TABLE OF CONTENTS

1 Purpose.........................................................................................................................1

2 Sector and client context..............................................................................................32.1 The importance of dams for Brazil’s society........................................................32.2 The Dam Safety Law.............................................................................................42.3 The National Water Agency..................................................................................62.4 The Client’s request..............................................................................................82.5 The World Bank’s engagement on dam safety in Brazil......................................8

3 The Dam Safety RAS...................................................................................................93.1 Design of the RAS................................................................................................93.2 RAS processing...................................................................................................103.3 3.3 RAS Team.....................................................................................................11

4 Results........................................................................................................................124.1 Outputs................................................................................................................12

4.1.1 Institutional assessment................................................................................124.1.2 Classification of Dams..................................................................................134.1.3 Dam Safety Manuals.....................................................................................154.1.4 The National Information System on Dam Safety........................................174.1.5 The Annual Dam Safety Report....................................................................184.1.6 Specialized Trainings....................................................................................184.1.7 Dam Safety Panel of Experts........................................................................204.1.8 Convening services.......................................................................................20

4.2 Outcomes.............................................................................................................21

5 Lessons and recommendations...................................................................................265.1 For the Government of Brazil.............................................................................265.2 For ANA..............................................................................................................285.3 For the World Bank Group.................................................................................29

6 Annexes......................................................................................................................32

Annex 1 - RAS chronogram (missions, workshops, trainings)........................................33

Annex 2 - List of RAS team at design and implementation (name, institution, title/ expertise)..........................................................................................................................34

Annex 3 - The RAS in numbers.......................................................................................36

Annex 4 - List of RAS Products and corresponding level of effort.................................37

Annex 5 - List of missions (number, dates, location, main topics/ mission objectives). .38

Annex 6 - List of Client team members...........................................................................40

Annex 7 - List of states and institutions involved in the RAS.........................................41

LIST OF TABLES

Table 1. Components of the RAS team with their respective number of people involved and estimated total level of effort (man-months).......................................10

Table 2. Dam classification matrix based on categories of risk and potential hazard...13

Table 3. Application of the CNRH guidelines to the universe of dams regulated by ANA .........................................................................................................................13

Table 4. Essential elements of the three strategic pillars of a national dam safety program.....................................................................................................................21

LIST OF FIGURES

Figure 1. Dam use in Brazil and corresponding regulatory jurisdiction............................2

Figure 2. Brazil’s institutional framework for dam safety.................................................4

Figure 3. Location of dams under ANA’s jurisdiction.......................................................5

Figure 4. Linkages between the Dam Safety Law and the tasks and products to be developed under the RAS...........................................................................................9

Figure 5. The SNISB and its relation with the different dam safety regulatory entities.. 17

Figure 6. Training on dam safety provided by the USACE-USGS..................................18

Figure 7. The Brazilian states and institutions involved in the Dam Safety RAS...........20

Figure 8. Progress in the implementation of the dam safety law, measured for the twelve essential elements, and scored between 0 (not in place) and 3 (fully satisfactory).. 22

Figure 9. Risk reduction measures applied to a portfolio of dams...................................23

Figure 10. Cross-impact analysis of the essential elements of Brazil’s national dam safety program...........................................................................................................24

ABBREVIATIONS

ANA - Brazil’s National Water Agency

ANEEL - Brazilian Electricity Regulatory Agency

CAESB – Water Supply and Sanitation Company of the Federal District

CIA – Cross Impact Analysis

CNRH - National Water Resources Council

COBA - Engineering and Environmental Consultants

CODEVASF - Development Company for the São Francisco and Parnaíba Valleys

COGERH - Ceará State Water Resources Management Company

DNOCS - National Department for Works Against Droughts

DNPM - Brazilian Mining Licensing Authority

DPA - Potential Associated Damage

GEFIS – ANA’s Department for Monitoring of Dam Safety and Public Services

GESER – ANA’s Department for Regulation of Dam Safety and Public Services

IA - Institutional Assessment

IBAMA - Brazilian Institute of Environment and Renewable Natural Resources

LNEC - National Laboratory for Civil Engineering of Portugal

PNSB - National Dam Safety Policy

PROAGUA – Brazil Federal Water Resources Management Project

PROGESTÃO – Brazil Program of the National Pact for Water Management

RAS - Reimbursable Analytical and Advisory Services

SNISB - National Dam Safety Information System

TA - Technical Assistance

TTL – Team Task Leader

USACE - US Army Corps of Engineers

USGS - US Geological Survey

VC – Video Conference

1 PURPOSE

1. Brazil’s National Water Agency (ANA), entrusted in mid-2011 with a new mandate of regulating authority for the safety of multipurpose dams on federal riversi, requested that the World Bank provide technical assistance (TA) to support it in taking up this new responsibility. ANA approached The World Bank given its experience with dam related investments and capacity strengthening worldwide.

2. Three scoping missions were undertaken (August 2011, November 2011 and May 2012) to agree with ANA on the terms of reference of a Reimbursable Analytical and Advisory Services (RAS) on dam safety. Subsequently, in July 2012, a legal agreement between ANA and the World Bank was signed for TA and capacity strengthening, encompassing a continuous period of three years (July 2012-June 2015).

3. The objective of the Technical Assistance was to provide technical support to ANA to: implement the Dam Safety Law, through the development of norms,

standards, regulations, guidelines and manuals; design of the National Dam Safety Information System (SNISB); provide capacity strengthening in dam safety inspections; reporting; and

communication of findings to the authorities and the public, and provide capacity strengthening and training to ANA, and its key partners, on

dam safety management.

4. Additionally, the RAS had the objective of pre-assessing the capacity of ANA to take on the new madate assigned by the Law as well as other insitutions at federal and states levels that received new responsibilities and need to interact with ANA in its function as coordinator of SNISB. Before completion of the RAS contract, the Bank made an evaluation of how the country and ANA specifically have advanced in the implementation of the Law over the past years and since the beginning of Bank’s support. The methodology applied for the evaluation is presented in section 4.2 of this report.

5. This internal completion report aims to inform World Bank management and interested colleagues about the RAS provided to ANA, the main Client, which requested analytical, advisory, and convening services to support the agency in the implementation of its mandates given by Brazil’s 2010 Dam Safety Law.

6. The second section of this report provides the rationale for the request for technical assistance (TA) by ANA. The third section describes the Dam Safety RAS (henceforth referred to as ‘the Project’) in terms of objectives, type of analytical and advisory services, the composition of the Bank team, as well as the different partners involved.

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7. The fourth section summarizes the main deliverables provided to ANA during the period of the Project (October 2012-February 2015). It is important to note that most of the deliverables are written in Portugueseii. All of them are available in WBDocs. This report and its annexes are written in English and provide only a brief summary of each deliverable. The fifth section presents the main conclusions, lessons learned and recommendations for ANA, other key stakeholders involved in dam safety, and for the World Bank Group.

8. Finally, the annexes provide: (i) RAS Chronogram, (ii) Bank Team at Design and Implementation, (iii) The RAS in numbers, (iv) List of RAS Products and corresponding level of effort, (v) List of missions, (vi) List of Client Team Members, and (vii) List of States and Institutions involved in the RAS.

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2 SECTOR AND CLIENT CONTEXT

9. Brazil is a presidentialist federative republic, constituted by the union, 26 states, 1 federal district and 5561 municipalities, each one with its own government. Although Brazil is considered to be rich in water availability, having 12 per cent of the world’s fresh water availability, this availability significantly differs from one region to another. Furthermore, there are important seasonal variations, and problems of water supply for different uses. These problems result, mainly, from high demands in relation to the availability and poor water quality due to pollution (ANA, 2007). Regarding water use distribution among sectors, the irrigation represents 69 per cent of the total water demand (ANA, 2007). The remaining 31 per cent is divided among urban supply (11 per cent), animal needs (11 per cent), industrial uses (7 per cent) and rural supply (2 per cent).

10. Water resources authority, according to the 1988 Federal Constitution, is divided between the union and the states. Also, ‘lakes, rivers and any other streams in its lands of domain, or which flow through more than one state, or are boundaries with other countries’1 belong to the union. Water resources management in Brazil is compared to the management of international transboundary river basins. Therefore, all federative levels need to work cooperatively in order to overcome conflictual intergovernmental relations and achieve integrated water resources management.

11. The National Water Resources Policy of Brazil, established by the Water Law in January 1997, aims to ensure adequate water availability for present and future generations, as well as to prevent and protect against critical hydrological events, through rational and integrated water resources management. The Law has established five management instruments to support the implementation of National Policy. These are river basin plans, water quality classification, water permits, water use charges, and information systems.

2.1 The importance of dams for Brazil’s society

12. Dams have been built in Brazil mostly since the last quarter of the 19th century to supply water for various purposes: initially for human and livestock consumption in the Northeast region to mitigate the impact of drought, and progressively to promote the development of irrigated agriculture and the production of hydroelectricity throughout the country. Figure 1 shows the importance of dams for Brazil: over 13,000 dams, of which 11,748 for multiple purposes and 1,261 exclusively for the production of hydroelectricity. The latter account for nearly 67% of the total installed capacity in the country. A small number of dams are designed to contain industrial wastes, and over 600 dams for piling up mining

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tailings. Notwithstanding the benefits that dams provide to society at large, the risks that dam failures pose to human lives, the economy, and the environment cannot be overlooked.

Figure 1. Dam use in Brazil and corresponding regulatory jurisdiction (Source: Annual Dam Safety Report, ANA, 2011)

2.2 The Dam Safety Law

13. Before 2010, no dam safety legislation existed in Brazil, at either the federal or state level. The Law 12.334 of September 20, 2010 (henceforth referred to as ‘Dam Safety Law’, or ‘The Law’) became the landmark legislation in the field of dam safety. It establishes the National Dam Safety Policy (PNSB, by its Portuguese acronym); defines which dams should be regulatediii; assigns legal responsibility for dam safety to the owner of the dam; creates the National Dam Safety Information System (SNISB, by its Portuguese acronym); and assigns regulatory authority to specific institutions.

14. The fundamental principles of the National Dam Safety Policy are:

the safety of the dam must be taken into consideration at the following stages: planning, design, construction, first fill and spill, operation, decommissioning and future uses;

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State non-hydro multiple use dams

11617

Ind. Waste Dams256

Mineral Waste dams264

Hydropower dams1261

Federal non-hydro multiple use dams

131

Other1912

Total - 13,529 dams

State Water Resources Agencies

ANA

Licensing Authorities in MG & PA

DNPM

ANEEL

the population must be informed and encouraged to participate either directly or indirectly in preventive and emergency activities;

the dam owner is legally responsible for dam safety and must take the appropriate measures to guarantee it;

to promote social participation and control mechanisms, and the safety of a dam has a direct influence on its sustainability and on the

extent of its potential social and environmental effects.

15. The Dam Safety Law highlights the fact that the dam owner is responsible for the dam safety; this implies its regular inspection and the production of the pertinent documentation, as well as the implementation of the recommendations deriving from them.

16. The Brazilian regulatory framework on dam safety is quite fragmented. The implementation and enforcement of the Law is a responsibility of the federation, the states, and the federal district:

1. Dams destined for multiple uses, where hydro-electricity is not the main use, must be regulated by ANA, if they are situated on federal rivers. If they are situated on state rivers (i.e., rivers that remain within state boundaries), they must be regulated by the water resources management authority of the same state; 2. Dams where hydro-electricity is the main use must be regulated by the Brazilian Electricity Regulatory Agency, ANEEL;

3. Tailing dams used in the mining industry must be regulated by the Brazilian Mining Licensing Authority, DNPM;

4. Industrial waste dams must be regulated by the environmental licensing authority (i.e. IBAMA at federal level, and the state environmental authority at state level).

17. This totals forty-seven dam safety regulating entities, and thus implies a challenging and complex institutional and administrative framework (Figure 2), , which poses a huge challenge: to build compatible regulations and procedures iv. In addition, the division of dams among state and federal regulators is quite uneven. States, which have fewer resources, are responsible to regulate a larger number of dams (see Figure 1).

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ANA

Dam Owners (public or private)

Regulatory Agencies

ANA

States

ANEEL DNPM

IBAMA

States

Civil Society

Hydro-electric Mining Industri-

al waste

Dam Safety Plans, including:•O&M Manual•EAP•Inspection Reports•Periodic Review

Dam Safety Actions

(routine & non-routine)

RASB

SNISB

CNRH

Multiple Use

Oversight, Registration and Classification

Regu

latio

n

Execute Produce

Provide data and information

Advises Congress

Reports to Establishes directives

Coordinates

Disseminates

Figure 2. Brazil’s institutional framework for dam safety (Source: Product 1 – RAS Work Plan).

2.3 The National Water Agency

18. The National Water Agency (ANA) was created in 2000 as a government agency under a special regime, with financial and administrative autonomy, linked to the Ministry of Environment. ANA is entrusted with the implementation of the National Water Resources Policy established by Law 9.433 of January 1997; it authorizes and regulates water uses on federal rivers, and mediates conflicts among water users. It has a collegiate Board of Directors composed by five members: the Director-President, and four Directors.

19. The Dam Safety Law places ANA at the center of dam safety regulation, by assigning several key responsibilities to it. Firstly, ANA must regulate the safety of those multipurpose dams where hydro-electricity is not the main use, on federal rivers. This represents over 130 dams (Fig. 3). Secondly, it must promote coordination among all dam safety regulators (e.g. to ensure consistency in their respective implementation of the Law). Thirdly, it has to design, implement and maintain the National Dam Safety Information System (SNISB). Finally, it is responsible for elaborating the Annual National Dam Safety Report.

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Figure 3. Location of dams under ANA’s jurisdiction (Source: Annual Dam Safety Report, ANA, 2011)

20. To respond to these new mandates imposed by the Law, ANA created two new Departments in 2011: (i) the Department for Regulation of Dam Safety and Public Services (GESER), to lead the agency’s efforts on dam safety regulation, and (ii) the Department on Monitoring of Dam Safety and Public Services (GEFIS), to lead its efforts on dam safety monitoring and enforcement.

21. In 2011, these Departments included a total of about fifteen professionals, many of which were newly recruited civil servants that needed capacity strengthening and on the job training. That situation was very critical in light of ANA’s very low in-house expertise on dam safety. Annex 6 lists the Client staff directly involved in the RAS.

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2.4 The Client’s request

22. In 2011, ANA requested the Bank’s technical support to achieve the following objectives:

implement the Dam Safety Law, through the development of norms, standards, regulations, guidelines and manuals;

design of the National Dam Safety Information System (SNISB); capacity strengthening in dam safety inspections; reporting; and

communication of findings to the authorities and the public, and capacity strengthening and training to ANA, and its key partners, on dam

safety management.

2.5 The World Bank’s engagement on dam safety in Brazil

23. For decades, the Bank has been a long-standing partner of GoB in the water sector, and has financed a multitude of projects, both at the federal and the state level, with dam components. Through the federal project PROAGUA, for example, the Bank has helped to provide adequate TA for the planning, construction and maintenance of dams, and to elaborate adequate operation and maintenance procedures, training of staff in dam surveillance, and elaboration of emergency preparedness plans, among others.

24. At the time of ANA’s request, the Bank had a worldwide portfolio of over 110 projects with a significant dam component, several of which focused on strengthening the client's dam safety regulatory framework and human capacity on risk assessment and dam safety. Countries like China, India and Indonesia had benefited from the Bank's technical and financial expertise to help design and implement specific dam safety projects, which were viewed to provide potentially valuable lessons for Brazil. The Bank's analytical work on dam safety, including the multi-country comparative analysis of dam safety regulatory frameworksv, was also considered of great value added. Finally, the Bank’s collaboration with US government agencies specialized in dam safety such as the US Army Corps of Engineers (USACE) was also seen as a great plus by the Client.

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3 THE DAM SAFETY RAS

3.1 Design of the RAS

25. The Bank responded to the Client’s request by proposing a Reimbursable Analytical and Advisory Services (RAS). This RAS was designed as a comprehensive, medium-term (three years) TA program led by the Bank, to help ANA take up its mandates given by the Dam Safety Law and increase the capacity of its staff.

26. However, considering that at the time, hardly any RASs had been implemented in Brazil, the team had few or no lessons learned to take into account in the design of this RAS, in particular on the scope and extent of Bank participation, and risks.

27. The RAS was designed around three Components:

Component 1: Project Inception. This included (i) a detailed work plan, and (ii) an institutional assessment of ANA and a few other key dam safety regulators, which would serve as a baseline for the RAS, and to design the necessary capacity strengthening and training activities.

Component 2: Dam safety tools and instruments. This was the core of the technical expertise provided by the RAS on topics such as: (i) dam classification, (ii) design of the SNISB, (iii) dam safety management (regulation, manuals, guidelines), and (iv) annual reporting.

Component 3: Capacity strengthening and training. This referred to technical support to ANA’s staff and included: (i) quality review of regulations drafted by ANA, (ii) revision of reports produced by dam owners and operators, (iii) support to dam safety inspections, and (iv) specialized training to ANA and its key partners.

28. It was implicit that a large part of the RAS would be contracted out, and have to be supervised by the core Bank team: (i) most of Component 2, to an international consultancy firm specialized in dam safety; and (ii) the training part of Component 3, to specialized government agencies such as the US Army Corps of Engineers (USACE). The remaining part would be carried out by either Bank staff, national and international individual experts, and consultancy firms, under the guidance of the core Bank team.

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29. A total of fifteen deliverables or products were defined (Fig. 4). They can be distinguished in four types: (i) dam safety manuals and guidelines, to be used by ANA, but also to serve as a countrywide reference for dam safety regulating entities, dam owners and operators, engineers and technicians; (ii) technical reports, for ANA’s use mainly, such as the conceptual design of the SNISB, and the institutional assessment on dam safety; (iii) the design and organization of workshops, for ANA and its key partners, and the corresponding workshop reports; and (iv) the design and organization of high level trainings, for ANA and its key partners, and corresponding training material and report.

Articles1 to 3

•Definitions and Objectives•Set the criteria for regulated dams (15m, 3m m3, hazardous substances or high hazard) - Art.1

Articles4 & 5

•Establish that the owner/operator is responsible for Dam Safety•Establish regulatory roles

Article 6 •Defines Dam Safety instruments, detailed in following articles

Article 7 •Instructions for classification system

Articles8 to 12

•Instructions for Dam Safety Plan•Instructions for EAP, and inspections•Instructions for periodic revisions

Articles13 & 14 •Instructions for SNISB.

Article 15 •Instructions for communication

Mandates and responsibilities

CNRH - regulation pending

Regulator - Art.16= ANA for non -hydro dams

published regulations on PSB and Insp., 1 pending on EAPs

ANA - Art.20SNISBInstitutional coordinationAnnual Dam Safety Report

1.1 P1 Workplan

Tasks Products

1.2 P2 Institutional Assessment

2.1 P3 & 4 Classification systemP6 ANA dams classification

P7 Dam Safety policy & Operations Manual

P8 Owner/operator manualP10 Small dams strategyP13 Dam Safety Worskhop

2.2

2.3 P9 Annual Reporting

2.4 P11 SNISB designP12 SNISB Workshop

1.3 P5 Inception Workshop

2.5 P14 Wrap-up Workshop

3 P15 Final Report

De facto regulatory rolesANA for non hydro federal damsStates for non-hydro state damsANEEL for hydro damsDNPM, IBAMA, etc. for tailing dams

Law ContentLaw Articles

Figure 4. Linkages between the Dam Safety Law and the tasks and products to be developed under the RAS (Source: RAS Work Plan)

3.2 RAS processing

30. The RAS was processed using the former guidelines for fee-based services (FBS) in the LCR region. The overhead applied to the costs was negotiated down from the standard 50% to 35% of total costs. The contract amount was US$ 3,640,537 including overhead. The legal agreement was drafted exclusively in Portuguese, and signed by the Bank’s Country Director and ANA’s Director-President.

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Bank’s resource management advised to limit the number of payments: a total of seven payments were included in the legal agreement, ranging from 5% to 30% of the contract amount per payment.

3.3 RAS Team

31. The RAS team at design was a reduced team of four Bank staff. The contribution of the Bank’s then Lead Dam Specialist, Alessandro Palmieri, was essential in shaping the design of the Project, both on content and the required overall team composition for the implementation phase. The Bank’s core team was formed by two co-TTLs based in Brasilia, Erwin De Nys and Paula Freitas, and a YP providing support from DC during the first year of the Project, Richard Abdulnour. At early implementation, the core team was complemented with the hiring of an ETC based in Brasilia and fully dedicated to the Project, Inês Persechini.

32. At implementation, the RAS team grew substantially with the hiring of: (i) STCs, (ii) the international consortium COBA (Brazil) - LNEC (Portugal), selected through ICB for a contract amount over US$ 1.4 million, and (iii) USACE-USGS. The core team strongly relied on the Bank’s program assistants to help with the heavy logistics of the RAS (i.e. high number of missions, VCs, workshops and trainings, contract management, etc.). Ad-hoc support was provided by several Bank colleagues on several technical issues, including quality review.

33. The RAS involved a large and diverse team, with an estimated total level of effort of 208 man-months over the three years of its implementation. This corresponds, on average, to 1.5 Bank staff working with a team of six specialists, continuously dedicated to this TA.

Table 1. Components of the RAS team with their respective number of people involved

and estimated total level of effort (man-months).

Number of people involved Total number of man-months

Bank Core Team 4 53.7Technical Support 6 10.9Program Assistants 4 9

STCs 6 17.3International Consultancy Firm

23 103.5

National Consultancy Firm 2 2USACE-USGS Trainers 12 5.6Interpreters-Translators 5 6

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Total 62 208

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4 RESULTS

34. This chapter provides a brief description of the main results of the RAS. The first part of it deals with the main outputs, e.g. reports, which were requested by and delivered to the Client. It summarizes the content of each report, its utility for the Client and its partners. The second part goes beyond the output level and describes outcomes and impacts; in other words, the institutional change that the RAS activities have brought about, in terms of the Client’s people, procedures and policies related to dam safety. The next steps taken by the Client, as well as the extent to which the Bank’s advice has been incorporated in its planning and routine activities, are also described in this second part.

4.1 Outputs

35. The knowledge and data generated by the RAS are captured in the form of a large amount of reports; a total of 25 have been delivered to the Client, with an average of 75 pages main text and 150 pages annexes. They are described below in only a few words, along the main lines of the analytical and advisory services provided: (i) institutional assessment of ANA, (ii) classification of dams, (iii) National Information System on Dam Safety, and (iv) Annual Report on Dam Safety. The convening services provided by the RAS through trainings and workshops are also briefly presented. The detailed list of reports, with their respective level of effort, can be found in Annex 4.

4.1.1 Institutional assessment

36. The institutional assessment (IA) represented the baseline of the Project. It was undertaken by a team of three individual short-term consultants (i.e., water resources engineer and lawyer, dam safety specialist, and IT specialist). Its main objective was to evaluate ANA’s capacity to deliver on the mandates imposed by the Dam Safety Law, and provide recommendations on institutional strengthening. The evaluation also covered other dam safety regulators at federal level (i.e. ANEEL, IBAMA, and DNPM) and state level (i.e. six states out of twenty-seven); as well as four large dam owners/ operators (i.e. DNOCS, CODEVASF, CAESB, COGERH)vi.

37. The IA highlights the lack of sufficient workforce qualified to carry out the inspections (e.g. regular inspections, periodic reviews) and documentation (e.g. dam safety plans, emergency action plans) required by the Dam Safety Law as a major bottleneck, both within ANA as for the major part of the dam safety regulators, and owners/ operators. There is a deficiency of mid-career engineers,

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calling for long term capacity strengthening and training efforts to reduce this gap on the labor market.

38. The IA recommends strengthening ANA’s articulation role: internally among the different departments in ANA involved directly and indirectly with dams; externally, with the other dam safety regulators, as well as the entities of the National Protection and Civil Defense System. It also highlights the need to secure sufficient financial resources at federal and state level, in order to address priority dams in high risk conditions, and to undertake the rehabilitation and modernization of dams required to guarantee their safety.

39. On the side of the dam owners, the IA points to a different degree of implementation of the Dam Safety Law according to the revenue produced. The wealthier dam owners, such as hydropower (with a long tradition in Brazil) and mining, are more advanced in the implementation of dam safety procedures, and therefore, have a higher level of compliance. On the other hand, multiple use dams, which encompass irrigation and water supply, are owned by either public agencies or small entrepreneurs. They usually do not have the sufficient resources (human and financial) to comply with the requirements of the Dam Safety Law.

4.1.2 Classification of Dams

40. The RAS supported ANA in classifying the dams it has to regulate, as required by the dam safety law. Seven professionals from LNEC/COBA and two quality reviewers provided this technical support. The work consisted in, firstly, applying the generic guidelines issued by a resolution of the National Water Resources Council (CNRH) for all dams (i.e. hydro-electric, multi-purpose, tailing dams etc.) in Brazil (henceforth the ‘CNRH guidelines’) to the universe of dams that ANA is responsible forvii.

41. The CNRH guidelines consist in classifying a dam according to its risk and potential hazard, and results in five classes (A to E) according to Table 2. The risk category is evaluated according to several parameters, including: (i) technical characteristics of the dam, (ii) conservation state of the dam, and (iii) the availability of key documents such as the dam safety plan. Potential hazard is based on the impacts resulting from a possible dam breach, defined as: (i) loss of life, (ii) environmental losses, and (iii) economic losses. A punctuation system taking into account the weight of the different parameters determines whether the risk and potential hazard categories are classified as low, medium or high.

42. Depending on the classification of the dam, the dam owner/ operator must comply with a series of obligations, such as the presentation of a dam safety plan, the dam safety emergency action plan, and frequency of inspection visits.

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Table 2. Dam classification matrix based on categories of risk and potential hazard (Source:

ANA Resolution # 91, 2012)

Dam classification Potential hazard category

High Medium Low

Risk category

High A B C

Medium A C D

Low A C E

43. The application of the CNRH guidelines to the universe of dams regulated by ANA resulted in classifying all dams as high potential hazard (in other words, category A, see dark blue column in Table 3). One reason for this is the high weight given by the CNRH guidelines to loss of life: one person living downstream of the dam and potentially affected by a dam failure is sufficient to classify the dam as high potential hazard.

Table 3. Application of the CNRH guidelines to the universe of dams regulated by ANA (Source:

Produto 6: Classificação de barragens reguladas pela Agencia Nacional de Aguas)

Dam classification Potential Hazard Category

High Medium Low Total

Risk Category

High A [56 dams] B [0] C [0] 56 dams

Medium A [48 dams] C [0] D [0] 48 dams

Low A [9 dams] C [0] E [0] 9 dams

Total 113 dams 0 dams 0 dams 113 dams

44. The Client then requested a critical analysis of the generic CNRH guidelines, in order to make them more specific to the multi-purpose dams regulated by ANA. This resulted in a modified dam classification method, incorporating additional criteria, adjusting weight factors, etc. The interesting finding is that when this modified classification method was applied to ANA’s dams, the final result was not significantly different. This is mainly related to lack of information (e.g. absent dam documentation; poor satellite imagery to estimate downstream impacts). That results in a high punctuation of the different parameters and, ultimately, a high risk and potential hazard category. Hence, a major

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recommendation to ANA was to enhance the available information in order to fine-tune the dam classification results in the future.

45. Consequently, ANA communicated the results of the dam classification to some of the corresponding dam owners/ operators, and the implications for them. The method defined by the RAS will likely be replicated both by ANA to other dams. ANA will also make this methodology available to other dam safety regulating entities.

46. The dam classification method and its application to ANA’s dams are described in detail in two comprehensive reportsviii. It includes the methodology for estimating the downstream area affected by a possible dam break, the presentation of estimated downstream inundation maps and associated impacts for each of the dams regulated by ANA. A key input to the discussions on dam classification was formed by an overview of national and international (e.g. Argentina, Spain, New Zealand, South Africa, Australia, Canada, Portugal, USA) best practices on dam classificationix. The latter was prepared by an expert of the US Army Corps of Engineers, entity hired by the Bank to provide institutional support and specialized trainings (see section 4.1.6).

47. The overview presents the results of the application of CNRH classification criteria, and proposed modified classification system, according to the risk category and potential associated damage (DPA). Emphasis was put on the sources and analysis of the quality of the available information, as well as to a critical analysis of the results of the classification, resulting in the proposition of some additional criteria. The methodology application was systematized for the sake of avoiding subjectivity in as much as possible. The results include the data to be incorporated in the National System Dam Safety Information (SNISB).

4.1.3 Dam Safety Manuals

48. The client requested analytical and advisory support in the elaboration of manuals intended to help different audiences involved with or having responsibility for the safety of dams to comply with the Dam Safety Law. Three main audiences were targeted: (i) ANA and other regulatory entities, (ii) dam owners and operators, engineers, technicians, and water resource managers, and (iii) individuals involved with or having responsibility for the safety of small dams. Seventeen professionals from LNEC/COBA and four quality reviewers provided this technical support.

49. The Policy and Practice Manual for ANA and Regulatory Entitiesx explains the role of ANA, as well as other dam safety regulators, in the implementation of the National Dam Safety Policy. It covers the main procedures to be developed by such entities, relating to: register of dams, classification, regulation, enforcement, procedures in case of emergency, preparation of the annual dam safety report, use of the National Information System on Dam Safety (SNISB),

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education and communication, and evaluation of institutional performance. The content of this manual considered international and national best practices on dam safety regulation and functions of regulatory entities.

50. The Policy and Practice Manual for Dam Operatorsxi provides guidance to dam owners and operators to comply with the dam safety legislation, in particular their obligation to provide regulators with a Dam Safety Plan. This manual consists of four volumes, referring to the emergency action plans (Volume I), the safety inspections (Volume II), the periodic review of dam safety (Volume III), and a set of standard terms of references designed to assist the dam owner/ operator to contract special professional services (Volume IV). The latter terms of reference provide guidance to the dam owners on the contracting of external expertise to: prepare the emergency action plan, carry out the regular inspection of dam safety, special inspection of dam safety and periodic review of dam safety.

51. The Orientation Manual for Dam Operatorsxii provides guidance to dam owners and operators on best practices along the various stages of the dam life cycle, namely, planning and design; construction and first filling; operation and decommissioning. It consists of three volumes: preparation of the dam project (Volume I), construction (Volume II), and operation and maintenance, and dam instrumentation (Volume III). The latter guides the operator to: (i) develop a manual of procedures, (ii) plan safety inspections, maintenance and monitoring, and (iii) elaborate a dam safety report; and (iv) establish and record operating rules of the dam discharge devices and all other records that are part of the Dam Safety Plan. The audience of these manuals consists not only of dam operators, but also construction companies, project designers, technicians responsible for the elaboration of the Dam Safety Plan, and more generally, individuals and institutions involved in dam safety issues.

52. The Safety Manual for Small Damsxiii aims at providing guidance to operators and owners of small dams on the different operations that need to be carried out during the different stages of the life cycle of the dam. Small dams are minor dams which do not meet the criteria established by the Dam Safety Law; they are generally of small size and mostly located in rural areas. Safety conditions of small dams are generally less than satisfactory due to several reasons, including lack of appropriate design and engineering standards in construction. Lack of adequate operation and maintenance is also another typical problem, due both to lack of funds and to an inadequate safety management. International experience, including in Brazil, shows that the number of incidents peaks in this class of dams. Albeit ANA is not legally bound to regulate such dams, the Bank advised it to look at strategic options for managing risk associated with the non-regulated dams, and play a protagonist role on this matter. This manual contains

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information similar to the Orientation Manual for Dam Operators, but in a more simplified and more user-friendly language.

53. The above manuals benefited from comments made by a restricted audience of regulators (e.g. ANA, ANEEL) and operators (e.g. DNOCS, CODEVASF), as well as by the quality reviewers hired by the Bank, before delivering them to the Client. Subsequently, the Client submitted the Orientation Manual for Dam Operators for a public consultation, with the intention to make them available publicly; ANA aims to follow a similar process for all the other manuals.

4.1.4 The National Information System on Dam Safety

54. The National Information System on Dam Safety (SNISB) is a computerized platform that aims to record and report on the safety conditions of regulated dams throughout the country, and allow monitoring the progress of implementation of the National Dam Safety Policy. It is one of the main instruments of the National Dam Safety Policy, with ANA being responsible for its design, implementation and management.

55. Its basic principles are: (i) decentralization of data and information production and input, (ii) unified coordination of the system, and (iii) access to information to society. The responsibility for keeping the information available and updated in the SNISB belongs to the regulatory entities, either federal or state, which are responsible for ensuring that dam owners comply with the dam safety regulations. Dam owners/ operators will be the main source of information to the system.

56. The RAS supported ANA with the design of the SNISB. Three professionals from LNEC/COBA and two quality reviewers provided this technical support. The work adopted a strategy based on a modular concept, prioritizing the following modules: (i) entities (i.e. regulator or owner/ operator), (ii) dam register, (iii) dam classification, (iv) dam safety plan, (v) extreme events, and (vi) dam safety report. The RAS outputs consisted of detailed technical specifications, so-called use cases, and a prototype of the SNISBxiv; the next step being the hiring of a specialized software engineering firm by ANA to develop the SNISB as an operational software product. It must be noted that the IT assessment that was made as part of the institutional baseline of the Project, provided substantial input to the design of the SNISB.

57. Once implemented, the SNISB will consist of a national register of dams in Brazil, which consolidates the registers of all dam safety regulatory entities throughout the country (Figure 5). The system will comprise the collection, processing, storage and retrieval of information and should include dams under construction, in operation and decommissioned. It will serve key functions such as: (i) support ANA’s elaboration of the annual dam safety report, (ii) help dam safety regulatory entities in their regulation and enforcement tasks, and (iii)

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allowing communication with civil society about the safety conditions of regulated dams across the country. It will be accessible through ANA’s website.

Figure 5. The SNISB and its relation with the different dam safety regulatory entities. (Source: Produto 11: Sistema Nacional de Informações sobre Segurança de Barragens).

4.1.5 The Annual Dam Safety Report

58. The Dam Safety Annual Report is a key instrument of the National Dam Safety Policy, to track, monitor, promote and influence its implementation countrywide. The Dam Safety Law provides that it is up to ANA to annually coordinate its preparation, and the National Water Resources Council to analyze it for its subsequent submission to the National Congress. ANA coordinates the preparation of the Report, based on the information received from all other dam safety regulatory entities. The production of the Report should be managed through the SNISB, once operational.

59. ANA requested the Bank’s technical support to help it with a critical analysis of the first (2011) annual dam safety report, and recommendations for improvement. Four professionals from LNEC/COBA and one quality reviewer provided the necessary technical support, which resulted in the following RAS outputs: (i) a template of annual dam safety report, (ii) forms to be filled out by dam regulating entities, and (iii) forms to be filled out by dam owners/ operators, which will eventually be linked to the SNISB and the annual reportxv.

4.1.6 Specialized Trainings

60. The Client requested different institutional strengthening activities, which included: (i) training of ANA staff, other regulators, and dam owners/ operators, (ii) support ANA with dam inspections, and (iii) support ANA with the quality review of documents submitted by dam owners.

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61. The RAS team mobilized world’s top experts and trainers from the US Army Corps of Engineers (USACE) and US Geological Survey (USGS). Three one-week trainings were conducted on the following topics: (i) introduction to dam safety management (May 2013), (ii) potential failure mode analysis (May 2014), and (iii) mapping, modeling, and evaluation of consequences of dam failure (February 2015)xvi. Each training involved five expert trainers from USACE-USGS, and in terms of participants, about seventy professionals involved with or having responsibility for the safety of dams, from different states and entities in Brazil. While being extremely intensive in terms of workload for the RAS team (e.g. technical preparation; logistics; translation of over 5,000 PowerPoint slides, etc.), those trainings proved to be extremely valuable in terms of knowledge generation and learning, as well as for the perceived leadership by ANA (with Bank support) to convene this type of high-level and innovative trainings in Brazil and make it available to its partners.

62. The RAS team invested heavily in training a team of translators-interpreters and getting them acquainted with the technical language of dam safety, to secure their participation throughout the RAS.

63. The institutionalization of these trainings is still a pending issue within ANA that requires attention.

Figure 6. Training on dam safety provided by the USACE-USGS

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4.1.7 Dam Safety Panel of Experts

64. To help ANA with dam inspections, the RAS team contracted a national consultancy firm, Sociedade de Engenheiros Especializados em Segurança de Barragens (S2eSB), to act as dam safety panel. This panel of experts was mobilized for five dams, at ANA’s request, after its safety monitoring team had detected serious anomalies. The support of the panel (two to three engineers mobilized for each inspection) consisted of field inspections as well as evaluation of dam related documents. It eventually resulted in a robust technical assessment by ANA, with corresponding alerts and required remedial actions to the dam operators and/ or regulatory entities with view to secure the safety of the damsxvii.

65. The institutionalization of the dam safety panel is still a pending issue within ANA that requires attention.

4.1.8 Convening services

66. At the Client’s request, the Bank involved other partners at federal and sub-national level, both during the trainings as well as during four workshops organized to present and validate the key RAS products (i.e. dam classification, SNISB design, manuals). Eleven federal entities were involved, including Agência Nacional de Energia Elétrica (ANEEL), Departamento Nacional da Produção Mineral (DNPM), Departamento Nacional de Obras Contra as Secas (DNOCS), and the Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renováveis (IBAMA); and the dam owners and operators: Departamento Nacional de Obras Contra as Secas (DNOCS) and Companhia de Desenvolvimento dos Vales do São Francisco e do Paranaíba (CODEVASF).

67. Twenty-eight sub-national entities were involved, from 19 (out of 26) states and the federal district (Fig. 6). These include, for example, the dam owner and operator Companhia de Gestão dos Recursos Hídricos do Estado do Ceará (COGERH), as well as the regulating entities of the states of Rio Grande do Norte, Paraíba, Minas Gerais, São Paulo and Rio Grande do Sul. The full list of states and institutions involved in the trainings and workshops is presented in Annex 7.

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Figure 7. The Brazilian states and institutions involved in the Dam Safety RAS (Source: own elaboration).

4.2 Outcomes

68. The core team intended to capture outcomes and impacts of the RAS, at key moments of the 3-year partnership with ANA: one year after implementation, and near the end of the contract. A special mission led by Alessandro Palmieri (in 2013 as Bank staff, in 2015 as consultant) aimed to undertake a rapid assessment of the evolution of ANA’s capacity to implement the DS law, by looking at the progresses in terms of: technologies and instruments, policies, practices, resources, norms, and information, as well as how those interact to support ANA’s governance of dam safety.

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69. The methodology used consisted of a succinct analysis during a one week mission, based on semi-structured interviews with key ANA high level management as well as professionals involved in dam safety. The missions helped to identify ANA’s major achievements and next generation challenges, and provide strategic recommendations and priorities on institutional development, with view to sustain the results achieved by ANA on dam safety over the last five years.

70. In an effort to look into outcomes, progress of the implementation of the national dam safety policy up to March 2015 has been assessed around three strategic pillars: (i) Infrastructure, (ii) Institutions, and (iii) Information. Table 4 lists the essential elements for each of the “ 3 Is”.

Table 4. Essential elements of the three strategic pillars of a national dam safety program

(Source: Alessandro Palmieri, mission report 2015).

“3 Is” Essential ElementsInfrastructure 1. Dam (Hazard) classification

2. Dam Safety Inspections3. Addressing emergency cases (fixes)4. Progressively reduce Risk Profile5. Approving designs of new dams and dams under

constructionInstitutions 6. Institutional assessment

7. Dam Safety Management tools8. Staffing9. Ongoing capacity building10. Securing financial resources

Information 11. National Dam Safety Information System (SNISB)12. Dam Safety Annual Report (RSB)

Progressed achieved since the promulgation of the Law has been assessed by assigning scores as follows:

Score Assessment

0 Not in place- totally unsatisfactory

1 Activities started, slow progress

2 Satisfactory progress, key issues identified

3 Fully satisfactory

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71. The following diagram visualizes the assessment, and allows appreciating the progress achieved up to March 2015 in the implementation of the Law.

Figure 8. Progress in the implementation of the dam safety law, measured for the twelve essential elements, and scored between 0 (not in place) and 3 (fully satisfactory) (Source: Alessandro

Palmieri, mission report 2015).

72. The following activities represent Priorities:

identification of problem dams where urgent fixes are required; implement fixes at problem dams; make SNISB operational.

73. The following activities represent Ongoing Tasks:

Staffing and capacity building; training in emergency handling in particular. Preparing "Risk Profiles" of dam portfolios and monitor progressive reduction (see example below from Armenia Dam Safety Project, Figure X).

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Figure 9. Risk reduction measures applied to a portfolio of dams (example from the Armenia Dam Safety Project)

74. ‘New tasks’ requiring attention:

Mobilize financial resources for staffing, inspections, dam classification, implementation of urgent fixes. Engineering approval of new dam projects.

75. The essential elements used in the assessment may be seen as variables influencing effective implementation of the reforms associated with the Law. The importance of a variable in a system cannot be determined from the variable itself, but only through its relationship with the other variables. Cross impact analysis (CIA)1 permits to identify and analyze such relationships. The following graph shows the results of the analysis.

1 CIA uses a matrix which provides a simple means to estimate this relationship among variables on a step-by-step basis. The effect of each variable on all the others is estimated by allocating to each relationship an intensity of the impact with a value between 0 and 3. The range is from 0 (no impact) to 3 (for strong impact). The question is: if variable A is changed, to what degree is variable B affected (regardless of whether the change is positive or negative)? By building the sum of rows (“active sum”) and the sum of columns (“reactive sum”), the variable can be classified as critical/ inert (for their degree of participation in the vents) and active/ reactive (degree of dominance).

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Figure 10. Cross-impact analysis of the essential elements of Brazil’s national dam safety program (Source: Alessandro Palmieri, mission report 2015).

76. The following categories of variables can be identified:

Active variables, which affect all the others strongly, but are not changed by them; active variables provide good leverage for change in a system. Reactive variables, which leave low impact on others, but are themselves highly affected by changes of the other variables. Critical variables, which have strong impact on other and are themselves strongly affected. Inert or buffering variables, which neither have an impact on others nor are they themselves strongly affected; these are stabilizing forces in the system.

77. In our case, dam safety tools, i.e. developing and disseminating dam safety management tools, features as the only Active element. That confirms the validity of the effort placed in the RAS on Component 2 (Dam Safety Tools and Instruments).

78. Staffing, financing, capacity building, safety inspections, and fixing problem dams emerge as critical elements. Addressing such elements should be the priority in the future steps of the national dam safety program.

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5 LESSONS AND RECOMMENDATIONS

5.1 For the Government of Brazil

79. Define highest priority dams and needs for immediate repairs and maintenance. In spite of the technological advances experimented in various sectors of the Brazilian economy involved with dam planning, design, construction and operation, maintenance of the majority of the existing dams is still considered as insufficient to insure long-term sustainability and efficient uses of the water resources. With the exception of the electrical sector which conducts coordinated operation and proper maintenance procedures of the hydropower generating facilities, the remainder as a general rule lacks systematic procedures and regulating legal instruments.

80. The need for adequate maintenance and prompt repairs of dams for the sake of protection and effectiveness of public and private investments made to supply enough water to the society cannot be stressed enough. This issue should be properly addressed by the federal government and at subnational level and by the private sector. Out of nearly 14,000 dams identified in several existing data bases in the country, around 14% belong or are under the jurisdiction of the federal entities. Most of these dams were built and operated for power generation, but have some marginal use for other purposes. Also, some tailings dams resulting from mining activity are overviewed by the federal government. In general, it appears from the information available so far that the power and tailings dams are gradually being controlled according to the terms of the National Dam Safety Policy. However, there is a significant number of multipurpose dams under federal responsibility that still require measures to bring them in compliance with the Dam Safety Law.

81. The remainder, actually the majority (86%) of the existing multipurpose dams, belong or are under the jurisdiction of the federal district and 26 states of the federation. It appears from the small sample considered in present studies that those that are adequately kept still constitute the exception rather than the general rule due to several reasons, a situation that is bound to change as the Law enforcement gets the attention of owners and entities in charge of overviewing.

82. It is fair to consider that Brazil’s Dam Safety Program is a “young one”. Five years (i.e. since the publication of the Dam Safety Law in 2010) is still a short time period to achieve effective results on dam safety. It is also fair to say that most of the countries where such programs have been initiated 20 or more years ago, such as to be considered “mature”, are not there yet in terms of fully satisfactory outcomes. In such situation, Brazil should make sure that priority

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actions are implemented first. This refers in particular to those dams which are in urgent need of structural fixes. Probability of failure of modern dams, built and operated according to good engineering practice, is less than 10-5 per dam per year. With a portfolio of 14,000 dams, that probability gives a rate of failure of 0,14 dams/year (or 1 to 2 dams every ten years). Considering that several dams in the portfolio are “less than modern”, the rate is conceivably higher. To identify priority dams in need of structural fixes, Dam Classification should focus on “technical characteristics” (part 1) and “status of conservation” (part 2).

83. Strengthen institutional coordination with view to reach water security. As water security is calling increased attention of authorities and the private sector, it seems reasonable to recommend that coordination of related public policies be strengthened. Indeed, for example, some steps are being taken by the federal government to establish a national water security program based on the development of water storage and transfer facilities. Along with this initiative, taking care and improving the existing water infrastructure, including dams and their sustainability and safety would make all the sense. On the other hand Brazil has taken important steps towards disaster prevention and risk management which have a lot to do with dam safety. It would be highly desirable that the efforts in all these directions be on the focus of the public sector rationale and fund allocation.

84. Ensure the necessary financial resources for dam maintenance and dam safety. The issue of lack of human and financial resources to take care of the extensive portfolio of dams is crucial and should be faced by adequate budgetary allocation and by providing capacity to most of the entities involved in the business, either the federal ones or the ones at the states level mainly. Again as an example, the provision of a federal fund established in the Civil Protection and Defense Law could be taken as an idea to develop a similar measure on behalf of the dam safety needs. Examples of fund raising programs exists in several US States, in particular the West Virginia Dam Safety Rehabilitation Revolving Fund Program (www.damsafety.org).

85. Approval of engineering design of new dams and dams under construction. Only water concession and environmental permits are granted in Brazil, but design quality, including dam safety, is the responsibility of individuals confirmed with an assertion of technical responsibility (ART). Individuals are reluctant to sign ARTs, main issue being liability. This issue should be addressed to bring it in line with international practice which, in addition to the individual professionals, envisage the role of institutions and panel of independent experts.

86. Promote skill development on dam safety. As to capacity building, it was identified the need to approach universities in order to increase the number of courses in the dam safety related sciences to be offered to students and graduated professionals. Although dam engineering practice has promoted a steady

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development of professional market, it is evident that the Dam Safety Law will induce an increasing demand for professionals in all related fields. Some new courses are being offered thanks to the initiatives of interested professionals who have sought the support of engineering schools to organize them under minimum legal requirements. It seems that some kind of official policy and incentives may be required to cope with the demand.

87. Communication to society. Besides, it seems to be appropriate and timely to recommend that the Law and the Policy be propagated throughout society in order to raise awareness about the issues related to dam safety and risk management, since this is one of the objectives of the Dam Safety Policy.

88. Increase international cooperation on dam safety. Last but not least, it is to be mentioned the interest rose by the development of the dam safety theme in Brazil in countries like Uruguay, Vietnam, Mexico, Peru and others. Although incipient, it certainly represents an opportunity for international cooperation that deserves some attention of the Brazilian authorities.

5.2 For ANA

89. Enhance ANA’s technical excellence and protagonist role on dam safety. The technical and managerial capacity of ANA is high and is being well applied in the implementation of its duties established by the Dam Safety Law. Besides the efforts developed to be in compliance with the Law, ANA took the opportunity offered by the present Technical Assistance by the World Bank to develop a series of tools that will help all the other entities and dam owners involved in the dam safety activities.

90. Promote a country-wide implementation of the National Dam Safety Policy. Taking into account that the universe of dams under ANA’s jurisdiction represents a quite small portion of the dams under the jurisdiction of the states’ entities, it is now the time for ANA to consider strengthening its articulation capacity not only with the federal, but mainly with the states entities in order to promote coordinated use of the above mentioned tools. Indeed promoting homogenous criteria for the dam safety law enforcement in the states, necessarily respecting their autonomy to issue dam safety regulations, if they so prefer, is something that can facilitate the measures to be taken by owners and overviewing entities to comply with the Law, especially when owners are under the jurisdiction of more than one overviewing entity.

91. ANA has an important role in this direction, given its legal competence under both the Dam Safety Law and the Water Resources Management Law, and should act permanently to promote the involvement of all interested parties.

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Indeed in late 2013 ANA launched the PROGESTÃO initiative to provide support to the states that adhere to a set of commitments towards the strengthening of the water resources and dam safety management. In this respect, the initiative of offering capacity building opportunities to the states and other federal entities is commendable and should be stressed by ANA in a continuous fashion.

92. Improve dam safety and risk management at the river basin level. Also, having as homogeneous procedures as possible, when considering dams in a river basin, seems to be something of undisputable convenience in the light of the need of minimizing as much as possible the increased risk existing in any dam cascade. Since there may be dams of different jurisdiction in a river basin, the coordinated action amongst the overviewing entities is not only recommended but is already being claimed by some owners. As for example of the need of dealing with this issue, one can mention the need of having a coordinated dam classification system the yield consistent criteria and results for the whole basin.

93. Make the SNISB fully operational. The National Dam Safety Information System (SNISB) represents a critical task. After the RAS completed the conceptual design, the development of the SNISB is ongoing by a national consultancy firm hired by ANA. However, if ANA does not give sufficient attention to the development and implementation of the SNISB, it is unlikely to produce meaningful outputs before a few years. A fully operational SNISB will relieve ANA's responsibilities significantly; meanwhile ANA’s ‘exposure’ is high.

5.3 For the World Bank Group

94. Picking strategic themes for RAS engagements. We believe the dam safety engagement with ANA has been strategic for the Bank given the importance of dams and water resources for Brazil’s economy and the achievement of the Bank’s twin goals. The implications of the 2010 Dam Safety Law will require huge institutional strengthening and investments at the level of federal and state entities, as well as major dam owners/ operators. Business opportunities (both analytical and investments) with clients other than ANA may result of this RAS. The achievements of the Brazil RAS have generated quite some interest from neighboring LAC countries and clients.

95. The Bank has been utilized for its expertise and convening power, but also to deal with all the ‘heavy work’. RAS requests involve complex demands from sophisticated clients to help them with building capacity, convene key partners, and evaluate pros and cons of different options. At the same time, the Bank has also been used by clients to deal with all the burdensome aspects of

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procuring and contracting experts, managing large consultancy contracts, organizing workshops, editing and formatting reports, etc. This ends up being a very heavy workload for the Bank’s Core Team. RASs could be re-thought to focus more on the strategic advice as opposed to the operational tasks.

96. A three-year continuous RAS engagement is extremely audacious. Given the new contractual relationship Bank-Client that a RAS entails (and even more so if the Client is relatively unknown to the Bank), it may be worthwhile to design the RAS in phases. A Framework Agreement (i.e. one broad framework agreement, with subsequent specific technical annexes to negotiate with the Client) seems a promising approach. This allows maturing the RAS relationship and re-thinking the commitment over time.

97. Managing the relationship with long-standing partners may become delicate. The RAS contract transforms the Bank into a sort of remunerated consultancy/ TA provider, at the service of the Client (‘Client is King’). This may cause situations and issues that are difficult to manage, especially when the RAS Client is also a long-standing partner of the Bank that is also involved in other operations (e.g. Bank lending). We need to be aware of perceived conflict of interest and communicate our independency in providing advisory and analytical services.

98. Defining the engagement as clearly as possible, early on. The Client always wants to get more out of the contract, especially when the RAS delivers quality. It is thus important to define the engagement and expected deliverables well throughout the engagement: in the RAS agreement, financial proposal, detailed work plan, mission aide-memoires etc. It is advisable to keep institutional memory about the RAS within the client team, as staff turn-over may be an important risk.

99. Local expertise is key in complex RASs. Especially for large and complex RASs, it is essential to have country-based staff as part of the Bank’s core team to lead the dialogue and ensure daily interaction with the client, as well as with the consultants, for the whole period of the RAS. Similarly, it is important to bring in local experts that are familiar with the country and sector context (e.g. institutional, legal etc.) to brief international RAS experts so that they can make pertinent and context-specific recommendations to the Client.

100. Mixed results on quality control. We have been able to ensure an adequate quality control on our RAS deliverables, mostly through local and international STCs hired for that purpose. The Portuguese language may have complicated quality review by Bank staff (all our RAS deliverables are in Portuguese). On the dam safety RAS, the Bank lead dam safety specialist has come in at specific moments (i.e. once a year) to raise the dialogue at the highest level with the Client. On the other hand, we feel there was a lack of quality at

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entry by the Bank, e.g. on operational guidance, such as designing the RAs engagement, costing tables, etc.

101. Management is encouraged to reflect on trade-offs of staff time invested in RAS. While the RASs represent interesting venues to build or strengthen relationships with key clients on innovative topics, and learning opportunities for Bank staff, they also imply a work load for TTLs that is significantly heavier than for any other Bank product. As mentioned previously, this TA required a full-time dedication of 1.5 Bank staff during three years; an average of five missions was conducted per year, in addition to the trainings. The potential business opportunities and sustainability of results that will come out of these RASs will certainly be an important element in this analysis.

102. More flexibility is needed from Resource Management on payment schedules. The Bank puts a lot of pressure on TTLs to bill the client in function of the Bank’s fiscal year considerations (e.g. to send invoices in the first half of the FY, and avoid payments in the second half). However, several reasons may complicate this payment schedule (e.g. Client’s fiscal year is different, delays in delivering products for several reasons, large contracts of consultancy firms typically cover several years, etc.). Therefore, it would be worthwhile exploring more flexibility on payment schedules and avoid the fiscal year restrictions so that TTLs can better manage their RAS incomes and expenses.

103. Risk of contracting out a substantial part of the RAS. When the RAS mobilizes an international consultancy firm (in the case of the dam safety, a US$ 1.5m contract of 3 years duration), the Bank assumes the unusual role of both contracted entity (by the Client) and contracting entity. It puts a lot of pressure on the Bank core team to deliver quality products that respond to the Client’s expectations; it requires from the Bank Team a very rigorous selection, and subsequent supervision and quality control of the consultancy firm.

104. Institutionalize a cooperation agreement between USACE and the Bank. Despite the exceptional efforts undertaken to hire the services of USACE for the Brazil dam safety RAS, this did not materialize because of difficulties within the US government entities. The only way the RAS team could resolve this was by the Bank hiring USGS, and the latter transferring funds to USACE. It is recommended to find a more permanent and institutional mechanism to institutionalize this cooperation so that the Bank’s interested client countries can benefit from it more easily.

105. Opportunities for replication and south-south exchange with Brazil. Similar dam safety RASs could be implemented primarily in Mexico, Colombia, Turkey, Uruguay, and Thailand. Other countries that would strongly benefit from capacity strengthening on dam safety include: Indonesia, Vietnam, Russian Federation, Iran, Philippines, Malaysia (Borneo), and Morocco.

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6 ANNEXES

Annex 1 - RAS chronogram (missions, workshops, trainings)

Annex 2 - List of RAS team at design and implementation (name, institution, title/ expertise)

Annex 3 - The RAS in numbers

Annex 4 - List of RAS Products and corresponding level of effort

Annex 5 - List of missions (number, dates, location, main topics/ mission objectives)

Annex 6 - List of Client team members

Annex 7 - List of states and institutions involved in the RAS

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ANNEX 1 - RAS CHRONOGRAM (MISSIONS, WORKSHOPS, TRAININGS)

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ANNEX 2 - LIST OF RAS TEAM AT DESIGN AND IMPLEMENTATION (NAME, INSTITUTION, TITLE/ EXPERTISE)

TEAM NAME INSTITUTION TITLECORE TEAMAlessandro Palmieri World Bank Lead Dam SpecialistSatoru Ueda World Bank Lead Dam SpecialistErwin De Nys World Bank Project LeaderPaula Freitas World Bank Project Leader's AlternativeMaria Inês Muanis Persechini World Bank Water Resource SpecialistRichard Abdulnour World Bank Water Resource SpecialistRikard Liden World Bank Senior Hydropower Specialist

SUPORT TEAMCarmen Molejon World Bank Water Resource SpecialistFrederico Pedroso World Bank Disaster Risk Management SpecialistVinícius Cruvinel Rego World Bank Junior ConsultantCybelle Frazão Costa Braga World Bank Consultant

SHORT TEAM EXPERTS/ QUALITY REVIEW

Joaquim Toro World BankSenior Disaster Risk Management

SpecialistMarcelo Salles USACE Liaison Officer to U.S. Southern CommandJosé Hernández ( Pepe) USACE Dam Safety EngineerGilberto Valenti Canali individual consultant Institutional Specialist ConsultantFrancisco Andriolo S2eSB Dam Safety Engineer ConsultantManuel Freitas S2eSB Dam Safety Engineer ConsultantJoão Francisco Silveira individual consultant Dam Safety Engineer ConsultantOrlando Vignoli Filho individual consultant Dam Safety Engineer ConsultantAlexis Massenet individual consultant IT Specialist Consultant

CONSULTANCY FIRMRicardo Oliveira COBA CoordinationLúcia Almeida COBA CoordinationJosé Rocha Afonso COBA SpecialistPedro Seco e Pinto COBA SpecialistJosé Oliveira Pedro COBA SpecialistFlávio Miguez COBA SpecialistChristianne Bernardo COBA SpecialistLuís Gusmão COBA SpecialistAntónio Pereira da Silva COBA SpecialistAntónio Alves COBA SpecialistPedro Grácio Santo COBA SpecialistJorge Faria COBA Specialist

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TEAM NAME INSTITUTION TITLECONSULTANCY FIRMLaura Caldeira LNEC ResearchTeresa Viseu LNEC ResearchJosé Barateiro LNEC ResearchNuno Charneca LNEC ResearchJosé Melo LNEC ResearchJoao Bilé Serra LNEC ResearchJoao Marcelino LNEC ResearchJosé Falcao de Melo LNEC ResearchManuel Oliveira LNEC Research

TRAINERJosé Hernández ( Pepe) USACE Leader - Dam Safety SpecialistJerry Webb USACE Hydraulic EngineerDavid Paul USACE Civil EngineerWilliam Empson USACE Dam Safety SpecialistRobert Taylor USACE Dam Safety SpecialistCharle Redlinger USACE Geotechnical EngineerScott Shewbridge USACE Geotechnical EngineerBrian McCallum USGS Leader - Civil EngineerWesley Crosby USACE Hydraulic EngineerJ. Toby Minear USGS Research HydrologistAlexandre Ubben USACE CartographerJesse Morrill-Winter USACE Economist/Consequence Analyst

INTERPRETERS/TRANSLATORSAndre Niccollis Consultant Interpreter/TranslatorDavid Hathway Consultant Interpreter/TranslatorGeorge Aune Consultant Interpreter/TranslatorLeonardo Padovani Consultant Interpreter/TranslatorCecile Vossenaar Consultant Interpreter/Translator

ASSISTANTAna Maria Bezerra Santos World Bank AssistantCarla Zardo World Bank AssistantCarolina Abreu dos Santos World Bank AssistantSofia Keller Neiva World Bank Assistant

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ANNEX 3 - THE RAS IN NUMBERS

 DESCRIPITION  RATE

Man-months 196

Number of pages (report + annex) 5.552

Number of pages (only reports) 1.877

number of missions 18

Average of people involved per mission 15

Hours per mission 7.200

Number of trainings 4

Average of people involved per training

60

Number of VC and rooms mobilized 84

Number of international travels 103

Number of national travels 34

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ANNEX 4 - LIST OF RAS PRODUCTS AND CORRESPONDING LEVEL OF EFFORT

Block Products Description Man- month

INSTITUCIONAL ASSESSMENT Product 02 Institutional Assessment 14.5

CLASSIFICATION REPORT

Product 03 Best Practices in Dam Safety Classification Report

26.7Product 04 Dam classification criteria (hazard and risk)Product 06 Dam classification

MANUALS, TEMPLATES AND

ToR

Product 07 Dam Safety Policies and Operations Manual (ANA)

73.95

P7AP7BIP7BIIP7IIIP7IV

Product 08 Dam Safety Owner/Operator ManualP8I

P8IIIP8II

Product 09 Dam Safety Reporting PlanProduct 10 Small Dams Strategy Report

SNISB DESIGN AND REPORT Product 11 SNISB Design 43.25

MANAGEMENT REPORTS

Product 01 Work plan

15.4Product 05 Inception workshop ReportProduct 12 SNISB Workshop ReportProduct 13 Dam Safety Workshop ReportProduct 14 Wrap-up Workshop Report

FINAL REPORT Product 15 Final Report 4.5

INSPECIONS REPORTS

Panels on Jaburu, Jaguaribi and Capueira Dams

4.8Paraiba`s Dams Inspection

Morojozinho instrumentationPanel on Gargalheiras and Trairas Dams

Trainings 22.35

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TOTAL 205.45

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ANNEX 5 - LIST OF MISSIONS (NUMBER, DATES, LOCATION, MAIN TOPICS/ MISSION OBJECTIVES)

Mission n0

Name Date Objectives

1 Pre- contract discussions mission

July, 2011 Inception discussions.

2 Pre- contract discussions mission

Nov., 2011

Inception discussions.

3 Product 1 May, 2012

Work Plan Framework

4 Products 4 to 10 April, 2013

First mission about dam classification, dam safety policies and operations manuals.

5 Products 6 a 11 May, 2013

a. present the development of the National Dam Safety Information System (SNISB) and assimilate contributions; b. present the development of Dams Classification System and assimilate contributions c. learn about the Geographic Information System ANA.

6 Product 11 - SNISB Design Conception and Dam Classification

July 2013 a. to present and discuss previously with the Bank and ANA the content of the next Workshop presentations; b. discuss the EAP Guide; c. perform the SNISB workshop and the Classification System; d. review and discuss the SNISB; d. support to the Development of Dam Safety Annual Report; e. present the development of products 7 and 8.

7 Product 11 and ABRH Symposium

October, 2013

a. presentation SNISB non-functional prototype for validation of Phase 1 by ANA; b. discuss contributions for the XX Symposium on Water Resources ABRH; c. establish schedule for upcoming activities.

8 Products 7 e 8 – Manuals and Guides

October, 2013

a. present and discuss the contents of the drafts submitted by COBA/LNEC to the World Bank for the manuals products; b. support for the Development of Dam Safety Annual Report; c. present and discuss the progress of the P8 – Owner Manuals.

9 Product 10 - Small Dams

February, 2014

a. discuss the scope and ANA's expectations regarding the content of the product 10 - Development of a strategy for small dams; b. technical visits to certain dams located around Brasilia.

10 Product 6 – Dam Classification

March, 2014

a. discuss the simplified methodology for dam classification by the associated potential hazard; b. resolve specific questions about the P6 report; c. agree on the final conclusions of the P6 report; d. agree on the approach to simplified methodology in Product 4; e. address the next steps on Technical Support (Training).

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Mission n0

Name Date Objectives

11 SNISB Design and Manuals and Guides

April, 2014

a. present the final draft of the design of the first phase of SNISB; b. dispel doubts; d. discuss the scope of the second phase.

12 Products 7 e 8 - Manuals and Guides

July, 2014 a. present the development work on the product 7 and its annexes; b. situate the development stage of the product 8 and its annexes; c. devise strategies to reorientation of products 7 and 8; d. establish channels of communication between the coordination of the work.

13 Products 7 e 8 – Manuals and Guides

September 2014

a.discuss and evaluate the products for the Manual of Policies and Dam Safety Practices (P 7) and the Guidance Manual for Owens/ Operators (P 8)

14 Product 7B – Inspection Guide

October, 2014

a.discuss in detail the contents of Regular and Special Inspections Guide for Dam Safety.

15 SNISB Design October, 2014

a. present the final technical documents - Drawing the National System for Dam Safety Information (Technical Specifications) to ANA and to the company that will carry out the development of the system (CTIS); b. inquiries about the design of the system and prepare for the transition from LNEC for CTIS.

16 Products 7 e 8 – Manuals and Guides

Nov., 2014

a. present and discuss the latest versions of the Manual of Policies and Dam Safety Practices (P7) and the Guidance Manual for Owners (P8) after the asked revisions; b. prepare for the workshop on the above products.

17 Product 15 – Final Report

March, 2015

a.interviews with Technical Assistance partnerships (TA); b. evaluate the TB ad c. prepare the final report for the decision meeting.

18 Final Workshop May, 2015

a.present the results of the Technical Assistance and; b. discuss the 5 th year of the Dam Safety Low implementation.

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ANNEX 6 - LIST OF CLIENT TEAM MEMBERS

NUMB.

NAME POSITON ROLE IN PROJECT

1 João Gilberto Lotufo Conejo Director Manager2 Rodrigo Flecha Ferreira Alves Superintendent Manager3 Flavia Gomes Barros Superintendent Manager4 Francisco Vianna ex - Superintendent Manager5 Carlos Motta Nunes Water resource specialist at

GSER/SREProject Manager

6 Lígia Maria Araújo Water resource specialist at GSER/SRE

Project Manager

7 Alexandre Anderáos Water resource specialist at GSER/SRE

Project Manager

8 André Onzi Water resource specialist at GSER/SRE

Technical Support Team

9 José Aguiar de Lima Jr. Water resource specialist at GSER/SRE

Technical Support Team

10 André Pante Water resource specialist at GSER/SRE

Technical Support Team

11 Fernanda Laus Aquino Water resource specialist at GSER/SRE

Technical Support Team

12 Cintia Araújo Water resource specialist at GSER/SRE

Technical Support Team

13 Márcio Bomfim Water resource specialist at GSER/SRE

Technical Support Team

14 Josimar de Oliveira Water resource specialist at GFIS/SFI

Technical Support Team

15 Nádia Menegaz Water resource specialist at GFIS/SFI

Technical Support Team

16 Marcos Vinícius Araujo Water resource specialist at GFIS/SFI

Technical Support Team

17 Sergio Salgano Water resource specialist at GFIS/SFI

Technical Support Team

18 Mauricio Cezar Revello Cordeiro

Geoprocessing specialist at SGI SNISB Team

19 Marco Antonio Silva Geoprocessing specialist at SGI SNISB Team20 Marcus Vinicius de Oliveira Geoprocessing specialist at SGI SNISB Team

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7 ANNEX 7 - LIST OF STATES AND INSTITUTIONS INVOLVED IN THE RAS

FEDERAL INSTITUTIONSANA National Water AgencyANEEL Brazilian Electricity Regulatory AgencyCODEVASF Development Company of the San Francisco and Parnaíba ValleysDNPM National Department of Mineral ProductionIBAMA Brazilian Institute of Environment and Renewable Natural

ResourcesDNOCS National Department of Works against DroughtMI Nation Integration MinisterCHESF São Francisco's Hydroelectric CompanyMPF Federal Public MinistryPR Office of the Presidency of the

Republic SP Secretary of Ports

STATES STATE INSTITUTIONSALAGOAS SEMARHBAHIA INEMACEARÁ COGERH UFC SRHDISTRITO FEDERAL ADASA CAESBESPÍRITO SANTO IEMAGOIAS SEMARHMARANHAO SEMAMATO GROSSO DO SUL SEMAMINAS GERAIS FEAM SEMADPARÁ SEMAPARAÍBA AESAPARANÁ GSI ÁguasParanáPERNAMBUCO APACPIAUÍ SEMARHRIO DE JANEIRO IME INEARIO GRANDE DO NORTE SEMARH IGARNRIO GRANDE DO SUL SEMARONDÔNIA SEDAMSAO PAULO CETESB DAEESERGIPE SEMARH

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i Multipurpose dams provide services to different water uses such as human consumption, irrigation, recreational use and hydropower. ANA is the regulating authority for those multipurpose dams that are not predominantly used for hydropower, on federal rivers. The Constitution indeed establishes a distinction between federally controlled water, for rivers across state boundaries, and state-controlled water, for rivers and groundwater that remain completely within state boundaries.

ii The only documents in English are: Product 1 – RAS Work plan (87 p), and Product 4 – Dam Classification: Evaluation of General Criteria, Simplified Methodology for Downstream Flooded Areas and Guidelines for Classification.

iii Dams that satisfy at least one of the following criteria: more than 15m high, reservoir capacity of more than 3,000,000 m3, high or medium hazard, or reservoir containing hazardous substances.

iv As an example, the National Department of Works Against Drought (DNOCS), one of the major public dam owners, is regulated by ten different entities on dam safety: the water resource authorities of the nine states of the Northeast, and ANA.

v Regulatory Frameworks for Dam Safety: A Comparative Study. The World Bank, 2002. 159 p.

vi Produto 2. Avaliação Institucional da Agencia Nacional de Aguas. 181 pages + 128 pages annex.

vii The analysis was done for 113 dams out of the 130 dams that ANA is responsible for.

viii Produto 6: Classificação de barragens reguladas pela Agencia Nacional de Aguas. 202 p + annexes. Produto 4: Classificação de Barragens: Avaliação dos Critérios Gerais Atuais, Metodologia Simplificada para Áreas Inundadas a Jusante e Diretrizes para a Classificação. 70 p.

ix Produto 3. Classificação de barragens: Melhores Praticas Nacionais e Internacionais. 90 p + annexes.

x Produto 7 – Manual de Politicas e Praticas de Segurança de Barragens. Manual para a ANA e Entidades Fiscalizadores. 101 p + annexes.

xi Produto 7 - Manual de Politicas e Praticas de Segurança de Barragens. Manual para Empreendedores. Tomo I. Guia de Orientação e Formulários dos Planos de Emergência. 67 p + annexes.

xii Produto 8. Volume I (184 p), Volume II (66 p), and Volume III (106 p + annexes).

xiii Produto 10 – Manual de Segurança de Pequenas Barragens. Parte I – Revisão das Boas Práticas de Segurança de Barragens de Pequena Dimensão. Parte II – Manual. 130 p.

xiv Produto 11: Sistema Nacional de Informações sobre Segurança de Barragens (SNISB). 31 p.

xv Produto 9: Apoio à elaboração do Relatório Anual de Segurança de Barragens. 69 p.

xvi The training material consisted of over 184 Powerpoint presentations (in English and Portuguese) and background documents. All training materials have been made available to participants on pen-drives, and are expected to be made available on ANA’s website.

xvii The findings of the panel of experts are documented in mission reports, for each of the inspection visits.