REGULATORY FRAMEWORK FOR DAM SAFETY- COMPARATIVE

ASSESSMENT

Mario Scaletta, Vice President-Global Business Development, Paul C. Rizzo Associates, Inc.,

USA

Fehmida Mesania, Ph.D., P.E., Project Supervisor, Paul C. Rizzo Associates, Inc., USA

John P. Osterle, P.E., Vice President – Dams & Water Resources Projects, Paul C. Rizzo

Associates, Inc., USA

Jared Deible, P.E., Managing Principal, Paul C. Rizzo Associates, Inc., USA ___________________________________________________________________________________

ABSTRACT

According to estimates, in Brazil there are approximately 300,000 dams of vital economic importance in terms of water supply, power generation and support for industry and mining. Brazil’s National Water Agency (ANA) has estimated that approximately 200 dams could be in danger of failing.

Prior to 2010, Brazil did not have any laws or regulations that address dam safety in either the federal or state level. In 1999, the São Paulo branch of the Brazilian Committee on Dams published a Basic Guide on Dam Safety based on the Canadian Dam Safety Guidelines. Such guidelines have become a general reference for dam owners and HPP operators in Brazil.

Due to a lack of reliable information, a centralized regulatory agency, and a deficiency in the auditing process, resulted in an alarming number of accidents involving dams have occurred in Brazil with serious impact to the environment and surrounding communities. Recently, there have been some movements that resulted in a Brazilian dam safety statute “Política Nacional de Segurança de Barragens (PNSB)” published in September of 2010. This law establishes the National Policy on Safety of Dams and creates the National System of Information on Safety of Dams in Brazil.

This paper compares the Brazilian regulatory frameworks applicable to dam safety with laws and regulations from the United States and Canada. The paper attempts to highlight the main similarities and differences in the approaches adopted by other countries.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

1.0 Introduction:

According to estimates, in Brazil there are approximately 300,000 dams of vital economic importance, in terms of water supply, power generation, and support for industry and mining. Brazil’s National Water Agency (ANA) has estimated that approximately 200 dams could be in danger of failing.

Prior to 2010, Brazil did not have any laws or regulations that address dam safety in either the federal or state level. In 1999, the São Paulo branch of the Brazilian Committee on Dams published a Basic Guide on Dam Safety based on the Canadian Dam Safety Guidelines. Such guidelines have become a general reference for dam owners and HPP operators in Brazil.

Due to a lack of reliable information, a centralized regulatory agency, and a deficiency in the auditing process, an alarming number of accidents involving dams have occurred in Brazil with serious impact to the environment and surrounding communities.

Recently, there have been some movements that resulted in a Brazilian dam safety statute “Política Nacional de Segurança de Barragens (PNSB)” published in September of 2010. This law establishes the National Policy on Safety of Dams and creates the National System of Information on Safety of Dams in Brazil.

This study shows a comparative assessment of the Brazilian regulatory frameworks applicable to dam safety as shown in Table 1. The comparison attempts to highlight the main similarities and differences in the approaches adopted by other countries (i.e. United States, Canada) including a review of the Energy Regulatory Agency (ANEEL) and the new National Water Agency (ANA).

Table 1: Listing of Dam Safety Legislation or Regulations

Country Dam Safety Legislation

Brazil Política Nacional de Segurança de Barragens (PNSB), Law 12.334 (2010)

Canada Dam Safety Guidelines with Regulations for each Province/Territory

USA Privatley owned Hydropower Dams – Federal Energy Regulatory Commission Engineering (FERC) Guidelines

U.S. Army Corps of Engineers – self regulated under their own Dam Safety Program

U.S. Bureau of Reclamation - self regulated under their own Dam Safety Program

Privately Owned Dams – 49 of 50 states have their own dam safety regulatory program.

Source: International WaterPower & Dam Construction, 2012

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

2.0 Regulatory Framework in Brazil:

The “Política Nacional de Segurança de Barragens (PNSB)” Law No. 12.334 published 20 September of 2010, establishes the National Policy on Safety of Dams and creates the National System of Information on Safety of Dams in Brazil. The PNSB revises the article 35 of Law No. 9.433 dated 8 January, 1997 and article 40 of Law No. 9.984 dated 17 July, 2000 (Presidência da República, 2010).

It is composed of six chapters divided into 23 articles (Presidência da República, 2010). This law provides for the regulation and safety of dams and reservoirs throughout Brazil in order to protect the health, safety and welfare of its citizens and their property. The six chapters describe the objectives, definitions, inspection, instrumentation, and regulatory agency role.

According to the Brazilian law, the system will promote coordination between responsible entity (i.e. owners or operators and the inspectors of the dams and aid in the preparation of the dam safety report. The prime responsibility for dam safety rests with the entity responsible for the dam. However, the dam safety oversight is the responsibility of the entity which granted the right of use of water resources, except for hydroelectric power dams.

The supervisory agency must consolidate the registry, whose supervision lies under its responsibility, in a period of two years (Presidência da República, 2010). Entities responsible for the dam are then requested to submit for approval a report specifying the actions and timeline for implementing a safety plan.

This law is applied to dams holding water for any use including water supply, power generation, and mine tailings (Presidência da República, 2010). It also establishes definitions for dams, reservoirs, dam safety, responsible entity, regulatory agency, risk management, and potential dam damage.

Law 12.334 regulates all dams that meet or exceed any one of the following criteria:

1. The height of the dam (i.e. from the lowest foundation point to the crest of the dam) larger or equal to 15 m;

2. Maximum storage capacity large or equal to 3 million m3; 3. Reservoirs that contains hazardous waste (i.e. industrial, mining) meeting its applicable

requirements; 4. Risk based ranking medium or high regarding losses to the environment, economic loss,

and risk to human life.

The objectives as described in Law No. 12.334 (Presidência da República, 2010) are to ensure compliance with dam safety standards, regulate dam safety requirements during various phases of the dam project, promote monitoring and oversight, institute public involvement, establish technical guidance and foster dam safety culture and risk management.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Law No. 12.334 also emphasizes that dams are classified by risk category, for potential damage associated with and by its volume. As a result, safety inspections shall be established according to the category of risk and potential damage associated with dam.

Brazil’s National Water Agency (ANA) has produced an array of risk and potential damage associated with, so that the dams can be grouped into five classes (A, B, C, D and E) as show in Table 2. In this ranking tool, those that have a higher class, on the scale of risk category and associated potential damage, should draw up a comprehensive plan and perform periodic review of dam safety with greater frequency.

Table 2: Planning and Management Ranking Tool

Potential Damage Potential Risk HIGH MEDIUM LOW HIGH A B C MEDIUM A C D LOW A C E

Source: ANA, 2012

Assessment of potential damage/risk can be measured in relation to: loss to the environment, economic loss and risk to human life. Such classification does not account for the structural integrity of the dam, operational status, flood routing capability, or the current safety condition of the dam (International WaterPower & Dam Construction, 2012).

As per Law No. 12.334, the dam's safety plan shall comprise at least the following information: (a) identify the entity responsible; (b) technical data relating to the deployment of the project, including, in the case of joint ventures, built after the enactment of this law, the project as built, as well as those necessary for the operation and maintenance of the dam;(c) organizational structure and technical qualification of professionals of the dam's security team; (d) manuals of procedures of safety inspections routes and security monitoring and reporting of the dam; (e) operational discharge requirements and devices; (f) an indication of the area surrounding the premises and their surroundings to be sheltered from any use or permanent occupations, except those essential for the maintenance and operation of the dam; (g) emergency action plan; (h) dam inspection reports; and (i) monitoring and inspection surveillance program.

The supervisory agency hence must maintain a registry of dams and requires that entity responsible for the dam be in compliance with the recommendations contained in inspection reports and periodic safety reviews, along with any updated information related to the dam.

The entity responsible for the dams should then (a) provide the resources needed to guarantee the dam safety; and (b) allow the regulatory agency unrestricted access to the dam site and its safety documentation including, reservoir levels records and the levels of contamination of soil and groundwater.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

In sum Law No. 12.334 provides the foundation of the Política Nacional de Segurança de Barragens (PNSB). It emphasizes that the dam safety should be considered in all phases of planning, design, construction, operation, decommissioning and future uses. Furthermore, the public and stakeholders are encouraged to participate, directly or indirectly in the emergency and preventive action plans.

3.0 Regulatory Framework in the United States:

As summarized in Table 1, there are both federal and state dam safety regulations in the United States. Federal guidelines for privately owned hydropower dams are summarized in the Engineering Guidelines for Hydropower Proejcts (FERC, 2010). The guidelines were developed by the FERC in conjunction with the Federal Water Power Act of 1920 as ammended in 1935 and renamed as the Federal power Act. Dams that are owned and operated by the federal government through the U.S. Army Corps of Engineers (USACE) and U.S. Bureau of Reclamation (USBR) are regulated by their respective organizations. State or privately owned dams that do not support hydropower production, including tailings dams, are the jurisdiction of the individual state where the dam is located. Forty nine of fifty states in the U.S. have dam safety regulations; the only exception is the state of Alabama. The state dam safety regulations for each state have been developed in response to specific state legislation associated with dam safety.

U.S. Dam safety regulations typically include a hazard classification system that is used to determine the design criteria for each dam. Hazard is defined as the potential for adverse consequences such as loss of life, property damage, or other adverse impacts. The FERC classifys all dams as either low hazard, significant hazard, or high hazard based on the consideration of the effects of a dam failure during both normal and flood loading conditions. A summary of the characteristics of dams conforming to each hazard potential is provided in Table 3.

Table 3: FERC Hazard Potential Summary

Hazard Characteristics

Low Small storage capacity, located in rural or agricultural areas, failure may damage farm buildings, limited agricultural land, and township or country roads

Significant located in rural or agricultural areas, failure may damage homes, secondary highways, or minor highways; interruption of use or servise of relatively important public utilities; or incremental flooding of structures with possible danger to human life

High Failure may cause serious damage to homes, agricultural, industrial and commercial facilities, important public utilities, main highways, railroads, and loss of human life

Source: FERC Engineering Guidelines, 2010

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Both the USACE and USBR use the same hazard classifications (i.e., low, significant, and high) but use different characteristics to identify the hazard classification for each dam. Specifically, the USBR system utilizes the number of lives in jeopardy and economic loss estimates while the USACE also considers dam height and storage volume to classify their dams.

State dam safety regulations vary for each state but most of them use the same hazard classifications at the FERC, USACE, and USBR.

The hazard classification typically defines the level of inspection, monitoring, engineering review and analysis, and required factors of safety for the loading conditions considered.

For example, all FERC-regulated gravity dams are analyzed for the loading combinations summarized in Table 4.

Table 4: FERC Loading Combinations – Gravity Dams

Case Description

I Usual Loading Combination – Normal Operating Condition

II Unusual Loading Combination – Flood Discharge Loading

IIA Unusual Loading Combination – Flood Discharge plus Ice (if applicable)

III Extreme Loading Combination – Normal Operating Conditions and Earthquake

Source: FERC Engineering Guidelines, 2010

All FERC regulated embankment dams are analyzed for the loading conditions summarized in Table 5.

Table 5: FERC Loading Conditions-Embankment Dams

Condition Slope to be analyzed

End of Construction Upstream and downstream

Sudden Drawdown from Maximum Pool upstream

Sudden Drawdown from spillway crest or top of gates upstream

Steady Seepage with maximum pool Upstream and downstream

Steady seepage with surcharge pool downstream

Earthquake Upstream and downstream

Source: FERC Engineering Guidelines, 2010

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Dams regulated under the USBR, USACE, or the 49 individual states have similar loading combinations to consider. The required Factors of Safety (FS) are based on the loading combination and in some cases, the dam hazard classification.

For example, FERC regulated dams must meet the minimum Factor of Safety summarized in Tables 6 and 7.

Table 6: FERC Minimum FS – Gravity Dams (no cohesion)

Case Minimum FS

I 1.5

II 1.3

IIA 1.3

III 1.3 (post earthquake only)

Source: FERC Engineering Guidelines, 2010

Table 7: FERC Minimum FS – Embankment Dams (no cohesion)

Condition Minimum FS

End of Construction 1.3

Sudden Drawdown from Maximum Pool

>1.1

Sudden Drawdown from spillway crest or top of gates

1.2

Steady Seepage with maximum pool

1.5

Steady seepage with surcharge pool

1.4

Earthquake >1.0

Source: FERC Engineering Guidelines, 2010

For high-hazard, FERC-regulated dams, the engineering guidelines specify that the Owner develop the following information for each dam:

• Supporting Technical Information Document (STID) (update as required);

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

• Emergency Action Plan (EAP) (update as required); • Probable Failure Mode Analysis Report; • Dam Safety and Surveillance Monitoring Plan (update as required) • Dam Safety and Surveillance Reports (yearly) • Dam Safety Inspection Report (new inspection and report by independent engineer every

5 years)

Most states require an EAP and periodic dam safety inspection for high hazard dams. The USACE and USBR of their own internal dam safety program which specify the information required for each dam.

In contract to the FERC’s current dam safety process, the USBR and USACE’s dam safety programs have started to include risk informed decision making into their overall programs. Risk-informed decision-making is the process of using information about risk to assist in decision-making with regard to a wide variety of dam safety activities. This process would include the following considerations: inspection frequencies; instrumentation requirements; additional technical studies; assessment of the impact of uncertainties on the overall level of risk; sufficiency of evidence to support the need for remedial action; evaluation of potential remedial actions; and prioritization of dams. It is probable that risk-informed decision making will be included in future of dam safety regulations in the U.S.

4.0 Regulatory Framework in Canada:

National Dam Safety Guidelines in Canada are published by the Canadian Dam Association (CDA). Regulation of dams, however, is on a province/territory basis. The CDA was formed when the Canadian Dam Safety Association (CDSA) combined with the Canadian National Committee on Large Dams (CANCOLD) in 1997. CDA’s purpose is to provide a forum for the exchange of ideas and experiences in the field of dam safety, and CDA is concerned with technical, environmental, social, economic, legal, and administrative aspects of dams and their safety. (CDA, 2012)

CDA published their first Dam Safety Guidelines in 1995. In 2007 a complete revision to the dam safety guidelines was published. The guidelines include principles applicable to all dams and an outline of processes and criteria for management of dam safety in accordance with the principles. The guidelines are updated and revised as necessary by the CDA Dam Safety Committee. As mentioned above, however, regulation of dams in Canada is on a province/territory basis. Regulations are also different for water supply dams and tailings dams in some of the provinces/territories. Many of the regulations for the provinces/territories refer to CDA Guidelines. A table summarizing dam safety regulations by province/territory in Canada is provided below.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Table 8: Summary of Canadian Dam Safety Regulations by Province/Territory (CDA 2012)

Province/ Territory

Ministry/ Agency

Legislation/ Regulation

Dam Safety Regulations

Guidelines (other than CDA)

British Columbia Water Supply Dams

Environment Water Stewardship

Division

Water Act

Dam Safety Regulation

Inspection & Maintenance -

Plan Submissions

British Columbia Tailings Dams

Energy, Mines & Petroleum Resources

Mines Act

Health, Safety & Reclamation

Code

No

Alberta Water Supply & Tailings Dams

Water Management Water Act

Water Ministerial Regulation

Dam Safety Guidelines

Saskatchewan Water Supply Dams

Watershed Authority

Watershed Authority Act

No No

Saskatchewan Tailings Dams

Environment Assessment Act No No

Manitoba

Water Stewardship Department

Water Res Admin & Water Rights

No (Planned

within 2-5 yrs) No

Ontario Water Supply Dams

Tailings Dams (Construction)

Natural Resources

Lakes & Rivers Improvement

(LRIA)

Ontario Regulation

454/96 Construction

LRIA Guidelines & Criteria

for Approvals

Ontario Tailings Dams (Reclamation)

Northern Development

& Mines

Mining Act No No

Québec (Français) Quebec (English)

Water Supply Dams

l'Environment (Français)

Environment (English)

Sécurité des Barrages

(Français) Dam Safety

(English)

Règlement (Français)

Dam Safety Regulation (English)

No

Québec (Français) Quebec (English)

Tailings Dams

Ressources naturelles (Français)

Natural Resources (English)

La Loi sur les mines (Français)

Mining Act (English)

No No

New Brunswick

Environment & Local Government

Clean Water Act No No

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Table 8: Summary of Canadian Dam Safety Regulations by Province/Territory (CDA 2012) - Continued

Province/ Territory

Ministry/ Agency

Legislation/ Regulation

Dam Safety Regulations

Guidelines (other than CDA)

Nova Scotia

Environment & Labour

Environment Act Regulations

No No

Newfoundland & Labrador

Environment & Conservation

Water Resources Act

No (Planned

within 2-5 yrs) No

Prince Edward Island

Environment, Energy & Forestry

No No No

Yukon Territory

Water Board Water Resources

Section

Waters Act (Yukon)

No No

Northwest Territories

MVLWB

MVRMA Waters Act

No No

Nunavut Territory

Nunavut Water Board

Waters & Surface Rights Tribunal Act

No No

Canadian Federal

Government

Canadian Nuclear Safety Commission

Nuclear Safety & Control Act

Uranium Mines & Mills Reg's.12

No Various

Canadian Federal

Government

Parks Canada Agency

Internal Directive (self-regulated)

No Various

In addition to the Dam Safety Guidelines, nine Technical Bulletins were published by CDA in 2007. The Technical Bulletins provide additional information and provide suggested methodologies and procedures for dam analyses and assessments. A list of the Technical Bulletins is provided below:

• CDA-TB01 Inundation, Consequences, and Classification for Dam Safety • CDA-TB02 Surveillance of Dam Facilities • CDA-TB03 Flow Control Equipment for Dam Safety • CDA-TB04 Public Safety and Security Around Dams (DRAFT) • CDA-TB05 Dam Safety Analysis and Assessment • CDA-TB06 Hydrotechnical Considerations for Dam Safety • CDA-TB07 Seismic Hazard Considerations for Dam Safety • CDA-TB08 Geotechnical Considerations for Dam Safety

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• CDA-TB09 Structural Considerations for Dam Safety

5.0 Conclusions:

Law No. 12.344 addresses the need for requirements and responsibilities of dam safety in Brazil. Our evaluation of existing dam safety regulations in the U.S. and Canada indicate that the Brazilian Dam Safety requirements and responsibilities are comparable. Brazilian regulations are similar to US regulations for hydropower facilities since there is a national regulator for all facilities. Brazilian regulations differ from Canadian regulations and regulations for US non-federal, non-hydropower dams since those are regulated on a state or provincial basis in the US and Canada.

REFERENCES:

Presidência da República, 2010. Política Nacional de Segurança de Barragens, Lei No 12.334 de 20 de Setembro de 2010, Casa Civil- Subchefia para Assuntos Jurídicos, Brazil.

ANA, 2012. Guia Rápida sobre Planos de Segurança de Barragens, Agência Nacional de Águas, Brazil. International Water Power & Dam Construction, 2012. Safe and Secure- Risk Based Techniques for Dam Safety. http://www.waterpowermagazine.com/story.asp?storyCode=2040340 , Accessed 23 May, 2012. Federal Energy Regulatory Commission, 2010, Engineering Guidelines for the Evaluation of Hydropower Projects, Washington, D.C. CDA, 2012 “Canadian Regulations” http://www.cda.ca/cda_new_en/regulations/regulations.html Accessed June 12, 2012.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.

Mr. Mario Scaletta is the Vice President for Global Business Development at Rizzo Associates. Mr. Scaletta has over 26 years of international experience in consulting services in the area of hydrology and environmental monitoring in Europe, North America, South America, Africa, Middle East, and Australia. He has also worked actively in the planning, coordinating, and/or managing of a variety of water resources related projects worldwide. Dr. Fehmida Mesania is a registered Professional Engineer experienced in water resources engineering, specializing in modeling with a focus on hydrology, oceanography, coastal modeling, and watershed and stream water quality. She directs a broad range of coastal and inland flooding projects, including evaluating impacts of cooling water systems (i.e. thermal plume, recirculation). As Project Supervisor, Dr. Mesania has been responsible for project planning, budgeting and scheduling, staff management, and client interface for several nuclear-related projects. Mr. John Osterle is a Registered Professional Engineer with over 27 years of experience on a variety of geotechnical, foundation, structural and civil engineering projects. He regularly participates in the design, analysis, permitting, and construction of industrial facilities, power plants, dams and transportation facilities. His experience also includes proposal preparation, senior author review of geotechnical reports prepared by others and deep and shallow foundation construction inspection. Mr. Jared Deible is a Managing Principal with Paul C. Rizzo Associates, Inc. (RIZZO) and is a registered Professional Engineer. He has worked on a variety of geotechnical, foundation, and civil engineering projects including dams, retaining walls, and foundations. His experience includes design and analysis for numerous dam and water resources projects including remediation, upgrades, and new construction. He has prepared design drawings, bid documents, and cost estimates for remediation or new construction for several dams.

Presented at Hydrovision Brazil, Rio de Janeiro, September 25-27, 2012

© Paul C. Rizzo Associates, Inc.