86500 SERIES DAM SAFETY IN BRAZIL WHEN ENGINEERING SERVES SOCIETY SERIES DAMS: IMPORTANCE TO BRAZIL AND TO SOCIETY Over the course of history, dams have captivated In light of Brazil’s notable continental landmass and the interest of society at large. Used to store large extensive natural river systems, the country possesses amounts of water, dams are also constructed to a diverse collection of dams for various uses. The control flood waters and generate hydroelectricity. consolidation of registries from federal and state Due to their versatility in use, dams and their regulatory entities reports more than 13,000 dams respective reservoirs are not only venues for in Brazil. The distribution and use of these dams is economic activity, but also centers for leisure and displayed in Figure 1. As noted in the graph, most recreational activities. Given society’s dependence dams are multi-purpose. on these engineered structures, dams must be well- maintained and kept in good operating condition. Multiple Mining 11,748 Hydropower Industry In order to promote a culture of enhanced dam safety 86.8% and better risk management, dam owners should be held responsible for implementing safety measures. Equally as important as the reduction of possible accidents relating to dam failures is the enforcement of safety standards by regulatory entities in charge of promoting and spreading good practices. The planning and construction of any new water- 256 impounding structure must take into account its 1.9% multiple potential uses (such as water for human 264 1,261 2.0% 9.3% consumption, livestock, irrigation, hydropower, and/ or recreational activities), as well as the latest best Total dams: 13,529 practices in dam safety. Enforcement of dam safety standards is also crucial for structures built specifically Figure 1 – Dam use in Brazil (Source: Dam Safety Report, to contain mine tailings and industrial waste. ANA, 2011). Multi-purpose dams are most densely concentrated in Brazil’s semi-arid Northeast, a region characterized by its semi-arid climate. Given its aridity, dams provide the most secure storage of water for human consumption, livestock grazing, and crop production. A significant number of multi-purpose dams are also located in the southern state of Rio Grande do Sul, where most of the water supplied is used for irrigation. It is not uncommon for the economy of a micro-region to become entirely dependent on a dam reservoir, which may provide benefits including support the region’s irrigated agriculture as well as to fish and shrimp aquaculture. Hydroelectric dams play a vital role in Brazil´s economy, providing nearly 80% of the country’s electric power (EPE, 2012). Despite accounting for only 9.3% of Brazil’s 13,000 dams, these few structures are the lifeline of people’s day-to-day activities, from Today, Brazil has 45 dam safety regulatory entities: lighting homes to charging mobile devices. Dams at the Federal level, these are ANEEL (Brazilian are also widely employed throughout the country to Electricity Regulatory Agency), ANA (National Water store mining and industrial waste. Agency), DNPM (National Department of Mineral Production), and IBAMA (Brazilian Institute for Notwithstanding the benefits that dams provide to Environment and Renewable Natural Resources); society at large, the irrefutable risks that these mega- other agencies operate at the state and municipal structures pose to natural waterways, aquatic life, the levels. Full implementation of the PNSB requires surrounding environment, and human lives cannot strong coordination amongst these different players be overlooked. in Brazil’s federative system of government. The large number of existing dam safety regulatory A STEP FORWARD: entities has, however, complicated the institutional THE BRAZILIAN DAM framework. One major challenge is ensuring uniform procedures across all regulatory entities, since a SAFETY LAW single dam owner may be subject to regulation by In Brazil, dam safety has traditionally struggled to more than one of 45 regulatory entities. For example, compete with the attention and resources allocated the National Department of Works Against Drought to issues such as transportation, education, health (DNOCS) and the São Francisco and Parnaíba Valleys and urban violence. The country as a whole, Development Company (CODEVASF), which together therefore, has never developed widespread are responsible for approximately 700 dams, have awareness regarding dam safety. dams which fall under the jurisdiction of ANA and well as some 10 state authorities. Positively, Brazilian policy-makers and owners of large dams have been proactively working to improve the Law 12.334/2010 only applies to dams with at least safety of dams around the country over the last two one of the following characteristics: (a) height equal decades. Several owners of hydropower dams, for to or greater than 15m; (b) total reservoir capacity instance, have self-enforced the 1987 ELETROBRAS1 equal to or greater than three million cubic meters; guidelines. Likewise, the State of Ceará’s Water (c) reservoirs containing hazardous waste; or (d) Resource Management Company (COGERH) has reservoirs classified from medium to high in the carried out exemplary dam maintenance and dam levels of potential hazard. Within these criteria, Law safety measures on its irrigation dams since 1993. 12.334/2010 can be applicable to any type of dam, Another example is the Brazilian Dam Committee, including multi–purpose dams, hydropower dams, founded in 1979, which has worked to promote dam and dams built solely for the storage of mine tailings safety through a series of conferences, courses and and/or industrial waste. Figure 2 illustrates Brazil’s publications. four main types of dams, their respective regulatory entities, and their connection to the National The collective work of dam-sector professionals Dam Safety Information System (SNISB) under the resulted in the September 20, 2010 ratification of coordination of ANA. Law 12.334, colloquially known as the “Dam Safety Law”, which instituted the National Dam Safety Policy Upon ratification of Law 12.344/2010, ANA began to (PNSB) to enforce safety standards and reduce the play a more central role in the institutional framework number of accidents relating to dam failures. The law relating to dam safety, assuming additional imposed a new set of responsibilities on dam owners regulatory responsibilities apart from those it was and established, under the National Dam Safety already accountable for as stipulated by its creation Policy, new mandates for regulatory entities based law (Law n. 9.984/2000). This new set of tasks includes on the type of dam, origins of the water rights, or organizing, implementing and administering the licensing for construction. National Dam Safety Information System (SNISB), and leading the coordination amongst the various dam safety regulatory entities in the production of the Dam Safety Report published every year. Shortly after Law 12.344/2010 was signed, ANA, 1 ELETROBRAS is a major Brazilian company for electricity gener- through the creation of two internal departments ation, transmission and distribution. responsible for dam safety, began to carry out its SNISB INDUSTRIAL MULTI-PURPOSE WASTE ANA or State Environmental Water Agencies Agencies NATIONAL WATER AGENCY MINE HYDROPOWER TAILINGS Information ANEEL DNPM Figure 2 – Types of dams and their regulatory agencies (Source: ANA, 2013). new responsibilities and take actions in compliance Safety given the Bank’s international experience in with the new law. Amongst other new actions, ANA the field. The technical assistance provided by the began to identify and oversee the dams under its World Bank includes the following objectives: jurisdiction through the development of procedures and resolutions, public hearings, and the proposal of (a) reinforce the dam safety regulatory framework a unified dam registry to be implemented by SNISB. by helping ANA develop and review norms, At the same time, states are trying follow ANA`s steps standards, regulations, guidelines and manuals; and do the same. (b) assist ANA in its monitoring inspections and WORLD BANK TECHNICAL evaluations of dam safety activities, reporting, ASSISTANCE SUPPORTING THE and communication of findings to the authorities and the public; IMPLEMENTATION OF THE DAM SAFETY LAW (c) help ANA in the design of the National Dam Safety Information System (SNISB); The World Bank and the Government of Brazil have a long-standing history of collaboration in the water, (d) provide capacity building for ANA and other irrigation, sanitation, health, transportation, and agencies involved in dam safety management; environmental sectors, among others. In 2011, ANA requested World Bank technical assistance in the (e) prepare manuals with orientations to dams provision of analytical and advisory services on Dam owners and to regulations entities. The work began in July 2012 and was scheduled to in the 2011 Dam Safety Report, 131 fall under ANA’s last three years. To achieve the objectives, the World jurisdiction. As can be observed in Figure 3, most of those Bank counts on its internal staff and on a set of dams are located in Brazil’s semi-arid region. national and international consultants with extensive experience in dam safety. These international Upon development of the dam safety classification consulting services are provided by the United States methodology, ANA began evaluating and Army Corps of Engineers (USACE), the U.S. Geological classifying its 131 dams. The idea was that this same Survey (USGS), individual experts and the COBA/LNEC methodology could be applied by other regulatory consortium from Portugal. entities to classify multi-purpose dams. Despite ANA’s efforts, various challenges have inhibited the dam The technical assistance provided by the World safety classification system from being fully adopted Bank is a participatory process, including ANA and by related institutions. These challenges include the other federal regulatory entities (ANEEL, DNPM and absence of or inadequate information pertaining to IBAMA), federal dam owners (e.g. Ministry of National registry data, engineering designs, cartography at Integration, DNOCS and CODEVASF), and several other an adequate scale, or satellite images of satisfactory state agencies; through seminars, workshops, and resolution. The plan is to gradually address these training sessions. Its main outputs are: specific issues through in situ visits. Dam Classification Dam Safety Plan General criteria for a dam classification system were The Dam Safety Plan consolidates dam and dam- established by the National Water Resources Council owner’s registry data, reports from regular and (CNRH) in Resolution 143/2012. The system was special inspections, and periodical safety reviews. based on different levels of risk, potential hazard, The Dam Safety Plan also includes an Emergency and reservoir volume. According to the Resolution, Action Plan (EAP) which is applicable to any each regulatory entity may set its own procedures potential dam failure. and deadlines. The World Bank’s Technical Assistance includes the ANA, as a national agency, solely regulates federal development of dam safety manuals and guides for multi-purpose dams for which hydropower is not the regulatory entities, dam owners, and society at large, primary purpose. Of the roughly 13,000 dams identified in order to raise the awareness and contribute to the Venezuela French N Suriname Guiana Colombia RR Guyana AP Ecuador AM CE MA RN PA PB PI PE AC AL TO SE RO Peru BA MT Bolivia DF GO MG CE RN ES MS SP PB RJ PI Paraguay PE PR AL SC 0 160 320 640 960 1.280 SE Km BA RS Legend Dams Regulated by ANA Uruguay Figure 3 – Location of dams under ANA’s jurisdiction (Source: Annual Dam Safety Report, ANA, 2011) enforcement of Law 12.334/2010. Notable amongst Contains general safety information for dam these publications are: owners and establishes safety procedures for the various stages of a dam’s life, beginning with Dam Safety Policy Manual its design and continuing with its construction, for Regulated Dams initial use of its reservoir, operation, and Contains a description of the Dam Safety Plan, maintenance and finally finishing with its an elaboration of ANA’s role as the principle decommissioning. The manual also provides regulating agency for national dams, and a specific guidelines for drafting engineering synthesis on best practices in dam safety. designs for the construction of dams, as well A related publication also useful for dam as their monitoring, inspection, and operation operators is the Guide for the Development and maintenance. A specific manual is being of an Emergency Action Plan (EAP) which developed for owners of small dams. provides response mechanisms to be adopted by owners of high-risk/hazard dams in the event National Dam Safety Information of a dam rupture. System (SNISB) The law creating ANA was amended by the 2010 Dam Safety Orientation Manual Dam Safety Law, extending the agency’s role and for Dam Owners responsibilities in organizing, implementing, and administering the National Dam Safety Information Participants were very pleased with training sessions System (SNISB). The objective of the SNISB is to on dam safety in Brazil, and appreciated the role of keep a digitalized national dam safety record, which the Bank in fostering this exchange among national would include systems for the collection, processing, and international professionals. Topics covered storage, and recovery of information from dams included dam break models, instrumentations, under construction, in operation, and already inspections and potential failure model analysis. decommissioned. IMPLEMENTATION The design of this system is completed and the CHALLENGES FOR THE system is being implemented in two phases. The first phase covers the basic procedures needed to NATIONAL DAM achieve PNSB’s goal of serving as a registry of dams SAFETY POLICY and dam safety regulations, interacting with society and publishing its progress, in order for the SNISB to Two outstanding challenges for the PNSB are to be fully operational at the end of 2015. The second help dam owners achieve greater awareness of phase establishes safety management tools to be their responsibilities and to integrate the different used by regulatory entities. procedures from the various regulatory entities . For some sectors, the enforcement of new regulations Dam Safety Report will mean considerable changes to their traditional The Dam Safety Law also extended ANA’s operational practices. Another challenge is attracting responsibility to include the coordination and academics, university students and professionals production of an annual Dam Safety Report and its with technical knowledge and skills in dam safety, a delivery to the National Water Resources Council. relatively new and innovative field. Every year, after a thorough review process, the report is subsequently sent by the Council to Brazil’s There is also a need to promote greater National Congress. awareness within civil society about dam safety issues. The PNSB is launching an education The first Dam Safety Report was released in and communication program aimed at making November 2012 based on 2011 data. The objective of society more aware of the importance of this report was to establish a baseline that could be dam safety. The proposal is that all dam used to track the evolution of the implementation safety documentation will be published, and of the National Dam Safety Policy. The report aims communities will have the opportunity to to assess the policy’s effectiveness in reducing the participate in disaster preparation exercises number of accidents related to dam use. The 2011 through dam break simulations organized by Dam Safety Report also published a list of dams dam owners with Civil Defense authorities. Since regulated by ANA, announced the publication of dam dams and their respective reservoirs play a vital safety regulations, and commented on the progress role in the life of many communities by providing made by the National Dam Safety Policy through its a source of livelihood and spaces for leisure and regulatory entities. recreational activities, these structures must be kept protected and safe. RESULTS ACHIEVED TO DATE It is hoped that by its completion date, the World Bank Technical Assistance Activity will have The World Bank’s Technical Assistance has helped significantly contributed to the strengthening of ANA in the implementation of key National Dam ANA in its coordinating role of dam safety regulatory Safety Policy tools, such as the dam classification entities. Part of the goal of the assistance activity is system, the design of the SNISB, and the dam safety also to expand the technical framework available to manuals. In efforts to strengthen dam safety officials, all regulatory entities as well as to public and private specific training courses and seminars have been dam owners who will in turn create and spread designed and made available to anyone with an good practices in dam safety and enhance their interest in the field. communication with society at large. For more information: Access http://www.worldbank.org/pt/country/brazil/brief/brazil-publications-agua-brasil-series-water and download the entire Água Brasil series. This volume is a product of the staff of the International Bank for This publication was prepared by: Reconstruction and Development / The World Bank. The findings, Erwin De Nys, Senior Water Resources Specialist, World Bank interpretations and conclusions expressed in this volume are Paula Freitas, Water Resources Specialist, World Bank those of the authors and should in no way be attributed to the Inês Persechini, Water Resources Specialist, World Bank World Bank, to its affiliated institutions, to the Executive Directors Jose Arturo Villanueva Moreno , Junior Professional Associate, of The World Bank or the governments they represent. The World World Bank Bank does not guarantee the accuracy of the data included in this Gilberto Valente Canali, Consultant, World Bank work and accepts no liability for any consequence of its use. The Carlos Motta Nunes, Water Resources Specialist, ANA boundaries, colors, denominations, and other information shown Ligia Maria Nascimento de Araújo, Water Resources Specialist, ANA on any map in this work do not imply any judgment on the part Alexandre Anderáos, Water Resources Specialist, ANA of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this publication is copyrighted. The World Bank We would like to thank Alessandro Palmieri for his invaluable encourages the dissemination of this knowledge. 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