reservoirs in XAR and one reservoir in Gansu with height between 10 and 15m and a reservoir volume of over I million m3 with a total capacity of 66.95 million m3 in XAR and 1.2 million m3 in Gansu. The reservoir engineering is the focus of flood control in each irrigation area. 3. Physiographic, Water Resources Characteristics and Rainfall Pattern Gansu lies between 320 34' and 42