Public Disclosure Authorized Small Hydro Resource Mapping in Vietnam Final Report
MARCH 2017 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized
This report was prepared by Gesto Energy Consulting, under contract to The World Bank.
This is the final output from the small hydro resource mapping component of Energy Resource Mapping and Geospatial Planning Vietnam [Project ID: P145513]. This activity is funded and supported by the Energy Sector Management Assistance Program (ESMAP), a multi-donor trust fund administered by The World Bank, under a global initiative on Renewable Energy Resource Mapping. Further details on the initiative can be obtained from the ESMAP website.
The Final Report summarizes the development of the Small Hydro GIS Database and Guidelines to review and Planning of Small Hydro and includes national maps of Small Hydropower in Vietnam. This is a final output and it has been validated through field-based surveys and peer-reviewed. It will be published via The World Bank s main website and listed on the ESMAP website along with the other project outputs - please refer to the corresponding country page.
Copyright © 2017 THE WORLD BANK Washington DC 20433 Telephone: +1-202-473-1000 Internet: www.worldbank.org
The World Bank, comprising the International Bank for Reconstruction and Development (IBRD) and the International Development Association (IDA), is the commissioning agent and copyright holder for this publication. However, this work is a product of the consultants listed, and not of World Bank staff. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent.
The World Bank does not guarantee the accuracy of the data included in this work and accept no responsibility for any consequence of their use. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries.
The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for non-commercial purposes as long as full attribution to this work is given. Any queries on rights and licenses, including subsidiary rights, should be addressed to World Bank Publications, The World Bank Group, 1818 H Street NW, Washington, DC 20433, USA; fax: +1-202-522-2625; e-mail: [email protected]. Furthermore, the ESMAP Program Manager would appreciate receiving a copy of the publication that uses this publication for its source sent in care of the address above, or to [email protected].
SMALL HYDROPOWER MAPPING AND PLANNING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT)
March 2017
SMALL HYDROPOWER MAPPING AND PLANING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) TABLE OF CONTENTS
1 INTRODUCTION ...... 1
1.1 FRAMEWORK ...... 1 1.2 SCOPE OF WORK ...... 2 1.3 CONTENTS OF THE REPORT ...... 3
2 SMALL HYDROPOWER GIS DATABASE ...... 5
2.1 CONTEXT ...... 5 2.2 INCEPTION PHASE ...... 5 2.2.1 Introduction ...... 5 2.2.2 Summary of hydropower data collected in the Inception Mission ...... 6 2.2.3 Compilation of globally available data ...... 13 2.2.4 Software and hardware options ...... 29 2.3 CONCEPTUALIZATION OF A GIS DATABASE ...... 34 2.3.1 Introduction ...... 34 2.3.2 Collecting temporal data ...... 35 2.3.3 Organizing background data ...... 41 2.3.4 General information on hydropower projects ...... 47 2.4 DEMO VERSION OF THE GIS DATABASE ...... 56 2.5 OVERVIEW OF THE CURRENT VERSION OF THE GIS DATABASE ...... 57 2.6 ADDITIONAL DATA FOR THE GIS DATABASE ...... 61 2.7 NATIONAL MAPS OF SMALL HYDROPOWER ...... 63
3 CURRENT SMALL HYDROPOWER PLANNING PROCEDURES ...... 66
3.1 CONTEXT ...... 66 3.2 INSTITUTIONAL CAPACITY OF MOIT ...... 66 3.3 LEGAL FRAMEWORK ...... 67 3.3.1 Context ...... 67 3.3.2 Key legislation ...... 67 3.3.3 Water resources ...... 67 3.3.4 River basin management ...... 68 3.3.5 Utilization of resources and the environment for hydropower and irrigation reservoirs ...... 68 3.3.6 Environmental impact assessment ...... 69 3.3.7 Land uses ...... 69 3.3.8 Forest management...... 70 3.3.9 Energy ...... 70 3.3.10 Construction law ...... 71 3.4 REVIEW OF THE CURRENT PLANNING PROCEDURES ...... 71 3.4.1 Small hydropower plants planning ...... 71 3.4.2 Lessons learnt from previous assessments ...... 79 3.4.3 Strengths and weaknesses of small hydropower current planning ...... 80 3.4.4 Data availability and data sharing ...... 82 3.5 HYDROPOWER PLANNING PROCEDURES IN OTHER COUNTRIES ...... 83 3.5.1 Context ...... 83 3.5.2 Laos PDR ...... 83
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3.5.3 Cambodia ...... 84 3.5.4 China ...... 87 3.5.5 Thailand ...... 91 3.5.6 Portugal ...... 92 3.5.7 Final remarks ...... 94
4 GUIDELINES FOR REVIEW AND PLANNING OF SMALL HYDROPOWER ...... 95
4.1 CONTEXT ...... 95 4.2 REGIONAL APPROACH...... 96 4.3 PROJECT APPROACH ...... 100 4.4 EXPECTATIONS ON THE USE OF THE GIS DATABASE FOR REVIEW AND PLANNING OF SMALL HYDROPOWER ...... 104
5 TESTING AND FINE-TUNING OF THE GUIDELINES...... 107
5.1 CONTEXT ...... 107 5.2 REGIONAL APPROACH...... 107 5.3 PROJECT APPROACH ...... 119 5.3.1 Confirming initial studies ...... 119 5.3.2 Project ranking ...... 123 5.4 FINAL RECOMMENDATIONS ON THE GIS DATABASE ...... 128
6 INTEGRATION WITH OTHER RENEWABLE ENERGIES PLANNING ...... 130
7 SMALL HYDROPOWER PLANNING FOR LEAST-COST OPTIMIZATION ...... 131
8 CONCLUSIONS ...... 135
9 REFERENCES ...... 136
ANNEXES
Annex I – Comments and recommendations on the Demo Version of the GIS database
Annex II – National maps of small hydropower
Annex III – Legal Framework
Annex IV – Projects Report
FIGURES
Figure 2.1 – Current and future situation for LHP (International Consultant’s processing)...... 10
Figure 2.2 – MHP preparing for construction status (International Consultant’s processing)...... 11
Figure 2.3 – Current and future situation for SHP (International Consultant’s processing)...... 12
Figure 2.4 – Vietnam Energy Map (International Consultant’s processing)...... 13
Figure 2.5 – Mean annual rainfall in Vietnam (WorldClim data, International Consultant’s processing)...... 15
Figure 2.6 – Mean annual temperature in Vietnam (WorldClim data, International Consultant’s processing)...... 16
Figure 2.7 – Protected areas (WPDA data, International Consultant’s processing)...... 17
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Figure 2.8 – Land Cover (GlobCover 2010 data, International Consultant’s processing)...... 18
Figure 2.9 – Land Use (GeoNetwork, International Consultant’s processing)...... 19
Figure 2.10 – Road and railroad network (Open Street Map data, International Consultant’s processing)...... 20
Figure 2.11 – Digital global elevation data (SRTM data, International Consultant’s processing)...... 21
Figure 2.12 – River and Streams derived from a DEM (SRTM data, International Consultant’s processing)...... 22
Figure 2.13 – River basins and its sub-basins (Open Development Mekong, International Consultant’s processing)...... 24
Figure 2.14 – Large reservoirs and river network (Earthdata and Open Development Mekong, International Consultant’s processing)...... 25
Figure 2.15 – Administrative divisions, district level (GADM data, International Consultant’s processing)...... 26
Figure 2.16 – Administrative divisions, detail at commune level (GADM data, International Consultant’s processing)...... 27
Figure 2.17 – Major settlements in each district (GNS data, International Consultant analysis)...... 28
Figure 2.18 – GIS database homepage...... 57
Figure 2.19 – Main menu...... 58
Figure 2.20 – Project management tab...... 59
Figure 2.21 – Project’s information...... 60
Figure 2.22 – Layers included in small hydropower GIS database and filters that can be done to projects...... 61
Figure 2.23 – Definition of the four regions...... 64
Figure 2.24 – Output from the GIS database: Report of hydropower projects...... 65
Figure 3.1 – PDP development process...... 73
Figure 3.2 – Hydropower master plan...... 75
Figure 4.1 – Guidelines for review and planning of small hydropower...... 95
Figure 4.2 – River stretch classification regarding environmental impact and hydropower potential...... 97
Figure 4.3 – Hydropower potential map for Mozambique, Angola and Liberia...... 98
Figure 5.1 – Turc method for Lao Cai (Rainfall + Temperature = Surface Runoff)...... 108
Figure 5.2 – Theoretical hydropower potential in Lao Cai (Surface Runoff + Elevation = Hydropower Potential)...... 109
Figure 5.3 – Theoretical hydropower potential in Lao Cai and identified projects...... 110
Figure 5.4 – Hydropower potential classification...... 111
Figure 5.5 – Protected areas in Lao Cai...... 112
Figure 5.6 – River stretches classification considering protected areas in Lao Cai...... 113
Figure 5.7 – Land Use in Lao Cai...... 114
Figure 5.8 – River stretches classification considering protected areas and Land Use in Lao Cai...... 115
Figure 5.9 – Environmental impact classification...... 116
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Figure 5.10 – River stretches final classification...... 117
Figure 5.11 –River stretches final classification and projects in Lao Cai...... 118
Figure 5.12 – Tà Thàng project: example of a deviation in project’s location...... 119
Figure 5.13 – Watersheds from projects located in Lao Cai...... 120
Figure 5.14 – Comparison between watershed areas included in the GIS database and obtained with GIS tools...... 121
Figure 5.15 – Comparison between modular flows included in the GIS database and obtained by the Turc method...... 121
Figure 5.16 – Comparison between annual average flows included in the GIS database and obtained by the Turc method...... 121
Figure 5.17 – Example of extracting watershed areas and modular flow obtained by Turc method...... 122
Figure 5.18 – Example of the environmental flow determination...... 123
Figure 5.19 – Small hydropower plants ranked...... 124
Figure 7.1 – Levelized cost of electricity from utility-scale renewable technologies, 2010 and 2014...... 132
Figure 7.2 – Levelized cost of energy of all priority projects – Atlas Renewable Energy of Mozambique...... 133
Figure 7.3 – Levelized cost of energy of most competitive projects – Angola Energy 2025...... 134
TABLES
Table 2.1 – LHP, MHP and PS collected information...... 7
Table 2.2 – SHP collected information...... 8
Table 2.3 – Comparison between alternative DEM datasets...... 23
Table 2.4 – Comparison between QGIS and ArcGIS...... 29
Table 2.5 – Comparison between three different types of WebGIS systems: MapServer, GeoServer and ArcGIS Server...... 30
Table 2.6 – Popular relational database management systems...... 31
Table 2.7 – Main tables that compose the GIS database...... 35
Table 2.8 – Sample of a record collected by two rainfall gauges on the Northwestern part of the hydro- meteorological network of Vietnam...... 36
Table 2.9 – Daily rainfall depth obtained after processing in situ measurements for two rainfall gauges in the Northwestern part of the Vietnamese hydro meteorological network...... 36
Table 2.10 – Sample of a record from two runoff gauges over a period of three consecutive days...... 38
Table 2.11 – Sample of the processed data (mean water flow over a period of 24h) associated with two distinct runoff gauges (Cua Dat and Khanh Nghia)...... 39
Table 2.12 – Example of measurements from a seepage meter, a tilt meter and a GPS...... 40
Table 2.13 – Example of measurements conducted in the reservoir and powerhouse of a dam...... 41
Table 2.14 - Administrative boundaries of Vietnam: regions (adapted from GADM) [9]...... 42
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Table 2.15 - Administrative boundaries of Vietnam: sample of provinces (adapted from GADM) [9]...... 42
Table 2.16 - Administrative boundaries of Vietnam: sample of districts (adapted from GADM) [9]...... 42
Table 2.17 - Administrative boundaries of Vietnam: communes (adapted from GADM) [9]...... 43
Table 2.18 – Sample of populations in Vietnam (adapted from GADM, [9]). The acronym lat stands for latitude, long for longitude and pop for population. The field year_pop reads year of count...... 43
Table 2.19 – Sample of roads and railroads in Vietnam (theoretical example)...... 44
Table 2.20 – Theoretical example of the land cover in Vietnam (adapted from the GeoNetwork database, [4])...... 45
Table 2.21 – Sample of the waterways in Vietnam – rivers and streams (adapted from the GeoFabrik database, [5])...... 45
Table 2.22 – Example of sub-stations...... 46
Table 2.23 – Example of transformers...... 46
Table 2.24 – List of transmission lines...... 47
Table 2.25 – Sample of hydropower projects in Vietnam: general information...... 49
Table 2.26 – Sample of Vietnamese reservoirs and their main features...... 51
Table 2.27 – Sample regarding the main features of Vietnamese dams...... 52
Table 2.28 – Example of spillways and their respective features...... 53
Table 2.29 –Sample of Vietnamese waterways, powerhouses and their respective features...... 55
Table 3.1 – Hydropower planning in Vietnam...... 78
Table 3.2 – Strengths and weaknesses of the current hydropower planning procedures...... 80
Table 3.3 – SHP development challenges...... 90
Table 4.1 – Theoretical hydropower potential...... 97
Table 4.2 – Environmental impacts...... 98
Table 4.3 – Considerations on the hydrological studies...... 101
Table 4.4 – Considerations on installation and site specific criteria...... 103
Table 4.5 – Considerations on socio-economic criteria...... 104
Table 5.1 – Hydropower potential classification...... 110
Table 5.2 – Indicators considered during the project ranking...... 124
Table 5.3 – Projects features...... 125
Table 5.4 – Environmental scoring...... 125
Table 5.5 – Social scoring...... 126
Table 5.6 – Economic scoring...... 126
Table 5.7 – Energetic scoring...... 127
Table 5.8 – Final scoring...... 127
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) GLOSSARY OF ABBREVIATIONS AND ACRONYMS
13FYP Thirteen Five Year Plan ASTER Advanced Spaceborne Thermal Emission and Reflection Radiometer CDC Council for the Development of Cambodia CHP Combined Heat and Power COTS Common-Of-The-Shelf CSP concentrating solar power DARD Department of Agriculture and Rural Development DB Database DEDE Department of Alternative Energy Development and Efficiency DEM Digital Elevation Model DoE Department of Electricity DOIT Department of Industry and Trade DONRE Department of Natural Resources and Environment DPI Department of Planning and Investment ED Energy Department EGAT Electricity Generating Authority of Thailand EIA Environmental Impact Assessment EMP Environmental Management Plan EOSDIS Earth Observing System Data and Information System EPC Engineering, procurement and construction ERA Electricity Regulatory Authority ESA European Space Agency ESMAP Energy Sector Management Assistance Program ESRI Environmental Systems Research Institute EVN Electricity of Vietnam FAO Food and Agriculture Organization FiT Feed in tariff FS Feasibility Study GADM Global Administrative Areas GDE General Directorate of Energy GIS Geographic Information System GNS Geonet Names Server GoL Government of Laos GoV Government of Vietnam GPS Global Positioning System GRASS Geographic Resources Analysis Support System HMS National Hydro-Meteorological Service HPP Hydropower Plant ICOLD International Commission On Large Dams IE Institute of Energy IEIA initial environmental impact assessment IHR Institute for Hydropower and Renewable Energy IRC Inter-ministerial Resettlement Committee
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) IRDB Irrigation Database IUCN International Union for Conservation of Nature JETRO Japan External Trade Organization LCOE Levelized Cost of Electricity LHP Large Hydropower LNG Liquefied Natural Gas MAFF Ministry of Agriculture Forestry and Fisheries MARD Ministry of Agriculture and Rural Development MEA Metropolitan Electricity Authority MEF Ministry of Economics and Finance MEM Ministry of Energy and Mines METI Ministry of Economy, Trade, and Industry of Japan MHP Medium Hydropower MIME Ministry of Industry, Mines and Energy MIS Management of Information System MOC Ministry of construction MoE Ministry of Environment MOF Ministry of Finance MOIT Ministry of Industry and Trade MONRE Ministry of Natural Resources and Environment MOST Ministry of Science and Technology MoWRAM Ministry of water Resources and Meteorology MPI Ministry of Planning and Investment MRC Mekong River Commission MWR Ministry of Water Resources NASA National Aeronautics and Space Administration NCAR National Center for Atmospheric Research NCEP National Centers for Environmental Prediction NGO Non-Governmental Organization NHMS National Hydro-Meteorological Service NHP National Hydropower Plan NPV Net Present Value O&M Operation and Maintenance ORDBMS Object-Relation Database Management System PDP Power Development Master Plan PEA Provincial Electricity Authority PECC Power Engineering Consulting Joint Stock Company PMB Power Management Board PPC Provincial People’s Committee PSP Pumped-Storage Projects PV solar photovoltaic Q&A Questions and Answers QGIS Quantum GIS QGIS Quantum GIS RDBMS Relational Database Management Systems
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) REDP Renewable Energy Development Project RES Renewable Energy Sources RE Renewable Energies SEA Strategic Environmental Assessment SHP Small Hydropower Plant SIA Social Impact Assessment SPP Small Power Producers SQL Structure Query Language SRTM Shuttle Radar Topography Mission stdev Standard deviation TOR Terms Of Reference US United States (of America) UNEP United Nations Environment Programme USGS United States Geological Survey UTM Universal Transversal Mercator UV Ultraviolet VAWR Vietnam Academy of Water Resources VEA Vietnam Environment Administration VEPA Vietnam Environment Protection Agency VSPP Very Small Power Producer WBG World Bank Group WCMC World Conservation Monitoring Centre WCPA World Commission on Protected Areas WCS Web Coverage Service WDPA World Database of Protected Areas WFS Web Feature Service WGS World Geodetic System WMO World Meteorological Organization WMS Web Map Service
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 1 INTRODUCTION
1.1 FRAMEWORK
The Energy Sector Management Assistance Program (ESMAP) is a global knowledge and technical assistance program administered by The World Bank Group (WBG) and supported by 11 bilateral donors. ESMAP’s efforts focuses on energy security, energy access, and climate change, and take into account three core services: i) analytical work, ii) knowledge clearinghouse, and iii) operational support to WBG regions for technical assistance work at the country level. Carrying out renewable resources mapping and geospatial analysis at country level helps to scale up the deployment of biomass, small hydropower (hereafter referred to as SHP), solar and wind electricity generation, particularly in countries where one or more of these sources of power are underdeveloped. This is because such mapping is a crucial step to developing a policy framework to guide investment in Renewable Energies (RE) electricity generation which, along with publicly-available data, helps reduce transaction costs and speeds up deployment by providing commercial developers with:
Increased certainty that projects are likely to be approved or permitted with minimal bureaucracy and delay Data transparency and a level playing field, thereby reducing barriers to the entry and limiting the scope of corruption A baseline of reliable data that can help guide prospecting activities and can be used for data verification purposes A better informed off taker or purchasing authority, thereby improving the price negotiation process In response, ESMAP has launched a new initiative to support country-driven efforts to improve RE awareness, put in place appropriate policy frameworks for RE development, and provide “open access” to resource and geospatial mapping data. One of the key elements of this ESMAP initiative was to select consulting firms and establish framework agreements for the procurement of resource data and mapping services. For the renewable energy mapping based on hydropower, the WBG hired qualified consulting firms with demonstrated capabilities in providing SHP resource mapping and related services and an Indefinite Delivery Contract commenced on May 28, 2013, and is expected to end by 2017. The tender for Small Hydropower Mapping and Planning in Vietnam was released under this contract in early 2014. For this particular tender, an International Consultant’s Association (henceforward referred to as International Consultant) led by Gesto Energy Consulting and GeoViet Consulting as local partner was formed. The contract was awarded in June 2014 and works commenced on October 2014. The contract also included advisory services and seamless interaction and coordination with a parallel contract awarded to a Vietnamese consultant, the Vietnamese Academy of Water Resources – VAWR (henceforward referred to as National Consultant).
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 1.2 SCOPE OF WORK
Hydropower is an important part of Vietnam’s power generation, representing about 50% of the total installed capacity in Vietnam. In Vietnam SHP is defined as schemes below 30 MW. Larger schemes are being developed and operated mainly by the national electric utility Electricity of Vietnam (EVN), while the SHP is manly developed by private investors (or join stock companies, which are joint venture of state and private owned companies). At the time, most of the medium and large hydropower sites that are good from a technical, social and environmental perspective have already been developed, the Government of Vietnam is turning the focus on developing the still large potential of SHP. Nowadays there is about 190 SHP in operation and another 180 under construction, with a total of 3.8 GW. However, a total of more than 600 SHP sites are under investment study or being planned (> 3.5GW). This project aims to build up a national GIS database and maps of SHP, which can be used for planning and coordinated development of renewable energies. The main beneficiary of the project will be the Ministry of Industry and Trade and its General Directorate of Energy (henceforth referred to as MOIT and GDE, respectively). The Terms of Reference requested the work to be grouped into two main activities:
Activity 1 – Advisory services for building up a national GIS database for SHP Activity 2 – Developing guidelines for improved planning of SHP The objectives of Activity 1 are:
To carry out an Inception Phase and draft an Inception Report To design a GIS database for national information on SHP development To produce the working report on the design of the SHP GIS database Advisory services for compilation of data, digitizing and population of GIS database, in coordination with the parallel contract for the National Consultant Activity 1 started with the Inception Mission in October 2014 in Hanoi and Son La province, Vietnam, with the general purpose of presenting the International Consultant and WBG/MOIT teams, getting the International Consultant acquainted with local conditions and fine-tune the proposed implementation plan. The specific objectives of the inception mission were to:
promote meetings with the MOIT; promote meetings with the National Consultant; identify and promote meetings with relevant stakeholders; make an assessment of available information; compile relevant information and data;
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) make an institutional assessment of MOIT’s capacity on GIS; evaluate major challenges in the project. The objectives of the Inception Mission were accomplished and it allowed the International Consultant to take the pulse of the current status of SHP and geographical information systems at MOIT and the framework for SHP development in Vietnam. The International Consultant identified the major challenges for the development of the project, addressed their impact and revised the implementation plan accordingly. Activity 1 was concluded on December 2015 with the deliverable of the Working Report concerning the design of the GIS database for SHP in Vietnam. This report intended to create guidelines that will advise the National Consultant building the GIS database. Regarding Activity 2, its objectives are:
To develop guidelines for review and planning of SHP To test and fine-tune guidelines and capacity building of MOIT To produce the Final Report and promote the Final Workshop for the Client and relevant stakeholders The Activity 2 started with the working meeting to Vietnam in May 2016, where several meetings with relevant stakeholders were held in order to understand the small hydropower plants planning procedures in Vietnam and the main weaknesses and strengths of the planning process. With the inputs collected in this mission, the guidelines were developed and its first version was sent to MOIT in October 2016 for review and feedback. The guidelines test and fine-tune were developed for Lao Cai province, in accordance to MOIT, and the draft report was produced and sent to MOIT and WB in November 2016. The final Workshop took place in 23th February 2017. This report is the Final Report and will summarize the development of the Small Hydro GIS Database and Guidelines to review and Planning of Small Hydro.
1.3 CONTENTS OF THE REPORT
This report summarizes the development of the Small Hydro GIS Database and Guidelines for Review and Planning of Small Hydro and includes national maps of SHP in Vietnam. It focus on the guidelines for review and planning for SHP projects taking into account the newly developed tool that is the GIS database of SHP. The GIS database was developed by the National Consultant in close coordination with the International Consultant and is an important tool that will collect relevant data concerning the development of SHP projects. The document is divided into the following sections:
Chapter 1 is the introduction to the project.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Chapter 2 describes the SHP GIS database and includes a summary of the work developed during Activity 1. The importance of the GIS database is emphasized in this chapter and national maps with the information included into the GIS database are presented. In Chapter 3 the current planning procedure of SHP is analyzed, including the relevant legislation on SHP, and strengths and weaknesses of the planning procedure are stated. Chapter 4 is where the guidelines for review and planning of SHP are presented, followed by their test and fine-tuning in Chapter 5. Comments on the integration of the GIS database of SHP with others RE planning and the guideline adaptation to other RE planning and development are stated in Chapter 6. In Chapter 7 an assessment of SHP planning for least-cost optimization is presented. In Chapter 8 the main conclusions from the document are highlighted.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 2 SMALL HYDROPOWER GIS DATABASE
2.1 CONTEXT
Throughout the several missions conducted to Vietnam1 by the International Consultant the importance of having a comprehensive GIS database with the existing hydropower data and studies in Vietnam was continuously emphasized. In reality, the planning of hydropower in Vietnam is different for different types of hydropower projects: the large ones (capacity over 30 MW) are planned at a national level and small ones (capacity below 30 MW) are planned and developed at provincial level, with the approval of MOIT. Thus, SHP studies are decentralized and creating a GIS database is an effective way to store this otherwise scattered information. The SHP GIS database aims to facilitate the planning and development of projects, since it will allow to see all projects together and will allow checking the influence that one specific project may have in other projected in the same river or river basin. This chapter will include the main conclusions and outputs done during Activity 1. It starts with a summary of the Inception Mission, including data collected during said mission and the subsequent compilation of global data done by the International Consultant. A presentation about software options that can be used in the conception of the SHP GIS database is also presented, including recommendations based on the International Consultant’s previous experiences. Next, an assessment the options taken by the National Consultant during the development of the GIS database and some advises related with the inclusion of temporal data in the GIS database. The International Consultant believes that the inclusion of measurement data into the GIS database, like rainfall, river flow, temperature, evapotranspiration, etc. is of utmost importance because it can allow confirming easily hydrological studies included on initial studies of SHP. Some advises related with data organization are also stated.
2.2 INCEPTION PHASE
2.2.1 INTRODUCTION
The Inception Mission occurred in October 2014, in Hanoi and Son La province, Vietnam, with the general purpose of presenting the International Consultant and Client teams, getting the International Consultant acquainted with local conditions and fine-tune the proposed implementation plan. It was
1 The most important of which: the Inception Mission in October 2014, the Working Mission in November 2015 and the Working Mission in May 2016.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) possible to promote meetings with the Client and National consultant and with relevant stakeholders involved in SHP planning and approval. During the Inception Mission the main challenges for this assignment were identified. On a primary level the major challenge identified was the seamless coordination between National and International Consultants, that is, the seemingly iterative and interdependent cooperation that needed to occur between the National and International Consultants, even though on one side the International Consultant is focused on advising, whilst on the other side the National Consultant is focused on the operational perspective. On a secondary level other major challenges was the language barrier for the International Consultant and the comprehensive data collection activity for the National Consultant. During the Inception Mission, the International Consultant focused on getting an overview of the existing data that could later be helpful when designing the GIS database, in terms of format, size and quality, and on making an assessment of available information and previous studies on the subject (for a better understanding of the sector and to avoid duplication of work). In the next sections a summary of the data collected is presented, including data collected during the Inception Mission and global data. A summary of the software options and recommendations about the GIS database is also presented.
2.2.2 SUMMARY OF HYDROPOWER DATA COLLECTED IN THE INCEPTION MISSION
In the Inception Mission, the International Consultant attempted to collect basic information such as:
National Hydropower Plan (NHP) from 2007 – and any existing update; SHP Development Plans requested to the Provinces by MOIT in 2005 – and any existing update; Current licensing and approval process for SHP; List of existing/planned hydropower projects; Existing maps and GIS layers; Other info that might be relevant. The NHP and the plans requested to the Provinces by MOIT in 2005 was considered of high importance since they should constitute the baseline for small and large hydropower development in Vietnam and, presumably, contain lists and main features of existing and planned hydropower projects. An updated description of the current planning process for SHP is also relevant considering the identification of relevant stakeholders in the process and the development of guidelines for improved strategic planning of SHP. A rough list of existing/planned hydropower projects and existing maps and GIS layers helps to estimate the preliminary features of the GIS database in terms of size, complexity and storage requirements. As for other info that might be relevant, in the sequence of the meetings held with other relevant stakeholders such as the Ministry of Agriculture and Rural Development, the Electricity of Vietnam and the Ministry of Natural Resources and Environment, additional information on
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) hydropower, dams or the planning processes was considered to be useful but to obtain it considerable high level coordination is required2. Current and future energy situations were assessed from analyzing this data. The different types of hydropower projects per province were assessed, along with the total generation capacity in each region. For this purpose, the following definition is considered:
Small Hydropower Plant (SHP) – under 30 MW; Medium Hydropower Plant (MHP) – under 100 MW; Large Hydropower Plant (LHP) – above 100 MW; Pumped-Storage Plant (PSP) – any capacity. This definition was also considered due to the type of information gathered. While the LHP and PSP list contains the installed capacity and the status of the development per project (in operation, under construction or planned), the MHP list only contains the projects in preparing for construction status, and the SHP list only contains the number of projects and total installed capacity per status (in operation, under construction, FS preparing or Planned with no developer) and per province, without specific information about the projects. The information processed by the International Consultant on LHP, MHP and PSP is presented in Table 2.1, while information regarding SHP is presented in Table 2.2.
Table 2.1 – LHP, MHP and PS collected information.
Name of project Install capacity (MW) Type Province Status Hòa Bình 1920 LHP Hoa Binh In Operation Thác Bà 108 LHP Yen Bai In Operation Yali 720 LHP Gia Lai In Operation Đa Nhim 160 LHP Lam Dong In Operation Hàm Thuận 300 LHP Lam Dong In Operation Đa Mi 175 LHP Lam Dong In Operation Thác Mơ 150 LHP Binh Phuoc In Operation Trị An 400 LHP Dong Nai In Operation Tuyên Quang 342 LHP Tuyen Quang In Operation Bản Chát 220 LHP Lai Chau In Operation Huội Quảng 520 LHP Son La In Operation Sơn La 2400 LHP Son La In Operation Bản Vẽ 300 LHP Nghe an In Operation A Vương 210 LHP Quang Nam In Operation Kanak-An Khê 173 LHP Gia Lai In Operation Sông Tranh 2 190 LHP Quang Nam In Operation Sông Ba Hạ 220 LHP Phu Yen In Operation Đại Ninh 300 LHP Lam Dong In Operation Plei Krông 110 LHP Kon Tum In Operation
2 The above mentioned information was directly requested at said meetings, but to start the sharing process official letter requests were compulsory.
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Name of project Install capacity (MW) Type Province Status Sêsan 3 260 LHP Gia Lai In Operation Sêsan 4 330 LHP Gia Lai In Operation Srêpok 3 220 LHP Dac Lac In Operation Buôn Kuôp 280 LHP Dac Lac In Operation Đồng Nai 3 240 LHP Lam Dong In Operation Đồng Nai 4 270 LHP Lam Dong In Operation Nam Chien 1 210 LHP Son La In Operation Khe Bố 100 LHP Nghe an In Operation Hủa Na 180 LHP Nghe an In Operation Nho Quế 3 135 LHP Ha Giang Under Construction Lai Châu 1200 LHP Lai Chau Under Construction Trung Sơn 250 LHP Thanh Hoa Under Construction A Sap 150 LHP Thura Thien Hue Under Construction Sông Bùng 2 100 LHP Quang Nam Under Construction Sông Bùng 4 145 LHP Quang Nam Under Construction Đakmi 1 200 LHP Quang Nam Under Construction Đakmi 4 140 LHP Quang Nam Under Construction Thượng Kontum 260 LHP Kontum Under Construction Đông Phù Yên (storage) 1200 PSP Son La Planned Bác Ái (storage) 1050 PSP Ninh Thuan Planned Long Tao 42 MHP Dien Bien Planned Nam Pan 5 34,5 MHP Son La Planned Song Lo 6 44 MHP Ha Giang Planned Chi Khe 41 MHP Nghe An Planned Son Tra 1 42 MHP Quang Ngai Planned Bao Lam (1+2+3) 116 MHP Cao Bang Planned Yen Son 70 MHP Tuyen Quang Planned Cam Thuy 2 38 MHP Thanh Hoa Planned Nam Mo 1 95 MHP Nghe An Planned Vinh Son 2 80 MHP Binh Dinh Planned Pa Ma 80 MHP Dien Bien Planned Phu Tan 2 60 MHP Dong Nai Planned Thanh Son 40 MHP Dong Nai Planned
Table 2.2 – SHP collected information.
In Operation Under construction FS preparing Planning Province Nr. MW Nr. MW Nr. MW Nr. MW Ba Ria - VTau|Ba Ria-Vung Tau 0 0,0 1 2,50 0 0,0 0 0,0 Bac Kan|Bac Can 3 10,1 1 5,00 1 4,5 23 26,4 Binh Thuan 1 6,6 6 64,50 6 43,7 0 0,0 Binh Dinh 0 0,0 0 0,00 2 17,5 0 0,0 Binh Duong 2 6,4 3 27,20 3 16,0 10 28,1 Binh Phuoc 1 33,0 2 22,00 4 28,0 2 9,0 Cao Bang 10 32,4 6 50,90 10 68,5 10 24,4 Da Nang City|Da Nang 0 0,0 4 50,20 2 5,2 2 6,7 Dak Lak|Dac Lac 11 57,1 2 10,00 5 26,2 3 12,2 Dac Nong 8 59,3 3 36,00 13 75,7 1 1,9 Dien Bien 7 20,5 3 67,50 12 216,4 22 127,8 Gia Lai 28 168,9 11 71,75 7 35,0 2 12,5 Ha Giang 15 193,0 7 93,70 16 176,9 6 35,3 Ha Tinh 2 36,0 0 0,00 5 63,1 1 1,0 Hoa Binh 5 13,6 4 15,30 0 0,0 0 0,0
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In Operation Under construction FS preparing Planning Province Nr. MW Nr. MW Nr. MW Nr. MW Khanh Hoa 1 28,0 3 56,00 1 7,0 0 0,0 Kon Tum 7 82,2 15 97,30 20 149,3 2 11,5 Lai Chau 4 20,5 8 70,30 22 242,9 9 76,6 Lam Dong 9 84,5 7 77,90 14 92,2 4 21,6 Lang Son 1 4,5 5 54,40 1 2,0 7 12,5 Lao Cai 27 281,6 20 409,10 28 216,8 2 10,0 Nghe An 4 38,5 11 174,40 6 93,0 1 2,0 Ninh Thuan 2 15,6 1 10,50 2 14,8 0 0,0 Phu Tho 0 0,0 1 2,60 1 4,0 0 0,0 Phu Yen 0 0,0 3 31,00 1 4,8 1 1,6 Quang Binh 1 13,5 1 22,00 3 38,5 21 68,8 Quang Nam 11 88,0 4 189,00 19 166,8 1 4,2 Quang Ngai 4 33,1 1 1,80 13 240,7 3 14,5 Quang Ninh 1 3,6 1 3,60 3 28,4 0 0,0 Quang Tri 2 9,4 6 71,50 0 0,0 3 8,0 Son La 20 251,1 18 221,20 13 131,6 9 65,0 Tay Ninh 1 1,5 1 1,50 0 0,0 0 0,0 Thai Nguyen 1 1,9 0 0,00 0 0,0 0 0,0 Thanh Hoa 2 3,0 3 30,60 0 0,0 1 6,0 Thua Thien - Hue 0 0,0 3 55,20 5 52,0 2 8,0 Tuyen Quang 0 0,0 1 8,00 1 9,5 0 0,0 Yen Bai 15 68,425 13 255,90 10 56,8 7 43,6 Total 206 1665,6 179 2360,4 249 2327,7 155 639,2 To be commissioned until 2015 4025,9 MW
Considering this, the International Consultant proceeded to digitize the above information and depict the current and future hydropower-based generation situation per province in Vietnam in the next figures.
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Figure 2.1 – Current and future situation for LHP (International Consultant’s processing).
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[#] – Number of sites per province
Figure 2.2 – MHP preparing for construction status (International Consultant’s processing).
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Figure 2.3 – Current and future situation for SHP (International Consultant’s processing).
Since no coordinates were available in the information provided, the International Consultant used the Vietnam Energy Map from Japan External Trade Organization (JETRO), which is based on the National Power Development Master Plan VI (PDP VI), in order to geo-reference the data collected, while adding some additional projects. Likewise, the transmission network, pipelines and other source based power plants were digitized into GIS layers, being represented in Figure 2.4.
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Figure 2.4 – Vietnam Energy Map (International Consultant’s processing).
2.2.3 COMPILATION OF GLOBALLY AVAILABLE DATA
2.2.3.1 CONTEXT
All local datasets were gathered by the National Consultant. Data coming from a local (usually official) source should always be preferable when compared with data from other sources, such as globally available data.
Nonetheless, the International Consultant was expected to conduct a complementary compilation of readily available (global) geographic data for Vietnam and use it in the event that part of the data is not locally available.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Given the International Consultant’s experience, the types and sources of globally available datasets with relevance to the project might be:
Meteorological Data - Rainfall, Temperature, Evaporation (e.g. from WorldClim); Digital Terrain Models, River Network, Catchment areas (e.g. from NASA’s Shuttle Radar Topography Mission - SRTM); List of large dams (e.g. from ICOLD); Rails, roads, water bodies, rivers (e.g. from Digital Chart of the World); Administrative boundaries (e.g. from GADM); Administrative layers (city points, districts, localities, civil divisions, neighborhoods), geographic features (parks, forests, lakes, islands), points of interest (schools, markets, hospitals, temples, etc.), and roads and rails (e.g. from Google Map Maker); The coastline, highways, key locations, natural areas, points of interest, water bodies (e.g. from Open Street Map - crowd-sourced and updated frequently); Settlements and population (e.g. from Open Street Map) Protected lands (e.g. from Protected Planet); Land cover map (e.g. from ESA GlobCover);
The preliminary results of the globally available data ready to be used in the development of the SHP GIS database are presented in the next sections.
2.2.3.2 HYDROLOGICAL AND METEOROLOGICAL DATA
Hydrological and meteorological info are amongst the most important type of data for SHP, and should preferably be collected locally. However, in the event that no detailed hydro or meteorological data is available for the development of the study, an alternative might be the use of global data sources such as the WorldClim project, the Tropical Rainfall Measuring Mission or the NCEP/NCAR reanalysis [1].
These global data sources allow an estimation of the rainfall and temperature, even though it is advisable to have at least some good quality ground stations to assess the global data sources level of accuracy. As an example, Figure 2.5 and Figure 2.6 respectively present the mean annual rainfall and temperature for Vietnam, obtained from data from the WorldClim project.
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Figure 2.5 – Mean annual rainfall in Vietnam (WorldClim data, International Consultant’s processing).
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Figure 2.6 – Mean annual temperature in Vietnam (WorldClim data, International Consultant’s processing).
2.2.3.3 PROTECTED AREAS
Protected areas are also one of the most important factors in the assessment of a potential site for a hydropower plant and energy planning in general. The environmental impact can be a decisive factor and should be initially evaluated on a desktop level to avoid possible conflicts. This information should be from official source to guarantee its authenticity.
Alternative information is available in the World Database of Protected Areas (WDPA), such as the one presented in Figure 2.7 [2]. The WDPA is a joint venture between the United Nations Environment Programme’s World Conservation Monitoring Centre (UNEP – WCMC) and the International Union for Conservation of Nature’s World Commission on Protected Areas (IUCN – WCPA). It is the largest
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) database both on terrestrial and marine protected areas, collected from the international convention secretariats, governments and NGO’s.
Figure 2.7 – Protected areas (WPDA data, International Consultant’s processing).
2.2.3.4 LAND COVER
Land cover may be a decisive factor when assessing a SHP site, and if it is not possible to obtain this data locally, it is possible to obtain it from global datasets, such as GlobCover from the European Space Agency (ESA). The most recent version of the GlobCover land cover dates is from 2010 and is presented in Figure 2.8 [3].
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Figure 2.8 – Land Cover (GlobCover 2010 data, International Consultant’s processing).
2.2.3.5 LAND USE
Such as protected areas and land cover, land use is also very important for the environmental impact assessment, especially when specific areas may prevent the development of hydropower projects. Once
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) again, if it’s not possible to obtain this data locally, it is possible to obtain it from global datasets, such as GeoNetwork, as presented in Figure 2.9 [4]. This open-source global database, belongs to Food and Agriculture Organization of the United Nations (FAO), and allows easily sharing geographically referenced thematic information between different organizations.
Figure 2.9 – Land Use (GeoNetwork, International Consultant’s processing).
On a different note, land property is one of the issues that the National Consultant could evaluate along the project, with the purpose of a better understanding on how to grant/own land for the implementation of hydropower plants and how the ownership of land may impact on project delays or its feasibility. For this sake, the mapping of different types of ownership or concession of land would be useful, though the International Consultant is not aware if such information is available.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 2.2.3.6 ROAD AND RAILROAD NETWORK
The road and railroad networks presented below in Figure 2.10 were obtained from Open Street Map, a vector-based collection worldwide GIS data, with global coverage at public domains. This data may be used if no other local data can be obtained [5].
Figure 2.10 – Road and railroad network (Open Street Map data, International Consultant’s processing).
2.2.3.7 MORPHOLOGICAL DATA
Contour data, as well as river and streams, may be derived from a Digital Elevation Model (DEM). Since the scope of work is SHP, the DEM resolution should be as refined as possible, and so, if a more detailed DEM exists locally, it should be obtained. An alternative dataset for this purpose is the larger scale
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) universally used digital elevation dataset provided by the Shuttle Radar Topography Mission (SRTM), presented in Figure 2.11 [6].
Figure 2.11 – Digital global elevation data (SRTM data, International Consultant’s processing).
As mentioned, river and streams may be derived from a DEM. An example of this approach, using the SRTM, is presented in Figure 2.12.
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Figure 2.12 – River and Streams derived from a DEM (SRTM data, International Consultant’s processing).
A better resolution but less widespread alternative to the SRTM is the Advanced Spaceborne Thermal Emission and Reflection Radiometer3 (ASTER). The comparison between these two source alternative datasets is presented in Table 2.3.
3 ASTER GDEM is a product of METI and NASA.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 2.3 – Comparison between alternative DEM datasets.
ASTERGDEM SRTM
Data source ASTER Space shuttle radar Generation and METI/NASA NASA/USGS distribution V1 ~2003 V1 Release year ~2011 V2 ~2007 V4.1 Data acquisition 2000 ~ ongoing 11 days (in 2000) period DEM resolution 30m 90m DEM accuracy 7~14m 10m (stdev.) 83 degrees north ~ 83 degrees 60 degrees north ~ 56 degrees DEM coverage south south Areas with no ASTER data due Area of Topographically steep area to constant cloud cover missing data (due to radar characteristics) (supplied by other DEM)
The main problems with the use of large scale DEMs like SRTM or ASTER for SHP assessment may be summarized in two issues:
The lower the resolution, the worst the hydraulic head and overall costs estimation; The stream network derived from flow accumulation procedures will present some deviations, sometimes getting the wrong path. This is more prone in larger scales.
2.2.3.8 RIVER BASINS
River basins presented below in Figure 2.13 were obtained from Open Development Mekong, a website that provides information on development trends in the Mekong Region to increase public awareness, enable individual analysis, improve information sharing, and inform debate - all contributing to sustainable development from a social, economic and environmental perspective [7].
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Figure 2.13 – River basins and its sub-basins (Open Development Mekong, International Consultant’s processing).
2.2.3.9 LARGE RESERVOIRS
Large reservoirs presented in Figure 2.14 were obtained from Earthdata, powered by The Earth Observing System Data and Information System (EOSDIS) that is a key core capability in NASA’s Earth Science Data Systems Program. It provides end-to-end capabilities for managing NASA’s Earth science data from various sources: satellites, aircraft, field measurements, and various other programs [8].
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Figure 2.14 – Large reservoirs and river network (Earthdata and Open Development Mekong, International Consultant’s processing).
2.2.3.10 ADMINISTRATIVE BOUNDARIES
Administrative boundaries are crucial to extract location information for the projects and to correctly identify the local entities to be consulted. This information should be officially provided, as it is likely to
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) change periodically. If this is not the case, the Global Administrative Areas database4 (GADM) may be used, as the ones presented nationwide in Figure 2.15 and in higher detail in Figure 2.16 [9]. The available administrative divisions available for Vietnam are: country, regions, provinces, districts and communes.
Figure 2.15 – Administrative divisions, district level (GADM data, International Consultant’s processing).
4 Version 2.0, January 2012
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Figure 2.16 – Administrative divisions, detail at commune level (GADM data, International Consultant’s processing).
2.2.3.11 SETTLEMENTS AND POPULATION
The information on settlements and population, respective loads, grid and mini-grids aggregation is crucial for the first design approach for the capacity of the hydropower projects.
The hydropower project levelized cost of energy is strongly dependent on its energy production, and consequently, its installed capacity. For the same site, all the capacities below the optimum balance between capacity and resource will result in higher generation costs. Nevertheless, the capacity is sometimes limited not by the resource but by the demand load side. For this reason, the population, expected loads and the aggregated load are essential information for adaptation of the hydropower potential to grid and population needs.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) At this stage, available data was collected from these global data sources:
Open Street Map; Geonet Names Server (GNS). An example of information obtained from the GNS is displayed in Figure 2.17, where major settlements in each district are geo-referenced [10].
Figure 2.17 – Major settlements in each district (GNS data, International Consultant analysis).
It should be noted that this information is not official and population is not available. This data is considered relevant for the project and should therefore be gathered locally.
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2.2.4.1 CONTEXT
Following, considerations regarding GIS Software, Database Software, Image Server and Hosting server are presented based on the International Consultant experience.
2.2.4.2 GIS SOFTWARE
The choice of the right software for building-up a GIS project is a big investment either in time, resources or, sometimes, money. Different types of GIS software are available in the market such as proprietary options (ESRI ArcGIS, MapInfo, Global Mapper, etc.) and open source software (QGIS, GRASS GIS, gvSIG, etc.). A comparison between two of the most used open source (QGIS) and proprietary (ArcGIS) solutions is presented in Table 2.4.
Table 2.4 – Comparison between QGIS and ArcGIS.
QGIS ArcGIS Free downloadable open source software Commercial software that includes three desktop Cost Free plugins that enable customization versions, No maintenance contracts Different extensions and tools in separate modules very expensive (several thousands of dollars) Costly maintenance contracts No licensing concerns because QGIS is free and Software restricted through a computer license Licensing open source software Installation are regulated by a licensing key Loaded on any computer Extensions with fixed licensing keys used in just one Numerous updates available each year computer Most development done by paid developers As proprietary software the development is performed Development through contributions by ESRI Huge community of volunteers help on The code is not available for use development of new features on QGIS software The product that is purchased cannot be modified in The code is available for anyone to see and it can anyway. be modified by anyone allowing customization Windows Windows Platform Mac Linux Support via dedicated websites, forums and Specialized support well established in all ArcGIS Support blogs products Huge community of users can easily support in Direct support 24/7 through direct contact to ESRI technical issues phone lines or emails. Technical support for QGIS are available via Depending of maintenance contracts OSGeo.org site No maintenance contracts In terms of security of sensitive data and capacity needed from the end-users, both options are similar, albeit in the latter case QGIS may be associated to a more intuitive and faster to learn alternative. QGIS is a cross-platform free and open source desktop GIS application that provides visualization, editing and data analysis. QGIS is strong and powerful to use and provides a continuously growing number of capabilities provided by core function and plugins. QGIS provides integration with other open source programs including PostgreSQL, GRASS and MapServer ensuring extensive functionalities.
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WebGIS is a GIS system that uses web technologies. It often uses web technologies to communicate among different components of the system. WebGIS originates from a combination of web technology and the Geographical Information System, which is a recognized technology that is mainly composed of data handling tools for storage, recovery, management and analysis of spatial data Web GIS is a kind of distributed information system. The simplest architecture of a WebGIS must have at least one client and one server that client is a desktop application or web browser application that allows users to communicate with server, and the server is a web server application. Table 2.5 presents a comparison between the most commonly used WebGIS, taking into account their main features: supported operating systems, software interface, supported data types and input files, and also the main advantages/disadvantages of each system.
Table 2.5 – Comparison between three different types of WebGIS systems: MapServer, GeoServer and ArcGIS Server.
MapServer UMN: GeoServer: ArcGIS Server: Cost Free, open-source Free, open-source Proprietary Supported Windows, Linux, Mac OSX, Solaris Windows, Linux, Mac OSX Windows, Linux Operating etc. Systems Software Command line or separately Graphical user interface Graphical user interface Interface installed graphical user interface Supported Vector: shapefile, TIGER etc. Vector: shapefile, TIGER etc. Vector: shapefile, TIGER etc. Data Types Raster: TIF, GeoTIFF, JPEG, GIF, Raster: TIF, GeoTIFF, JPEG, GIF, Raster: TIF, GeoTIFF, JPEG, GIF, PNG etc. PNG etc. PNG etc. Databases: Microsoft SQL, Oracle, Databases: Microsoft SQL, Oracle, Databases: Microsoft SQL, Oracle, PostGIS/PostgreSQL etc. PostGIS/PostgreSQL etc. PostGIS/PostgreSQL etc. Supported Web Map Service (WMS) Web Map Service (WMS) Web Map Service (WMS) Input File Web Feature Service (WFS) Web Feature Service (WFS) Web Feature Service (WFS) Formats Web Coverage Service (WCS) Web Coverage Service (WCS) Web Coverage Service (WCS) Advantages The core functionality of Performance, no proxying Spatial Analysis: Supports server- MapServer is its MapFile, a requests; based analysis and geoprocessing, configuration file defining the It is based on Spring/Acegi including vector, raster, 3D, and raster and vector layers along security. Supports almost all network analytics; with their visual styling. The authentication and authorization Web Application Functionality: conceptual simplicity of the schemes Contains tools and tasks, including MapFile is one of the main As most of the open source pan, zoom, identify features, advantages of MapServer over software, it has a very flexible measure distances, find similar systems; structure; addresses, query, and search It has a large user community point-and-click web attributes; with numerous programmers who administration GUI; Application Developer: Tools further develop functionalities The software runs on all major Includes APIs and Application and features; operating systems (Windows, Development Framework for It reads data from a variety of Linux and Mac OSX); .NET, Java, JavaScript, Flex, and enterprise geodatabases, such as Enterprise JavaBeans; Oracle, IBM DB2 and PostgreSQL; Mobile Application Developer The main cartographic operations tools: Provides tools to manage include data filtering operations, and deploy custom applications anti-aliasing, on-the-fly projection for use on mobile devices. and visualization of data in the form of pie and bar charts. Disadvantages Unlike a commercial product, Unlike a commercial product, Initial cost (proprietary licensing);
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MapServer UMN: GeoServer: ArcGIS Server: MapServer does no come with a GeoServer does no come with a Cost tends to pile up. When you set of technical support services; set of technical support services; need an extra software MapServer software needs to be It has non-standard configuration component that will best fit to installed and configured on a files; your existing infrastructure, it will server, which is not possible in Primitive customization of the probably cost you more. the prototype application’s map layout (Simple SLD text box). It is not an open source software, current shared hosting which makes it more rigid; environment;
2.2.4.3 DATABASE SOFTWARE
Considering the database, the one to be implemented on this project should be relational to allow the management system to implement the relational model smoothly. Each database implements a different model to structure the data that is being managed in a logical fashion. The design and conceptualization of the database are the first step to preview how a database will work and handle the information contained therein. This type of database management systems requires structures (e.g. tables) to be defined to contain and work with data. Each column holds a different type of information and each record in the database, uniquely identified with keys, are related together, as defined within the relational model. The type of data and the attributes on each table has to be defined after the collection of all available data at different institutions and agencies. Some of the most commonly used and popular relational database management systems (RDBMS) are presented in Table 2.6.
Table 2.6 – Popular relational database management systems.
PostgreSQL: MySQL: SQLite: Description The most advanced, SQL-compliant and The most popular and commonly used A very powerful, embedded open-source objective-RDBMS RDBMS. relational database management system Cost Free, Open source Proprietary (Oracle), Open source Free, Open source Supported bigint Tinyint Null Data Types bigserial Smallint Integer bit [(n)] Mediumint Real bit varying [(n)] Int or integer Text boolean: Bigint Blob box Float bytea Double, double precision, real character varying [(n)]: Decimal, numeric character [(n)] Date cidr Datetime circle Timestamp date Time double precision Year inet Char integer Varchar interval [fields] [(p)] Tinyblob, tinytext line Blob, text lseg Mediumblob, mediumtext macaddr Longblob, longtext money Enum
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PostgreSQL: MySQL: SQLite: numeric [(p, s)] Set path point polygon real smallint serial text time [(p)] [without time zone] time [(p)] with time zone: timestamp [(p)] [without time zone] timestamp [(p)] with time zone tsquery tsvector txid_snapshot uuid xml Advantages An open-source SQL standard Easy to work with; The entire database compliant RDBMS Supports a lot of the SQL functionality consists of a single file Is supported by a devoted and that is expected from a RDBMS -- either on the disk, which experienced community which can be directly or indirectly; makes it extremely accessed through knowledge-bases A lot of security features, some rather portable; and Q&A sites 24/7 for free; advanced, are built in MySQL; Although it might Strong third-party support: Scalable and powerful; appear like a "simple" PostgreSQL is adorned with many MySQL works in very efficiently way DB implementation, great and open-source third-party thus providing speed gains. SQLite uses SQL; tools for designing, managing and using the management system. It is possible to extend PostgreSQL programmatically with stored procedures Disadvantages For simple read-heavy operations, Known limitations, comes with With no management PostgreSQL might appear less functional limitations that some state- connections to set performant than the counterparts of-the-art applications might require access privileges to the Given the nature of this tool, it lacks Reliability issues: The way certain database and tables behind in terms of popularity, despite functionality gets handled, renders it a In SQLite is not possible the very large amount of little-less reliable compared to some to tinker with to obtain deployments other RDBMS’s a great deal of Due to above mentioned factors, it is Stagnated development: there are additional performance. harder to come by hosts or service complaints regarding the development providers that offer managed process since its acquisition; PostgreSQL instances. Compared to other RDBMS, PostgreSQL stands out with its support object-oriented and/or relational database functionality, such as the complete support for reliable transactions, i.e. Atomicity, Consistency, Isolation and Durability. PostgreSQL is extremely capable of handling many tasks in a very efficiently way and can grant security to the data store inside through login and password. Furthermore, PostgreSQL:
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Has good integration with QGIS, data can be integrated in QGIS writing directly in database; Works in different operation systems (LINUX, WINDOWS); Runs in different programming languages, including Python, Java, C/C++,.net, Ruby, etc.; Has almost unlimited storage space5: Limit Value Maximum Database Size ...... Unlimited Maximum Table Size ...... 32 TB Maximum Row Size ...... 1.6 TB Maximum Field Size ...... 1 GB Maximum Rows per Table ...... Unlimited Maximum Columns per Table ...... 250 - 1600 depending on column types Maximum Indexes per Table ...... Unlimited
2.2.4.4 IMAGE SERVER
Different datasets will be collected but the International Consultant recommends that not all should be stored in relational databases, like maps, photos, drawings, documents and .pdf files, since the inclusion of this type of data in the database is complex to manage and requires significant programming. Furthermore, it may reduce the easiness of use and loading speed. The alternative is to have this type of data available in a folder on a server, usually referred to as Image Server, connected through the database and available in the GIS software. One of the most widespread Image Servers is GeoServer, a server that swiftly allows the use of maps and aerial photos on GIS base and in map applications. It is another open-source software used as a server for sharing geospatial data and allows greater flexibility in map creation and data sharing using a great variety of formats. GeoServer can display data on any of the popular mapping applications such as Google Maps, Google Earth, Yahoo Maps, and Microsoft Virtual Earth.
2.2.4.5 HOSTING SERVER
The size of the hosting server is highly dependent on the type, amount and volume of data to be collected and the attributes of each layer. Usually, only after defining these data features it becomes possible to envisage the necessary size on server. The biggest volume of information will be given by all the raster information such as maps, digital elevation models, land cover, etc.
5 Source: www.postgresql.org
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In the beginning of the development of this assessment and based on the International Consultant’s previous experience, it was recommended that the National Consultant chose an open source solution like QGIS and the International Consultant also advised the use of PostgreSQL relational database for this project.
2.3 CONCEPTUALIZATION OF A GIS DATABASE
2.3.1 INTRODUCTION
According to the assessment presented on the previous section and the Inception Report carried out by the National Consultant, the Operational System of the GIS database is PostgreSQL [12]. As a complement to the Database Management System, a WebGIS service will also be used so as to publish geographic data on the web. In the future this will allow a network of users to access and edit the information, regardless of the platform, installation and location where they are accessing the content from. In fact the major strength of a WebGIS lies in the fact that it might be accessed through a simple internet browser. Still according to the Inception Report carried out by the National Consultant, the programming language C# in combination with open source libraries such as Openlayers and MapServer will allow to develop the WebGIS. In this case, Openlayers library will allow displaying background maps such as Google Maps and Bing Maps. On the other hand, the WebGIS Map Server UMN will be used to publish all the contents on the web. Following several interactions throughout the past months with MOIT, WBG and the National Consultant, and a mission by the International Consultant to Hanoi past November 2015, it was recommended that the SHP GIS database could follow a similar structure to the Irrigation Database (IRDB) developed by the National Consultant in close cooperation with the Ministry of Agriculture and Rural Development. This database, which was built in the scope of the Natural Disaster Control System was characterized by a seamless interaction between a WebGIS and an Object-Relation Database Management System. This chapter presents an insight on the structure of the GIS database. Table 2.7 presents the main tables that compose the GIS database. These tables include information on the main features of the objects related with hydropower projects (dams, reservoirs, spillways etc.).
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 2.7 – Main tables that compose the GIS database.
Table Description
Administrative Divisions It contains region, province, district and commune boundaries
Rainfall Gauges Rainfall depth measurements
Run-off Gauges Run-off measurements
It contains measurements regarding soil subsidence, vertical dam displacement, water seepage, upstream and In-situ Dam Measurements downstream water levels, output amount of energy, discharged flow and turbine flow. It contains information on the voltage of lines, initial and final bus bars, maximum power capacity and also the Transmission lines respective utilization coefficient.
General description of the sub-stations, including the respective status, their input voltage, the year of commissioning Sub-stations and their installed capacity.
It contains the main features of the transformers of each identified sub-station, such as cooling type, year of Transformers manufacturer, nominal capacity and nominal voltage
Rivers and water streams General information on rivers and water streams (name and respective river basin)
General information on the projects (Installed power capacity, height of the dam, coordinates, status of the project, Hydropower projects administrative divisions where it is located etc.)
Dams Information on the type and height of the dam. Elevation, width and length of the respective crest.
Description of spillways, including their coordinates, type, crest elevation, number of spans, number of gates and Spillways dimensions, and also design flood. Main features of the reservoirs (FSWL, FWL, MOL, mean annual precipitation on the watershed, flood discharge flows Reservoir etc.) Description of the waterways (coordinates of the water intake, elevation, length of the canal, tunnel and penstock etc.) Waterway and powerhouse and powerhouses (installed capacity, turbine type and flow, tailrace elevation and transmission lines length and voltage etc.)
The main tables presented in Table 2.7 were adapted from the Inception Report carried out by the National Consultant. For the sake of simplicity, note that the tables showed along the present section are not exactly the same as the ones defined by the National Consultant. However more fields may be added and removed from these tables.
2.3.2 COLLECTING TEMPORAL DATA
2.3.2.1 CONTEXT
One of the most important variables when developing hydrologic studies is the mean rainfall on the watershed over a series of years. This variable is obtained by processing the rainfall depth measured over a short period of time (seasons, months, days or even hours) by a rainfall gauge. The rainfall depth is often measured by recording gauges, which automatically record this variable in short periods of time (down to 1 minute, in some cases). This type of gauge is geared with a bucket that collects rainfall and is then translated into a vertical movement by means of a pen on a chart. However, the rainfall depth may also be measured by nonrecording gauges, in which the rainfall depth is read manually at longer time intervals, usually in remote, sparsely inhabited areas.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) After collecting rainfall, there are two types of data that may be stored in tables, raw data and processed data. The first type of data is directly read from the bucket and must be processed before used in any hydrological study. Note that this type of data is not continuous as the bucket must be emptied before reaching its full capacity. However, when storing these two types of data in a table, there is common information that must complement the values of rainfall depth, such as: the gauge identification (name and ID), the hydro-meteorological network and administrative divisions (province, district and communes) where the gauge is located, its respective coordinates and also the time when the data was collected. Table 2.8 presents a theoretical record of rainfall depth collected by two distinct rain gauges (named Binh Lu and Lac Son) over a period of three consecutive days. Note that the table includes all the complementary information – described in the previous paragraph – to the rainfall depth. Also, the header of the columns lat_decdeg, long_decdeg and depth_mm include the units of the variables – decimal degrees, decimal degrees and millimeters, respectively.
Table 2.8 – Sample of a record collected by two rainfall gauges on the Northwestern part of the hydro- meteorological network of Vietnam. gauge_id YY_MM_DD hh_mm_ss lat_decdeg long_decdeg gauge_name network province district commune depth_mm rf_58_32 2010_05_10 00_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 98,00 rf_57_10 2010_05_10 00_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 80,00 rf_58_32 2010_05_10 12_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 101,50 rf_57_10 2010_05_10 12_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 82,30 rf_58_32 2010_05_11 00_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 2,00 rf_57_10 2010_05_11 00_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 83,00 rf_58_32 2010_05_11 12_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 3,20 rf_57_10 2010_05_11 12_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 85,00 rf_58_32 2010_05_12 00_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 6,00 rf_57_10 2010_05_12 00_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 86,30 rf_58_32 2010_05_12 12_00_00 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 9,50 rf_57_10 2010_05_12 12_00_00 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 87,10
After processing the data presented in Table 2.8, the rainfall depth measured over a period of time multiple to twelve hours may be obtained. Table 2.9 presents the daily rainfall depth collected over a period of 24h starting at 00:00 A.M. of the day defined in the second column. Note that from the same rainfall record presented in Table 2.8, a sub-diary rainfall depth over a period of 12h could also be obtained. In this case, a table with twice as the number of rows in Table 2.9 would be the output.
Table 2.9 – Daily rainfall depth obtained after processing in situ measurements for two rainfall gauges in the Northwestern part of the Vietnamese hydro meteorological network.
gauge_id YY_MM_DD lat_decdeg long_decdeg gauge_name network province district commune depth_mm rf_58_32 2010_05_10 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 5,50 rf_57_10 2010_05_10 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 3,00
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gauge_id YY_MM_DD lat_decdeg long_decdeg gauge_name network province district commune depth_mm rf_58_32 2010_05_11 103,37000 22,19000 Binh Lu Northwest Lai Chau Phong To Binh Lu 4,00 rf_57_10 2010_05_11 105,27000 20,27000 Lac Son Northwest Hoa Binh Lac Son T. T Vu Ban 3,30
2.3.2.2 RUNOFF GAUGES
Although this type of device is named runoff gauge, the stream flow rate is not directly recorded, even though this variable is one of the most important in hydrologic studies. Instead, water level is recorded and the stream flow rate is deduced by means of a rating curve [13]. This curve is constructed by plotting successive measurements of the discharge and height of the water level. The water level may be recorded either manually or automatically. Manual measurements of the water level are made using staff gauges, which use graduated boards set in the water surface. In addition, this variable may also be obtained through the use of sound devices, which measure the time between the emission of the signal and the respective reception at the water surface. However, there are also automatic devices – bubble gauges – that sense the water level by bubbling a continuous stream of gas into the water. In comparison with rainfall depth, the measured water level (raw data) must also be processed before used in any hydrological study. As described above, the water level is converted into stream flow rate by means of a rating curve. Once again, when storing these two types of data in a table, there is common information that must complement the values of water level/stream flow rate, such as: the gauge identification (name and ID), the river, river basin and administrative divisions (province, district and communes) where the gauge is located, its respective coordinates and also the time when the data was collected. Table 2.10 presents a theoretical sample of a record (over a period of three consecutive days) from two runoff gauges located in the Northern Central part of the hydrological network of Vietnam. As mentioned above the variable recorded by the runoff gauge is the water level at a specific time of the day.
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Table 2.10 – Sample of a record from two runoff gauges over a period of three consecutive days. gauge_id gauge_name lat_decdeg long_decdeg network province district river river_system YY_MM_DD hh_mm_ss wat_level_m ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_10 00_00_00 1.90 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_10 00_00_00 6.10 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_10 06_00_00 2.36 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_10 06_00_00 5.70 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_10 12_00_00 1.65 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_10 12_00_00 5.60 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_10 18_00_00 1.56 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_10 18_00_00 6.13 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_11 00_00_00 1.76 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_11 00_00_00 6.02 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_11 06_00_00 1.52 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_11 06_00_00 6.03 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_11 12_00_00 1.98 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_11 12_00_00 6.08 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_11 18_00_00 2.35 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_11 18_00_00 6.13 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_12 00_00_00 2.56 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_12 00_00_00 6.80 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_12 06_00_00 2.98 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_12 06_00_00 7.10 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_12 12_00_00 2.89 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_12 12_00_00 7.15 ro_49_21 Cua Dat 19.88158 105.30771 North Central Thanh Hoa Thuong Xuan Chu Ma 2010_05_12 18_00_00 2.51 ro_45_14 Khanh Nghia 19.39033 105.32315 North Central Nghe Tinh Nghia Dan Con Lam 2010_05_12 18_00_00 7.05
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) In order to convert the water level to flow stream rate, it is necessary to obtain a rating curve for the respective water course. In the present example let’s admit the two following rating curves for gauges Cua Dat and Khanh Nghia, respectively:
푄 = 24,28 × (ℎ − 0,39)1,25 (1)
푄 = 26,36 × (ℎ − 3,25)1,56 (2)
In the two previous equations, the variable ℎ is the measured position of the water surface and 푄 is the respective stream flow rate in the water course. After obtaining the respective stream flow rate for each row of Table 2.10 , the mean water flow over a period of 24h may be obtained by averaging the four values of the flow rate on the same day, Table 2.11.
Table 2.11 – Sample of the processed data (mean water flow over a period of 24h) associated with two distinct runoff gauges (Cua Dat and Khanh Nghia).
gauge_id gauge_name lat_decdeg long_decdeg network province district river river_system YY_MM_DD flow_m3s North Thanh Thuong ro_49_21 Cua Dat 19,88158 105,30771 Chu Ma 2010_05_10 39.82 Central Hoa Xuan North Nghe Nghia ro_45_14 Khanh Nghia 19,39033 105,32315 Con Lam 2010_05_10 119.74 Central Tinh Dan North Thanh Thuong ro_49_21 Cua Dat 19,88158 105,30771 Chu Ma 2010_05_11 40.98 Central Hoa Xuan North Nghe Nghia ro_45_14 Khanh Nghia 19,39033 105,32315 Con Lam 2010_05_11 132.49 Central Tinh Dan North Thanh Thuong ro_49_21 Cua Dat 19,88158 105,30771 Chu Ma 2010_05_12 70.54 Central Hoa Xuan North Nghe Nghia ro_45_14 Khanh Nghia 19,39033 105,32315 Con Lam 2010_05_12 209.50 Central Tinh Dan
2.3.2.3 IN-SITU DAM MEASUREMENTS
Monitoring a dam and its respective components is a critical step when it comes to maintaining a safe infrastructure. The most common causes of dam failure include structural problems and piping (internal erosion due to seepage). In fact both these problems may be overcome with an effective monitoring program, which detects these causes in an early stage so that they can be properly repaired or mitigated. Due to the number of factors involved (hydrological, geotechnical, structural, and power related), a wide variety of measurements are required for dams. These cover everything from the structure of the dam, to the dam's foundation, to the water in the reservoir. In hydrology, seepage flow refers to the flow of a fluid (water) in permeable soil layers such as sand. The fluid fills the pores in the unsaturated bottom layer and moves into the deeper layers as a result of the effect of gravity. The soil has to be permeable so that the seepage water is not stored [14]. This variable may be recorded with simple seepage meters that consist in a chamber (with a bag detached) placed on the submerged sediment soil. The change in volume during the time the bag was attached to the chamber is the volumetric rate of flow through the part of the bed. However, more sophisticated
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) methods are used when monitoring seepage on dams, such as the v-notch weir. In this method a drain coming out of the dam is connected to a v-notch weir that allows the measurement of water flow rate as a function of the depth of the water in relation to the V crotch. The reason for using this type of sections (instead of a simple rectangular section) is the fact that a change in the flow rate has a large change in the depth allowing more accurate head measurement than with a rectangular weir [15]. Monitoring slope movements can evaluate the stability of slopes and give people a pre-warning before failure. One of the most potentially valuable instruments though not yet widely used to measure the internal movements for earth dam is the portable tilt meter of electrical type. This device is provided with an accelerometer transducer. A measurement is made by placing the tilt meter in an exactly reproducible position on a reference plate [15]. Table 2.12 presents a sample of measurements from different types of instruments: a seepage meter (SM), a tilt meter (TM) and a GPS. This measurements include the water seepage inside the dam, the displacement of a point on the dam and the movement of the surrounding slopes.
Table 2.12 – Example of measurements from a seepage meter, a tilt meter and a GPS.
inst_ID YY_MM_DD hh_mm_ss seepage_mmday displacement_mm subsidence_mm dam_ID SM_01_12 2010_05_10 12_00_00 0.02 - - DM_01_09 TM_09_01 2010_05_10 12_00_00 - - 0.20 - DM_01_09 GPS_08_18 2010_05_10 12_00_00 - - - 1.50 DM_01_09 SM_01_12 2010_06_10 12_00_00 0.04 - - DM_01_09 TM_09_01 2010_06_10 12_00_00 - - 0.50 - DM_01_09 GPS_08_18 2010_06_10 12_00_00 - - - 5.00 DM_01_09
In addition, it is also important to monitor the water level in the reservoir and the downstream pool regularly in order to estimate the stored volume of water in the reservoir together with its respective level in relation to the regular outlet works and emergency spillway. Also, from the water level in the reservoir it is possible to estimate the water flow discharged through the spillway or through the bottom outlet of a dam [16]. Table 2.13 includes a sample of the measurements regarding turbine and discharge flow (fields turb_flow_m3s and disch_flow_m3s, respectively), water levels, both upstream and downstream (fields upstrm_level_m and dwnstrm_level_m, respectively), and also the instantaneous energy output generated by the hydropower plant (field out_E_MW).
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 2.13 – Example of measurements conducted in the reservoir and powerhouse of a dam.
inst_ID YY_MM_DD hh_mm_ss upstrm_level_m dwnstrm_level_m turb_flow_m3s disch_flow_m3s out_E_MW dam_ID SG_02_12 2010_05_10 00_00_00 505.2 - - 50 - DM_02_03 SG_02_12 2010_05_10 04_00_00 503.0 - - 40 - DM_02_03 SG_02_12 2010_05_10 08_00_00 502.0 - - 35 - DM_02_03 SG_02_13 2010_05_10 00_00_00 - 424.6 - - - DM_02_03 SG_02_13 2010_05_10 04_00_00 - 424.1 - - - DM_02_03 SG_02_13 2010_05_10 08_00_00 - 424.0 - - - DM_02_03 FM_02_10 2010_05_10 00_00_00 - - 35.0 - - DM_02_03 FM_02_10 2010_05_10 04_00_00 - - 34.5 - - DM_02_03 FM_02_11 2010_05_10 08_00_00 - - 34.3 - - DM_02_03 PM_02_05 2010_05_10 00_00_00 - - - - 248.0 DM_02_03 PM_02_05 2010_05_10 04_00_00 - - - - 237.8 DM_02_03 PM_02_05 2010_05_10 08_00_00 - - - - 233.4 DM_02_03
2.3.3 ORGANIZING BACKGROUND DATA
2.3.3.1 REMARKS
As stated previously, all local datasets shall be gathered by the National Consultant. Data coming from local (usually official) sources should always be preferable when compared with data from other sources, such as globally available data. Nonetheless, the International Consultant already conducted a complementary compilation of readily available global geographic data for Vietnam, which might be used in the event that any of the local data is not available.
2.3.3.2 ADMINISTRATIVE BOUNDARIES
In order to ease the spatial analysis of data, it is common to include administrative boundaries in geospatial databases. For this purpose there are several global data sources available online, such as the Global Administrative Areas (GADM) [9]. Note than it is common to build an individual table for each level of administrative boundaries of a given country. For Vietnam, GADM includes four separate tables for regions, provinces, districts and communes all over the country. It would be also possible to store one table containing the communes of Vietnam, which would then be filtered before imported to a GIS system. However such practice could lead to unnecessary management of large amounts of information in case the user only interacted with large scale administrative divisions. Table 2.14 concatenates the 8 regions of Vietnam together with the respective identification – ID_1. Therefore, NAME_0 corresponds to the name of the country and the index 1 represents regions.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 2.14 - Administrative boundaries of Vietnam: regions (adapted from GADM) [9].
NAME_0 ID_1 NAME_1 TYPE_1 Vietnam 1 Mekong River Delta Region Vietnam 2 Red River Delta Region Vietnam 3 North East Region Vietnam 4 South East Region Vietnam 5 North Central Coast Region Vietnam 6 South Central Coast Region Vietnam 7 North West Region Vietnam 8 Central Highlands Region
On the other hand, Table 2.15 presents a sample of provinces in Vietnam – field NAME_2 – together with the respective identification – ID_2 –, where the index 2 represents provinces.
Table 2.15 - Administrative boundaries of Vietnam: sample of provinces (adapted from GADM) [9].
NAME_0 ID_1 NAME_1 ID_2 NAME_2 TYPE_2 Vietnam 1 Mekong River Delta 2 An Giang Province Vietnam 3 North East 25 Bac Giang Province Vietnam 3 North East 26 Bac Kan|Bac Can Province Vietnam 1 Mekong River Delta 3 Bac Lieu Province Vietnam 2 Red River Delta 14 Bac Ninh Province Vietnam 1 Mekong River Delta 4 Ben Tre Province Vietnam 4 South East 37 Ba Ria - VTau|Ba Ria-Vung Tau Province Vietnam 6 South Central Coast 51 Binh Dinh Province Vietnam 4 South East 38 Binh Duong Province Vietnam 4 South East 39 Binh Phuoc Province (…) Also, Table 2.16 presents a sample of the districts of Vietnam – field NAME_3 – together with the respective identification – ID_3 –, where the index 3 stands for districts.
Table 2.16 - Administrative boundaries of Vietnam: sample of districts (adapted from GADM) [9].
NAME_0 ID_1 NAME_1 ID_2 NAME_2 ID_3 NAME_3 TYPE_3 Vietnam 1 Mekong River Delta 2 An Giang 18 Phu Tan District Vietnam 3 North East 25 Bac Giang 244 Son Dong District Vietnam 1 Mekong River Delta 5 Ca Tho 38 Binh Thuy District Vietnam 1 Mekong River Delta 9 Long An 76 Duc Hue District Vietnam 3 North East 33 Thai Nguyen 331 Phu Binh District Vietnam 3 North East 33 Thai Nguyen 332 Phu Luong District Vietnam 4 South East 36 Dong Nai 355 Long Thanh District Vietnam 4 South East 40 Binh Thuan 389 Ham Thuan Nam District Vietnam 5 North Central Coast 45 Nghe An 456 Que Phong District Vietnam 5 North Central Coast 48 Thua Thien - Hue 487 Phu Loc District Vietnam 6 South Central Coast 50 Da Nang City|Da Nang 522 Son Tra District (…)
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Finally, Table 2.17 concatenates all the information mentioned in the previous tables (excluding the field TYPE_*) together with the name of Vietnamese communes – field NAME_4 – and their identification – ID_4.
Table 2.17 - Administrative boundaries of Vietnam: communes (adapted from GADM) [9].
NAME_0 ID_1 NAME_1 ID_2 NAME_2 ID_3 NAME_3 ID_4 NAME_4 TYPE_4 Vietnam 1 Mekong River Delta 1 Dong Thap 1 Cao Lanh 13 Hoà An Commune Vietnam 3 North East 27 Cao Bang 269 Trung Khanh 4285 Doan Com Commune Vietnam 5 North Central Coast 47 Quang Tri 480 Vinh Linh 7876 Vinh Son Commune Vietnam 5 North Central Coast 48 Thua Thien - Hue 486 Phong Dien 7981 Phong Son Commune Vietnam 6 South Central Coast 54 Quang Nam 566 Thang Binh 9304 Bình An Commune Vietnam 6 South Central Coast 55 Quang Ngai 569 Ba To 9354 Ba Ðin Commune Vietnam 7 North West 57 Hoa Binh 595 Luong Son 9715 Trung Son Commune Vietnam 7 North West 57 Hoa Binh 596 Lac Son 9743 Van Son Commune Vietnam 8 Central Highlands 62 Gia Lai 648 Kbang 10456 Lo Ku Commune (…)
2.3.3.3 POPULATION AND SETTLEMENTS
The information on settlements and population, respective is capital for the first design approach of HP projects, especially for estimating the power capacity of a HPP.
Table 2.18 presents the general information of a sample of Vietnamese populations, including their coordinates (latitude and longitude), respective administrative divisions where they are located (region, province and commune) and also their number of inhabitants and respective year of count.
Table 2.18 – Sample of populations in Vietnam (adapted from GADM, [9]). The acronym lat stands for latitude, long for longitude and pop for population. The field year_pop reads year of count.
ID name lat_deg long_deg region province District pop year_pop pop_54_109 Son Tinh 15,19090 108,74295 South Central Coast Quang Ngai Son Tinh 5000 2015 pop_23_59 Quang Ninh 21,25000 107,33333 North East Quang Ninh Ba Che 9000 2010 pop_12_63 Cat Hai 20,79380 106,99021 Red River Delta Hai Phong Cat Hai 200 2012 pop_22_256 Phuoc Dinh 11,40029 108,89386 South East Ninh Thuan Ninh Phuoc 450 2012 pop_60_369 Ngoc Hien 8,64311 104,97070 Mekong River Delta Ca Mau Ngoc Hien 300 2014
2.3.3.4 MAP OF ROADS
The road network in Vietnam is 210,000 km, of which 17,300 km are national roads, 17,450 km are provincial roads, 36,400 km are district roads, and 7,000 km are urban roads. The remaining 131,500 km are rural roads. In what concerns hydropower projects, rural roads are one of the most important elements when doing a detailed cost analysis. In fact many hydropower projects are located in remote areas where only rural roads areas are available to reach the sites.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) It is generally difficult to obtain accurate information about the condition of provincial, district and commune roads and it is highly likely that there are large inter-provincial variations in the condition of local road networks. Nevertheless, provincial fieldwork, and evidence from on-going projects indicate that provincial roads in general are in poor condition. This is corroborated by the fact that, similar to national roads, local government expenditures on local road maintenance do not cover even half of the requirements for an average-condition road network. Rural roads are no exception. About one quarter of the 83,000 km network is believed to be in good or fair condition and 58% of the provincial roads providing connectivity to the main network are in poor condition. Table 2.19 presents a theoretical example of roads, including their classification, phase, type and condition.
Table 2.19 – Sample of roads and railroads in Vietnam (theoretical example).
ID classification phase type condition rr_961 railroad Not Usable Single Very good rr_086 railroad Operational Single Very good rr_300 railroad Under Construction Single N/A rr_514 railroad Operational Single Very good rr_273 railroad Operational Single Very good rr_284 railroad Under Construction Single N/A rr_304 railroad Operational Single Very good rr_308 railroad Under Construction Unknown N/A rd_201 Road Operational Secondary Route Poor rd_001 Road Under Construction Secondary Route N/A rd_002 Road Operational Secondary Route Not good rd_004 Road Under Construction Secondary Route N/A rd_006 Road Operational Primary Route Very good rd_007 Road Operational Secondary Route Good rd_012 Road Operational Primary Route Very good
2.3.3.5 LAND COVER
It is a main concern to list the land cover on the watershed of dams in order to estimate the impacts of the infra-structure in its respective surroundings. Land cover allows quantifying the loss of bio-diversity, fauna (including endemic species) and flora. Also when assessing the environmental impact assessment associated with the construction of a dam, it is important to take into account not only the total flooded area but also the flooded protected areas as these may have a significant impact on local communities. In addition, one must bear in mind that when filling a reservoir there will be a number of infrastructures and roads submerged, beyond all the bio-diversity affected.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 2.20 presents a sample of areas (field area) and the respective ecosystem (ecos), type of soil (soil) and mean slope of the area (slp).
Table 2.20 – Theoretical example of the land cover in Vietnam (adapted from the GeoNetwork database, [4]).
ID area ecos soil Slp_% 29 Water - Protected areas Not available Not available Not available 8 Herbaceous - Protected areas Deserts / Polar Regosols 8 to 16 25 Bare areas - Protected areas Deserts / Polar Regosols 5 to 8 24 Bare areas - no use / not managed (Natural) Deserts / Polar Regosols 16 to 30 28 Water - Coastal or no use / not managed (Natural) Not available Not available Not available 30 Water - Inland Fisheries Not available Not available Not available 7 Herbaceous - no use / not managed (Natural) Deserts / Polar Water 2 to 5 (…)
2.3.3.6 RIVERS AND WATER STREAMS
The Vietnamese waterways are managed by the Vietnam Inland Waterways Administration (VIWA), which is under the control of the Ministry of Transport. This governmental organization is responsible for managing the ports, rivers, canals and lakes of Vietnam. Among a number of functions, VIWA has a jurisdiction of more than 6,000km of waterways [17]. Table 2.21 presents a theoretical sample of the Vietnamese waterways, which includes the ID of the river, the name, the river basin (field river_basin) and the type of the waterway (river or stream). Also, in the following table it is important to include the capacity of each hydropower project and the total generation capacity in the river basin. Note that the field ID contains an identification code in the form of “rv_” (which stands for river) followed by the number of the waterway. In this case, the code does not include specification regarding the province, as waterways often cross different provinces.
Table 2.21 – Sample of the waterways in Vietnam – rivers and streams (adapted from the GeoFabrik database, [5]).
ID name river_basin type river_cap_MW rvbsn_cap_MW rv_0001 Song Cau Song Cau river 200 500 rv_0652 Song Cau Do Song Cau Do river 500 1000 rv_0677 Song Ca Lo Song Cau river 100 500 rv_0003 Song Cay Khe Song Kay Khe river 50 100 rv_0674 Song Thu Bon Song Cau Do river 200 1000 rv_0476 Song Chay Song Lo river 20 150 rv_0338 Song Cong Song Cau river 50 500 rv_0510 Suoi Ba Lua Nha Be stream 0 0 rv_0212 Suoi Song Cau Song Dinh stream 0 0 (…)
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2.3.3.7 ELECTRIC GRID
For the analysis of on-grid hydropower projects it is important to include the national electric grid as part of the GIS database as it allows estimating the cost of the transmission lines that connect the hydropower plant to the respective sub-station. On the other hand it may also be important to identify the available power capacity of the nearest sub-stations. A substation is a part of an electrical system that transforms voltage from high to low and the reverse. Table 2.22 presents a theoretical sample of sub-stations including their main characteristics, such as the stage of the project (field status of Table 2.22), the year of commissioning (field year_of_comiss), the input and output voltage (field voltage_kv of Table 2.22) and the respective installed capacity (field Inst_cap_MVA).
Table 2.22 – Example of sub-stations.
ID name status year_of_ comiss voltage_kv Inst_cap_MVA
SUB_01 Bin Dinh Operational 2010 66/33 60.0
SUB_02 Ho Chi Minh IX Under Construction 2018 110/22 20.0
SUB_08 Ho Chi Minh IV Operational 2005 220/110 84.0
SUB_14 Bien Hoa I Operational 2002 110/22 12.5 110/22 SUB_23 Nha Trang Operational 2000 56.0 220/110
Also, Table 2.23 presents an example of transformers, whose main function is to change voltage levels between high transmission voltages and lower distribution voltages. This table includes information on the type of cooling of the transformer (field cooling_type of Table 2.23), the year of manufacture (field year_of_manu of Table 2.23), the nominal voltage and the nominal capacity (field nominal_volt_kv and nominal_cap of Table 2.23).
Table 2.23 – Example of transformers.
ID cooling_tyoe year_of_ manu nominal_volt_kv nominal_cap_MVA substn_ID TRANS_01 OFAF 2009 66/33 60 SUB_01 TRANS_02 OMAN 2017 110/22/6.6 20 SUB_02 TRANS_11 OFAF 2004 220/110/33 84 SUB_08 TRANS_13 OFAF 2002 110/22/6.6 12.5 SUB_23 TRANS_20 OMAN 1998 220/110/18.6 56 SUB_23
Finally, Table 2.24 presents the main features of the transmission lines, which are responsible for carrying power from power sources to demand centers. These features include the initial and final bus bars (fields Initial_busbar and Final_busbar of Table 2.24), the voltage and the maximum power capacity
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) (fields voltage_kv and P_max_MW of Table 2.24) and also the coefficient of utilization (field Coef_util_% of Table 2.24).
Table 2.24 – List of transmission lines.
ID type status Initial bus bar Final bus bar voltage_kv P_max_MW Coef_util_% TML_01 Overhead Operational Bin Dinh Tran Quan Dieu 66 33 75.3 TML_02 Overhead Under Construction Ho Chi Minh Bien Hoa 110 56 62.3 TML_03 Overhead Operational Ho Chi Min Phan Thiet 220 380 84.6 TML_04 Underground Operational Nha Trang Vin Nguyen 220 198 93.6 TML_05 Overhead Operational Chaozou Yangxi 110 79 71.2
2.3.4 GENERAL INFORMATION ON HYDROPOWER PROJECTS
2.3.4.1 CONTEXT
In what concerns to hydropower projects, they may be divided in reservoir, dam, water intake/water way and powerhouse. In the present project the GIS database structure regarding HP projects includes four different tables: 1. A table with the general information on hydropower projects, outlining their main features, such as coordinates of the dam together with the administrative divisions where it is located, installed capacity, total and unitary costs of the project and the respective affected area; 2. The second table will concatenate the main features of the reservoir, including the respective characteristic water levels (flood level, full still water level and dead level), and the characteristic volumes (volume at the full still water level, gross volume, active volume and dead volume). This table also includes information on the watershed area, mean annual precipitation, annual income flow and flood flow for different return periods. 3. A third table also presents information on the features of the dams, namely their coordinates, type (embankment, gravity, arch or buttress), height, crest elevation, width and length. 4. The last table presents information regarding the water intake and powerhouse. These features include the intake level and the respective coordinates and the dimensions of the trash rack. There will also be information on the waterway (length and slope), surge tank (type and diameter), penstock (length, diameter and lining), forebay (length, width and depth), powerhouse (turbine type, number of units, installed capacity, firm capacity, design height, maximum flow discharge and mean energy output) and tailrace (level, length, width and slope) and transmission lines (voltage and length).
2.3.4.2 GENERAL INFORMATION ON THE PROJECTS
As mentioned previously, the table presented in this section includes general information on hydropower projects. Beyond their ID and name, there will be information regarding the province,
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) district, commune and river ID where the projects are located. Once again, the ID of the projects will not only include the number of the project but also the number of the river basin, which means that the ID will be written in the form of:
"hpp_" + river basin ID + "_" + Number of the project
Even though it is possible to repeat the number of the project without repeating the project ID, it is advisable to keep the “Number of the project” unique.
In what concerns the economic indicators of a project, it is advisable not only to include the total cost of the investment but also the unitary costs, such as the ratio between the capital expenditure and the installed capacity (1) and the levelized cost of electricity (4). This indicators allow the expedite comparison between different projects.
푇표푡푎푙 𝑖푛푣푒푠푡푚푒푛푡 (푉푁퐷) 퐶푎푝푒푥(푉푁퐷/푀푊) = (3) 퐼푛푠푡푎푙푙푒푑 푐푎푝푎푐𝑖푡푦(푀푊)
푁푃푉 표푓 푡표푡푎푙 푐표푠푡푠 표푣푒푟 푙𝑖푓푒푡𝑖푚푒 (푉푁퐷) 퐿퐶푂퐸(푉푁퐷/푀푊ℎ) = (4) 푁푃푉 표푓 푒푙푒푐푡푟𝑖푐푎푙 푒푛푒푟푔푦 푔푒푛푒푟푎푡푒푑 표푣푒푟 푙𝑖푓푒푡𝑖푚푒(푀푊ℎ)
Where NPV means Net Present Value. Note that the cost of hydropower projects are mainly due to civil works and equipment and may represent up to 90% of the total investment costs. Other indicators that support the comparison between different projects are the number of people and the area affected by the reservoirs (forest, vegetation etc.) and also required infra-structures as a complement to the projects (such as roads).
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Table 2.25 – Sample of hydropower projects in Vietnam: general information.
ID name status province district river river_basin capacity_MW break_date developer residence_ha cultiv_ha (…) hpp_01_10 Project 1 In operation An Giang Tan Chau Tien Mekong 505 12_05_2000 EVN 0.0 0.0 (…) hpp_01_11 Project 2 Under Construction Ben Tre Cho Lach Tien Mekong 200 N/A EVN 5.2 1.0 (…) hpp_02_12 Project 3 Feasibility Study Long An Thanh Hoa Vam Co Tay Soai Rap 125 N/A EVN 0.0 3.0 (…) hpp_05_13 Project 4 In operation Ho Chi Minh Cu Chi Sai Gon Soai Rap 15 10_10_2005 IPP 0.0 0.5 (…) hpp_05_14 Project 5 In operation Bac Kan Bach Thong Cau Hong 20 05_03_1998 IPP 10.1 0.8 (…) hpp_10_15 Project 6 Pre-Feasibility Study Binh Phuoc Bu Dop Be Soai Rap 75 N/A EVN 0.0 2.5 (…)
ID (…) forest_ha veget_ha resetled_people afctd_area_ha new_road_km upgd_road_km cost_total_MVND ucost_MVND_MW ucost_MVND_MWh hpp_01_10 (…) 203.8 50.0 0 250.0 20.0 1.0 25,250,000 50,000 1.4 hpp_01_11 (…) 50.0 29.6 50 85.0 15.0 0.5 19,000,000 95,000 1.9 hpp_02_12 (…) 10.1 12.0 0 25.0 2.0 5.0 10,937,500 87,500 1.4 hpp_05_13 (…) 4.6 9.3 0 13.5 5.2 4.2 975,000 65,000 2.2 hpp_05_14 (…) 3.0 15.8 70 28.8 6.5 5.0 1,550,000 77,500 2.2 hpp_10_15 (…) 12.3 19.0 0 33.5 4.3 2.0 4,968,750 66,250 3.1
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2.3.4.3 RESERVOIR
In a general overview, reservoirs are the enlarged artificial lakes created in the upstream part of dams. As both the water inflow and outflow have strong variations during the hydrologic year, so do the volume in the reservoir have. Following these variations of volume there are three distinct water levels (included in Table 2.26) worth to mention: 1. Dead level (DL, field dead_level_m) – Is the level of water below the lowest off-take, meaning that it cannot be managed under normal reservoir operations. The water level under this level is often named as dead volume (field dead_vol_hm3). 2. Full supply level (FSL, field FSL_m) – Corresponds to the maximum operation level of a reservoir and consequently to the total storage capacity of the reservoir. Moreover this is the level of the invert of fixed spillways or the top of the gates when closed. The volume between the dead level and the full supply level is named as active volume (field actv_vol_hm3) [18]. 3. Flood level (FL, field flood_level_m) – This is the level at which the spillway reaches its maximum discharge capacity. The difference between the flood level and the dam’s crest elevation is named freeboard and the volume temporarily stored between the FSL and the FL is the flood- control volume (field flood_vol_hm3). In what concerns water flows, they may be divided in mean and peak flows. The mean income flow in a watershed often calculated when developing hydrologic studies is the mean annual flow calculated by averaging the ratio between the runoff volume and the respective elapsed time along a number of years (field income_flow_m3s). This variable takes into account the rainfall in the watershed and also the mean annual evaporation, which is function of the mean annual temperature. Note that there are two distinct methods to calculate the former variable: 1. The empirical formulation of TURC that allows to calculate the mean income flow in the watershed given the mean annual precipitation and temperature [19]; 2. In-situ measurements carried out at pour points of watersheds with similar features (area, mean run-off and mean elevation) to the studied watershed. On the other hand the peak flow (field flood_T500_m3s and flood_T1000_m3s) is also calculated when developing hydrologic studies. In opposition to the mean annual flow, this is often a probabilistic variable obtained through the statistical analysis of water flow measurements. In this case, a statistical formulation (e.g. Goodrich, Pearson or Normal) is fitted to the collected data and hence the peak flow is obtained for a specific return period. Note that, in comparison to the hydropower project ID presented in 2.3.4.2, the reservoir ID (field ID) will also be written in the form of:
"rsv_" + river basin ID + "_" + Number of the project
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Table 2.26 – Sample of Vietnamese reservoirs and their main features.
ID hyd_proj_ID reserv_area_ha flood_level_m FSL_m dead_level_m dead_vol_hm3 actv_vol_hm3 gross_vol_hm3 (...) rsv_01_10 hpp_01_10 8,250.6 520.5 514.5 444.5 315.2 220.6 1,260.6 (…) rsv_01_11 hpp_01_11 9,831.1 185.3 182.3 122.3 802.6 561.8 3,210.2 (…) rsv_02_12 hpp_02_12 6,747.8 225.2 222.3 180.3 287.6 201.3 1,150.2 (…) rsv_05_13 hpp_05_13 64.6 320.6 317.4 305.4 2.4 0.0 9.7 (…) rsv_05_14 hpp_05_14 55.9 156.3 153.6 138.6 1.4 0.0 5.6 (…) rsv_10_15 hpp_10_15 1,158.4 203.7 200.7 165.7 134.1 93.8 536.2 (…)
ID (...) flood_vol_hm3 watershed_area_km2 annual_precip_mm income_flow_m3s flood_T500_m3s flood_T1000_m3s rsv_01_10 (…) 63.0 11,067 1,680 780.7 7,500 16,500 rsv_01_11 (…) 160.5 10,080 1,532 563.5 5,600 11,000 rsv_02_12 (…) 57.5 8,090 1,655 472.6 4,800 10,000 rsv_05_13 (…) 0.5 2,735 1,789 69.8 1,000 2,500 rsv_05_14 (…) 0.3 3,026 1,889 76.4 1,500 3,500 rsv_10_15 (…) 26.8 3,268 1,503 256.9 2,500 5,000
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2.3.4.4 DAM
A dam is usually defined as a barrier that allows storing water, either for water supply, generation of energy or even flood control. Their height (field height of Table 2.27) may vary from a couple of meters to dozens of meters. The top of the dams, usually occupied by roads or other infrastructures, is named as crest. Depending on the dimensions of the dam, the crest varies in terms of elevation (field crest_elev_m of Table 2.27), width (field crest_width_m of Table 2.27), and length (field crest_length_m of Table 2.27). In what concerts structural design there are four main types of dams: 1. Gravity – This type of structures are usually defined as masses of either masonry or concrete whose stability against sliding and overturning depends on their weight; 2. Arch – The arch dams take advantage from the curvature (both in the horizontal and vertical planes). On the horizontal plane, the forces generated by the mass of water close to the abutments oppose the water pressure on the central part of the dam. On the same way, the mass of water below the vertical curvature of the dam opposes the pressure generated by the mass of water in the upper part of the curvature. 3. Buttress – It consists by a sloping slab supported by a number of spaced buttresses (or counterforts). Usually the formers are triangular masonry or reinforced concrete walls. The membrane (above named as slab) responsible for retaining water may also be replaced by multiple arches, similar to arch dams. 4. Embankment - It is a non-rigid dam that resists the forces on it by its shear strength and to some extent also by its own weight. In opposition to the reservoirs presented in 2.3.4.3, it is common to specify the WGS84 geographic coordinates of the dams in the form of latitude (field Lat (˚)) and longitude (field Long (˚)).
Table 2.27 – Sample regarding the main features of Vietnamese dams.
ID reserv_ID Lat (˚) Long (˚) dam_type height crest_elev_m crest_width_m crest_length_m dam_01_10 rsv_01_10 10.84165 105.20989 Concrete gravity 70 73 25.0 305 dam_01_11 rsv_01_11 10.20884 106.15074 Concrete gravity 66 69 22.0 295 dam_02_12 rsv_02_12 10.68217 106.16653 Embankment 50 53 21.5 172 dam_05_13 rsv_05_13 11.05222 106.54657 Embankment 15 18 14.5 420 dam_05_14 rsv_05_14 22.15052 105.90596 Buttress 18 21 15.5 302 dam_10_15 rsv_10_15 11.87964 106.74949 Concrete arch 45 48 18.6 364
2.3.4.5 SPILLWAY
One of the most important hydraulic components of dams is the spillway. This element is designed to release the surplus of floodwater when the storage capacity of reservoirs is exceeded. Therefore spillways are considered safety devices in a dam as a valves are in a boiler. Many failures of dams were
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) reported due to inadequate capacity or improper design of spillways, especially for earthen and rockfill type dams, which are likely to be destroyed if overtopped. Spillways may have more than one span (field no_of_spans of Table 2.28), depending on the design flood discharge (stored in the field dsgn_Flood_m3s of Table 2.28) and on the length of the dam crest. Also, their discharge capacity depends on the height of water on top of the spillway crest (whose elevation is stored in the field elev_m of Table 2.28). Finally, there are a number of spillway types regarding their structural features. Two of the most common types of spillways are the side channel and the Ogee. Regarding the side channel type, as its name suggests the water stored in the reservoir flows into a narrow channel excavated on the side hills towards the abutment of the dam. The Ogee type, usually dam incorporated, has a control weir with an S-shaped profile. This profile was designed to fit to the profile of the lower nappe of a sheet of water falling from a sharp-crested weir. There are other types of spillways, such as the tunnel, drop inlet and the syphon. In some cases there might be gates to control the release of the water flowing out of the reservoirs. Often there is more than one gate, depending on the number of spans of the spillway (field no_of_gates of Table 2.28). This gates are mostly rectangular and their dimensions are specified in the column gate_dim_bxh of Table 2.28.
Table 2.28 – Example of spillways and their respective features.
ID hyd_proj_ID lat_deg long_deg type elev_m no_of_spans dsgn_flood_m3s No_of_gates gate_dim_bxh splw_01_10 hpp_01_10 10,83824 105,20804 Side Channel 518,0 3 16500 3 7x3,5 splw_01_11 hpp_01_11 10,20710 106,15020 Ogee 184,0 8 11000 0 N/A splw_02_12 hpp_02_12 10,68110 106,16676 Side Channel 224,0 3 10000 3 6x3 splw_05_13 hpp_05_13 11,05186 106,54632 Syphon 319,0 1 1000 0 N/A splw_05_14 hpp_05_14 22,15241 105,89951 Ogee 155,0 1 1500 0 N/A splw_10_15 hpp_10_15 11,90374 106,80138 Tunnel 202,0 2 5000 2 6x3
2.3.4.6 WATERWAY AND POWERHOUSE
The waterway (Table 2.29) of a hydropower project is the hydraulic conveyance system that connects the reservoir to the powerhouse, by means of a canal, tunnel or penstock (field type of Table 2.29). It is common to store the length of this type of hydraulic components (field ww_length_m, canal_length_m, tun_length_m of Table 2.29) as it allows to estimate costs and also to calculate the head loss associated with friction. Therefore, the waterway must begin with a water intake (whose coordinates are stored in the field itak_lat_deg and itak_long_deg and whose elevation is defined in the field elevation_m of Table 2.29), which is protected by means of a trash rack. However, the variation on the water flow released by turbines affects the water flowing in the waterway. In order to overcome this effect, forebays are built upstream the powerhouses, which prevents oscillation of the water level in the waterway [20]. On the other hand, it is also common to
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) build surge tanks (field srgtk_type and srgtk_diam_m of Table 2.29) for waterways that include long pressurized components, such as tunnels, where the sudden close of valves will induce a number of followed low and high pressure events. These hydraulic components are reservoirs with several dozens of meters in diameter, which connect to waterways and control the rapid variation of the water level and pressure. The kinetic energy of water is then converted to electric energy at the powerhouse, by means of a turbine (whose type is stored in the column PH_turb_type and the number of turbines in the field PH_units_number of Table 2.29) and a generator. When designing a hydropower scheme it is common to calculate the respective installed power capacity (field PH_instcap_MW of Table 2.29 ) through the following equation:
푃 = 휂 × 훾 × 푄 × 퐻 (5)
Where 휂 is the efficiency of the turbine, 훾 is the specific weight of water, 푄 is the design flow (field PH_dsgn_dischg_m3s of Table 2.29) and 퐻 is the design water head (field PH_dsgnht_m of Table 2.29). Also, depending on the installed capacity of the hydropower plant and on the number of operating hours (field PH_op_hours _m of Table 2.29), the plant will output a certain amount of energy each year (PH_avg_out_GWh_year of Table 2.29). After passing through the turbine, the water flows back to the main river. The hydraulic component responsible for sending back the water to the river is the tailrace tunnel or canal (whose length, width and level are presented in fields PH_tailrace_level_m, tailrc_length_m, tailrc_width_m, tailrc_slope). Finally, the energy generated is transferred to the main electric grid through transmission lines, whose voltage and length is stored in the columns TML_voltage_kV and TML_length_km of Table 2.29.
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Table 2.29 –Sample of Vietnamese waterways, powerhouses and their respective features. waterway_ID type Itak_elevation_m itak_lat_deg itak_long_deg ww_length_m ww_avg_slope tun_length_m canal_length_m pnstck_length_m srgtk_type srgtk_diam_m (...)
ww_01_10 Tunnel + penstock 449.5 10.84988 105.21155 15 0.1% 0 0 15 Conical 30.0 – 50.0 (…) ww_01_11 Tunnel + penstock 127.3 10.21813 106.15195 10 0.1% 0 0 10 Simple 40,0 (…) ww_02_12 penstock 185.3 10.68151 106.16586 250 0.1% 0 0 250 Simple 35.0 (…) ww_05_13 Canal + penstock 310.4 11.05189 106.54619 6,250 0.1% 550 5,650 50 N/A N/A (…) ww_05_14 Penstock 143.6 22.15235 105.89940 5,580 0.1% 0 5,530 50 N/A N/A (…) ww_10_15 Dam incorporated 170.7 11.90397 106.80095 300 0.1% 0 0 300 Spilling 27.0 (…)
waterway_ID (...) pnstck_diam_m pnstck_lining_mm forebay_length_m forebay_dim_bxh_m PH_turb_type PH_units_number PH_instcap_MW PH_firmcap_MW PH_dsgnht_m (...)
ww_01_10 (…) 2x7.2 7 N/A N/A Francis 2 505 202 79.7 (…) ww_01_11 (…) 7.2 7 N/A N/A Francis 1 200 80 60.0 (…) ww_02_12 (…) 5.0 5 10 7x4 Francis 1 125 50 42.0 (…) ww_05_13 (…) 2x3.5 4 10 5x4 Kaplan 1 15 6 34.1 (…) ww_05_14 (…) 2x4.0 4.5 10 5x4 Kaplan 1 20 8 48.4 (…) ww_10_15 (…) 4.0 4.5 13 6x4 Francis 1 75 30 64.8 (…)
waterway_ID (...) PH_dsgn_dischg_m3s PH_avg_out_GWh_year PH_op_hours PH_tailrace_level_m tailrc_length_m tailrc_width_m tailrc_slope TML_voltage_kV TML_length_km reservoir_ID
ww_01_10 (…) 843.1 3096.7 7,446 434.8 N/A N/A N/A 400 40 rsv_01_10 ww_01_11 (…) 445.6 1226.4 7,709 122.3 N/A N/A N/A 2x220 30 rsv_01_11 ww_02_12 (…) 397.0 766.5 6,395 180.3 250 8 0.1% 220 60 rsv_02_12 ww_05_13 (…) 58.6 92.0 5,869 283.3 3,260 6 0.1% 60 35 rsv_05_13 ww_05_14 (…) 55.0 122.6 5,256 105.2 20 6 0.1% 110 52 rsv_05_14 ww_10_15 (…) 154.1 459.9 7,008 135.9 N/A N/A N/A 220 33 rsv_10_15
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2.4 DEMO VERSION OF THE GIS DATABASE
Following the initial development of the GIS database by the National Consultant in close coordination with the International Consultant, a demo version of the SHP GIS database was presented by the National Consultant6 and the International Consultant was invited to provide feedback. In the demo version of the GIS database, the detailed information for the SHPs already followed the design agreed before7 between the International and the National Consultants, with project codes systematically assigned based on project classification schemes. The detailed GIS database design (with entity-relationship diagram) and functional design (with planning information requirements) was not provided nor evaluated at this stage.
The demo version of the GIS database appeared to be comprehensive in terms of the information it contained and thus reflected the effort that was being made in data collection, even though this activity was still underway and several data gaps were identified. Additionally, the system appeared to be designed specifically for technical users, who are usually looking for detailed information and key features. Overall, the main comment was the need to focus more on another perspective: the strategic review and planning of SHP, since the GIS database would also be a tool used by planning experts and policy and decision makers.
For instance, the interface did not seem to consider the need for summary data or integrated reports that are mostly used by planning experts and policy and decision makers. Likewise, the search functions could be more user-friendly and interactive, and the filtering did not consider advanced search of planning experts concerns (e.g. list of “SHPs operating at less than half installation capacity” or list of “SHPs with EIA docs attached”). Specific comments and recommendations were done by the International Consultant in March 2016 and are presented in Annex I. These were based on the demo version presentation and on the access to the pilot version of the GIS database available online8. Part of the recommendations were implemented in newer versions of the SHP GIS database, as can be seen on the next section, while others were not (e.g. due to lack of available information). Several interactions between both consultants were had and recommendations were done in a straightforward but constructive way.
6 At a workshop in February 2016, attended by the International Consultant 7 In the November 2015 Working Mission 8 At the date hosted in http://thuyloivietnam.vn:263/
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 2.5 OVERVIEW OF THE CURRENT VERSION OF THE GIS DATABASE
Following the recommendations on the demo version of the GIS database presented in the previous section, the GIS database was improved and further developed in parallel to data collection, and hosted online9 for testing purposes. The last version of the GIS database (Version 1.0), released on June 20, 2016, is reviewed on the current section. The homepage of the GIS database is presented in Figure 2.18. Projects are displayed with different color concerning each development phase: working, under construction, FS preparing and planning (no developer).
Figure 2.18 – GIS database homepage.
At the time of writing the current document the National Consultant had already collected information from 27 provinces out of 29 with hydropower potential, meaning about 70% of the total data is collected. However, data gaps occur even from the provinces that have already been visited by the
9 At the date hosted in http://s3.thuyloivietnam.vn/
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) National Consultant on their data collection assignment. Some projects’ information is not available and in some cases even the location of the projects is unknown. In the left side of the home page a main menu is presented (Figure 2.19). That menu includes all data concerning hydropower projects divided in two main tabs: - Operate and safe weirs data management - Project management
Figure 2.19 – Main menu.
The projects’ list appears on the project management tab, as well as a summary of the number of projects and its total capacity (see Figure 2.20). The current version of the GIS database has different levels of detailed information on 819 projects, totalizing almost 25 GW of installed capacity.
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Figure 2.20 – Project management tab.
Projects’ data is divided in eight tabs (Figure 2.21): - General information - Spillway - Watershed - Waterway - Reservoir - Document - Dam - Diary
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Figure 2.21 – Project’s information.
The GIS database includes not only data related to hydropower projects but also base maps and other layers mostly with existent infra-structures, like roads, train rails, cultural facilities. In Figure 2.22 layers that can be added to the visualization map are presented. In the same figure, filters that can be applied to projects are also presented. Detailed information concerning the GIS database is expected to be presented in the forthcoming National Consultant’s Final Report.
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Layers Filters
Figure 2.22 – Layers included in small hydropower GIS database and filters that can be done to projects.
The International Consultant addresses what other data should be included in the GIS database for planning and project evaluation purposes in Section 2.6.
2.6 ADDITIONAL DATA FOR THE GIS DATABASE
The GIS database will be a useful tool in reviewing and planning of SHP. However, for project analysis, the GIS database must be populated not only with specific data for each hydropower project (the result of the comprehensive data collection performed locally at each province by the National Consultant), but also with data to allow the resource assessment and the identification of possible conflicts that may arise with implementation of each project. To promote the projects analysis and evaluation, several types of relevant data should be included in the GIS database, namely:
Hydrometric data; Meteorological data; Topographic maps; Geological maps; Land cover and land uses maps; Protected areas; Aerial photos; Land Property; Road and railroad network; Electric grid (transmission and distribution);
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Settlements and population information; Administrative divisions; Legal framework. Following is a description for each of the types of data. Concerning hydrometric and meteorological data and according to the country report about the hydro meteorological service of Vietnam and its modernization plan [21], in Vietnam there are:
170 surface Meteorological observing stations, including 97 synoptic, and 26 international exchange stations; 232 Hydrological stations 15 solar radiation stations
stations for O3 and UV measurement 21 Marine meteorological stations 142 air and water environment monitoring stations 393 rain fall points 9 upper air meteorological stations, 3 of these are radiosonde stations 5 weather radar stations Data from those stations for the whole country is managed by the National Hydro-Meteorological Service (HMS) under MONRE. It is highly recommended that hydrometric and meteorological data are included not only in the SHP GIS database, but also in the Renewable Energy (RE) global database to allow a comprehensive evaluation of RE resources throughout Vietnam. Likewise, in order to evaluate the projects’ locations and feasibility designs, the inclusion of topographic maps is of the utmost importance. In SHP analysis, topographic maps in the scale range of 1:10,000 to 1:25,000 are ideal. However, in pre-feasibility stages, maps with less resolution may be used. Geological maps are also important in hydropower projects analysis to assess possible issues related to project design in a preliminary phase. Land covers, land uses, protected areas and aerial photos should be included in GIS databases for SHP in order to analyze the type of lands that will be intervened during project construction, as well as important infra-structures that will be affected will the hydropower project development. Moreover, that type of information will be necessary for the approval of hydropower projects, since there are well- defined rules about areas of land and houses flooded per MW installed. One of the biggest issues for the development of this kind of projects is related to land property. More than often there is no information about the ownership of the land and finding it may be very time-consumptive. If that information existed and could be collected from land inventories or provincial records for inclusion in the GIS database, it would greatly simplify further development stages of the project.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) The Vietnamese roads and railroads network should also be included in the GIS database, to allow road accesses to the projects and transportation of materials to be evaluated in an initial stage of the planning. Concerning the electric grid, substations (including substations voltage level) and lines should be included in order to evaluate the connection of the project to national grid network. Also, settlements and population information should be incorporated in order to evaluate the possibility of off-grid projects development and the determination of a possible mini-grid associated to the hydropower project. The knowledge of the administrative divisions is relevant to assess the region or boundary where the project is located and swiftly identify the corresponding local authorities. Finally, it is also recommended that the GIS database includes a repository10 of relevant legislation on SHP to facilitate potential investors to understand the legal framework concerning this type of projects. Like mentioned before, a significant part of this data is available online in global datasets and was thoroughly collated by the International Consultant (like stated in Section 2.2.3 and in Section 3.3 for the spatial and temporal data, and for the legal data, respectively) and most of it was already included in the current version of the GIS database by the National Consultant. Nonetheless, official local data is more accurate and usually preferred, thus the recommendation to check its existence and, in the affirmative, to make an effort collecting it. For final recommendation, it is very important that the GIS database is user-friendly and can be used by all provincial departments. If found necessary MOIT should promote additional GIS training and specific courses on how to operate – and, at a secondary level, manage – the GIS database to provincial departments (like suggested in Section 3.2), since it is very important that they’re able to constantly add and update projects every time a new study is submitted for approval.
2.7 NATIONAL MAPS OF SMALL HYDROPOWER
In this section national maps obtained from the GIS database developed by the National Consultant are presented. In order to beneficiate the projects visualization, the territory was divided in four regions: North, North-Center, South-Center and South and maps were obtained according to those regions (Figure 2.23). In Annex II the projects included in the GIS database are presented by region, first all projects and then projects aggregated by status.
10 Either in the form of downloadable documents or links to official websites containing this information
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Figure 2.23 – Definition of the four regions.
Furthermore, an example of the reports of the SHP projects included in the GIS database is presented in Figure 2.24Error! Reference source not found..
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Figure 2.24 – Output from the GIS database: Report of hydropower projects.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 3 CURRENT SMALL HYDROPOWER PLANNING PROCEDURES
3.1 CONTEXT
The objective of this chapter is to conduct a detailed review of the current planning procedures for SHP in Vietnam in close interaction with MOIT and other stakeholders. To accomplish this, the International Consultant carried out missions to Vietnam11 for meetings and work sessions with MOIT and selected Provincial Departments of Industry and Trade (DOIT) and other SHP stakeholders in order to understand the strengths and weaknesses of the current planning procedures. The present chapter sets off with a review of the institutional capacity of MOIT for GIS database development, operation and maintenance (Section 3.2) and follows with an assessment of the current legal framework including a summary of the most relevant laws and circulars concerning to SHP (Section 3.3). Next, the actual review of the current planning procedures is conducted. SHP planning procedures are presented in Section 3.4.1, with the most important institutions and stakeholders identified. In Section 3.4.2 lessons learnt from other assessments are presented and next the strengths and weaknesses of the current plan are stated (Section 3.4.3). At the end, some issues related to data availability and sharing are included (Section 3.4.4). Finally, Section 3.5 is comprised of a benchmark with other countries’ planning procedures.
3.2 INSTITUTIONAL CAPACITY OF MOIT
The assignment included an institutional assessment to identify factors that will be essential for the project’s implementation and sustainability of its results, with emphasis given to MOIT’s institutional capacity for GIS database development, operation and maintenance. From the initial evaluation made during the Inception Mission, it was assessed that there is currently no advanced GIS knowledge nor GIS or Applied Database software licenses within GDE. The current Operating System is Microsoft Windows and there is manifest lack of storage capacity. During other missions, it was clear that other stakeholders (e.g. DOIT’s) will also require GIS knowledge since they will also benefit from the development of the GIS database. As an example, during the mission to Lao Cai, it was possible to understand that the DOIT does not have experience in GIS nor databases and that the current procedure for storing and managing information consists on saving the
11 Inception Mission in October 2014 and Working Mission in May 2016
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) projects’ features and information in MS Word or Excel files. Like Lao Cai, many other DOIT’s in Vietnam are expected to have the same problem. It is therefore extremely important that the DOIT’s and other stakeholders have training in GIS and databases in order to assure the constant update of the developed GIS database.
3.3 LEGAL FRAMEWORK
3.3.1 CONTEXT
In this section the legal framework concerning hydropower in Vietnam is presented. The main objective is to identify the legislation regarding SHP and to understand the government departments responsible for its evaluation and planning. First, the key legislation for SHP planning and development is presented. Next, other relevant legislation to be taken into consideration is also highlighted.
3.3.2 KEY LEGISLATION
One of the most relevant Circular on SHP projects is Circular 43/2012/TT-BCT. The Governmental Circular 43/2012/TT-BCT issued by MOIT regulates management of planning, investment, construction and operation of hydropower plants, including SHP. This circular states that the Provincial People’s Committees are responsible for conducting the plans for SHP (<30 MW) and that these plans shall be submitted to MOIT for approval. The Circular requires MOIT to get opinions from the Ministry of Natural Resources and Environment (MONRE) and the Ministry of Agriculture and Rural Development (MARD) in the approval process for SHP. According to the circular, hydropower planning has to ensure the compliance with current regulations of law on construction, water resources, environment protection, forest protection and development and relevant regulations. It also has to ensure compliance with the planning of socio-economic development, irrigation sector planning, electricity development and other relevant strategies and planning approved by competent authorities. In this Circular it is also stated that SHP planning must ensure the consistency with the cascade hydropower planning and the pumped-storage hydropower planning approved. According to this circular, the projects must not occupy more than 10 hectares of land of various types or relocate more than one household/MW of installed capacity.
3.3.3 WATER RESOURCES
The Law on Water Resources (17/2012/QH13, June 21, 2012) imposes that the management of water resources must combine a river basin analysis with management based on administrative area.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) This law provides regulation on management, protection, exploitation and use of water resources, as well as the prevention of, combat against and overcoming of harmful effects caused by water in the territory of Vietnam. The Ministry of Natural Resources and Environment in coordination with other ministries, agencies and Provincial People’s Committees is the responsible to make a strategy on water resources and submit it to Prime Ministry for approval. A general Master Plan on water resources for the whole country must be written, including the master plan on water resources of inter-provincial river basin, inter-provincial water sources, including surface water and underground water. The horizon period of the master plan on water resources is 10 years, with a vision up to 20 years. This master plan must comply with other national master plans made by other governmental agencies, namely, the master plan on land use, irrigation, hydropower, water supply, domestic waterways transport and other master plans that use water resources.
3.3.4 RIVER BASIN MANAGEMENT
The Decree on river basin management (120/2008/ND-CP, December 1, 2008) provides for the management of river basins, covering basic surveys of the river basin environment and water resources, river basin planning, protection of the river basin water environment, regulation and allocation of water resources and river basin water transfer, international cooperation and implementation of treaties on river basins, organization of river basin coordination and river basin management responsibilities. According to this Decree, water resources in a river basin must be uniformly managed without division among administrative levels, between upstream and downstream. The fairness, rationality and equality in obligations and interests among organizations and individuals in the same river basin must be ensured. The exploitation, use and development of water resources must be combined with the environmental protection and sustainable exploitation of other natural resources in river basins.
3.3.5 UTILIZATION OF RESOURCES AND THE ENVIRONMENT FOR HYDROPOWER AND IRRIGATION RESERVOIRS
The Decree 112/2008/ND-CP, October 20, 2008 prescribes the management, protection and integrated utilization of resources and the environment for hydropower and irrigation reservoirs. The construction of the reservoir must conform to river basin planning approved by the competent state agency. Reservoir resources and the environment must be used in an integrated, economical and efficient manner without being affected by administrative boundaries. A reservoir operating process must be established and submitted to competent authorities for approval before reservoir water collection. Such process must ensure all reservoir functions according to the priority order, work and reservoir lowlands safety. Integrated utilization of reservoir resources and the
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) environment and maintenance of the minimum flow in reservoir lowlands: not cause major changes to the reservoir's flow regime downstream. Water regulation plans for reservoirs shall be formulated on the basis of the approved reservoir operating process, minimum flow requirements, forecasts on flow changes in the year by hydro meteorological agencies and water use needs of branches, localities and economic organizations. MONRE is responsible to specify minimum flow requirements for reservoir lowlands and guiding ministries in complying with these requirements.
3.3.6 ENVIRONMENTAL IMPACT ASSESSMENT
The Decree Nr. 29/2011/ND-CP, April 18, 2011 provides strategic environmental assessment, environmental impact assessment and environmental protection commitment. This Decree, issued by MONRE, presents the projects that are subject to environmental impact assessment report and shows the list of strategic projects and master plans subject to detailed SEA (Strategic Environmental Assessment). Depending on the size of the hydropower project, the following are required:
An EIA for projects with total reservoir storage volume of more than 100,000 cubic meters or power capacity greater than 1 MW. The EIA needs to be approved by MOIT, except for projects with a volume of more than 100,000,000 cubic meters, which need to be approved by MONRE. An EPC for projects with total reservoir storage volume of less than 100,000 cubic meters, which needs to be approved by the PPC.
3.3.7 LAND USES
The Land Law of 2013 (45/2013/QH13) prescribes the land ownership, powers and responsibilities of the State in representing the entire-people ownership of land and uniformly managing land, the land management and use regimes, and the rights and obligations of land users over the land in the territory of the Socialist Republic of Vietnam. Land administration and management is distributed among a large number of central agencies including for agriculture and forests, construction and transport. Among them, MONRE represents the government’s designated focal point for the administration of land resources, as well as water and mineral resources. The land policy implementation responsibilities have been greatly delegated to provincial, district, and commune people’s committees supported by their DONREs. Substantial gaps remain between land policy and its practical implementation. An integrated special planning system which establishes a one area one plan approach to land management is needed because by now, different types of plans such as the Socio‐economic Development Plan, Land Use Plans, Urban Development Master Plans, and various sectoral plans such as the national and provincial Power Development Plans, are all applied to the same areas and natural resources. Despite an internal government consultation on plans at various stages, capacity issues and a lack of definitive spatial plans
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) leads to overlapping and conflicting uses with inadequate attention to social and environmental dimensions. [22]
3.3.8 FOREST MANAGEMENT
The Law on forest protection and development (29/2004/QH11, December 3rd, 2004) provides for the management, protection, development and use of forests and forest owners’ rights and obligations. The law mentioned gives to Directorate of Forestry under MARD the responsibility for developing forest policy and provide oversight and guidance for implementation. Line agencies at provincial and district levels are responsible for administering forest protection and development. However, decentralization in the sector is slow and effective forest policy development and management is constrained by the lack of high quality data. Responsibility for protected areas is divided among several agencies. The Department of Forestry Protection at MARD and its provincial departments are responsible for all special-use forests, and the Vietnam Environment Protection Agency within MONRE is responsible for wetlands and overall biodiversity conservation facilitation. The protected area system suffers as a result of this administrative fragmentation. [22]
3.3.9 ENERGY
To supply energy in a manner meeting the rise in consumption, the MOIT has formulated the National Energy Policy of Vietnam. The main points of the Policy are: 1. development of energy infrastructure and enhancement of long-term energy supply, 2. development of energy in consideration of environment, 3. improvement of energy efficiency and 4. enhancement of international energy cooperation. Two key laws are influential in implementation of the National Energy Policy – the Electricity Law (28/2004/QH11, December 3rd, 2004) and the Environment Protection Law (55/2014/QH13, June 23, 2014). The Electricity Law designates MOIT as responsible for administering overall electricity activities and use, with the Provincial People’s Committees managing electricity activities within their jurisdiction. It provides regulations on electric power sector planning and investment, electricity savings, power market development, the rights and obligations of organizations participating in providing and consuming electricity, protection of electrical equipment, and power safety. The Law establishes a special regime for subsidizing or otherwise encouraging local energy development in rural, mountainous and island regions, including energy derived from new sources and renewable energy. The Electricity Law requires national power development master plans to be formulated for each 10-year period. The Vietnamese Government set out its most recent vision for the power sector in its Power Development
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Master Plan, which was commissioned by MOIT (428/QD-TTg, 18 March, 2016). The Master Plan covers the period from 2011 to 2020 with visions extended to 2030. The Law on Environmental Protection administered by MONRE provides regulations and resources for environmental protection, policy formulation and measurement. It also details the rights and obligations of organizations, households, and individuals in environmental protection and establishes the Strategic Environmental Assessment (SEA) and EIA process for significant development. It also stipulates that the development of clean energy and renewable energy is one measure for environmental protection. [22]
3.3.10 CONSTRUCTION LAW
The construction law (50/2014/QH13, June 18, 2014) prescribes the rights, obligations and responsibilities of agencies, organizations and individuals and the state management in construction investment activities. According to this law, the work construction investment needs to be compliant with master plans and needs to ensure the protection of scenery and environment and social conditions and cultural characteristics of each locality. The construction work needs to ensure stable life of people and combine socio-economic development with national defense and security and response to climate change. This law provides the elements that should be included on construction investment feasibility study reports and the contents of appraisal of construction investment projects that are applicable to hydropower plants also. The Decree on construction project management (59/2015/NĐ-CP, June 18, 2015) provides guidance on construction project management as prescribed previous Law, including: formulation, appraisal, approval for projects; execution of projects; and completion and inauguration of the project; forms and contents of Construction Project Management.
Full texts of the Laws presented in this section were attained from “The library of Law” website12 and are included in Annex III. [23]
3.4 REVIEW OF THE CURRENT PLANNING PROCEDURES
3.4.1 SMALL HYDROPOWER PLANTS PLANNING
3.4.1.1 CONTEXT
The current section condenses information about hydropower planning in Vietnam, focusing on SHP planning.
12 Retrieved from http://thuvienphapluat.vn/en/ in September 2016
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Since the large and medium size hydropower plants play an important role in Vietnam’s generation output portfolio, there is a relatively well established institutional framework with thorough legal and policy procedures for hydropower development. Nonetheless, and although the complexity of small- scale hydropower is often similar to large hydropower, its regulatory framework is less well defined. Thus, the next sections present the suggested procedures to apply for hydropower planning in general and SHP in particular. An important institutional dynamic in Vietnam has been decentralization of decision making powers to provincial and lower levels of government, administrative and service delivery units. Yet, along with important political benefits of decentralization, limited capacities at local level have aggravated poor management and overexploitation of natural resources. Also, in the emphasis on decentralizations certain critical management approaches which require integration and cooperation across landscapes and administrative boundaries – such as river basin management – have been neglected. [22] The current planning process for SHP development is done at provincial level and then approved nationally by MOIT, that way, SHP planning process involves many different agencies, namely:
the Provincial People’s Committees (PPCs); three ministries: MOIT, MARD, MONRE and their provincial counterpart departments (DOIT, DARD, and DONRE); the national electric utility: EVN; and several research and consultancy institutes (Energy Institute, Power Engineering Consulting Joint Stock Company (PECCs), and others).
3.4.1.2 HYDROPOWER PLANNING AND THE ENERGY SECTOR
Hydropower development is strictly related with energy sector. In the past decades, legal framework concerning to power development, including hydropower, has been revised several times. This adjustment reflects significant changes in the power supply and demand balance due to rapid economic development. To face those changes, the Government of Vietnam prepares ten year development strategies with 20 year vision and then two five year action plans to implement the strategy. The energy strategy is a guideline for energy development and it is prepared by the Institute of Energy (IE) for MOIT. The strategy identifies the need for a sufficient supply of energy to service the projected developments in the national socio‐economic plan and prioritizes hydropower plants as a renewable resource and minimizing negative environmental impacts. The National Master Plan for Power Development (PDP) is a detailed action plan including national and local electricity development in line with the national socio-economic development strategy and prepared by MOIT. Normally PDP is prepared at five years intervals and directs national power development, including hydropower. The most recent Master Plan for Power Development, 7th PDP, covers all power development from 2011 to 2020 with vision extended to 2030. As mentioned before,
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) hydropower development is integrated with the analysis of other power sources. Large and medium size (P>30MW) are presented in a discriminated way, while SHP projects are present in group with others renewables projects. PDP is drafted by IE, named by MOIT, in consultation with agencies and international organizations that support the process. Preparing a PDP is a long process and can take over 5 years to be completed. A comprehensive review of electricity sources and demand throughout Vietnam is required as well as consultation with all relevant ministries and review of all proposed electricity projects to be included in the plan. The IE review of Vietnam’s electricity sources including hydropower aims to balance demand and supply. Provision of all MOIT approved hydropower master plans from the Energy Department of MOIT, EVN and PPCs for national, provincial and individual hydropower projects is key to identifying hydropower sources and capacity. All projects are then ranked according to capacity and year expected to commence operation within the ten year period of each PDP. In Figure 3.1 PDP development process is presented. All projects listed in PDP must connect to the national grid, must be able to sell power to the national grid, and must have the support of local and provincial authorities. As mentioned before, only medium and large hydropower projects and individually identified within the PDP. Small projects are grouped which can cause difficulties for individual projects in receiving national support in connecting to the national grid, increasing investment costs and prolonging construction.
Figure 3.1 – PDP development process. Source: Adapted from [22].
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Each province prepares its PDP which includes the national strategy and plans within their territory. Provincial plans include the list of the relevant large hydropower plants identified in national plan in addiction to SHP plans initiated at local level. In provincial PDP, SHP projects are presented individually. The Institute of Energy (IE) is the main organization commissioned by national and provincial government to prepare national and provincial strategies and plans. Besides, IE is usually contacted to prepare definitive provincial PDPs covering five year periods which are adopted by the Provincial People’s Committee and endorsed by MOIT. One of the main concerns on preparing provincial PDPs is that they can suffer changes on a yearly or monthly basis as new project proposals are submitted to DOIT by private developers. For this reason, its integration with other sectors becomes very challenging.
3.4.1.3 RIVER BASIN, PROVINCIAL AND INDIVIDUAL PROJECTS PLANNING
3.4.1.3.1 GENERAL CONSIDERATIONS Hydropower planning occurs at three different levels: River basin, Provincial and Individual projects (see Figure 3.2) and consists of three different stages from the design to construction. A hydropower master plan that fulfills all legal requirements must be prepared for each river basin or province with a list of projects to be developed. The projects included on a list aim the maximization of the exploitation of the potential of the river and the combination of these projects with other water uses is not analyzed at this stage. For each project an investment proposal must be developed and endorsed by PPC and all licensing and contracts have to be approved prior to its construction. A hydropower master plan for each region, river basin, province or individual project requires MOIT’s approval. MOIT is responsible for approving the National Small Hydropower Development Plan. PPCs will approve Provincial SHP plans as a part of their overall PDPs with the agreement of MOIT.
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Figure 3.2 – Hydropower master plan. Source: Adapted from [22]
3.4.1.3.2 RIVER BASIN PLANNING EVN plans for large hydropower development focuses on 10 river basins. EVN is the main party responsible for preparing river basin master plans and investing in the construction and management of large hydropower plants projects. EVN delegated responsibility for projects in river basins to seven “Hydropower Management Boards” across Vietnam, located in: (i) Ha Noi (ii) Vinh, Nghe An Province (iii) Da Nang City (iv) Pleiku, Gia Lai Province (v) Buon Me Thuot, Dak Lak Province (vi) Ho Chi Minh City (vii) Tuy Hoa city, Phu Yen Province The management boards can provide funding for plan development and hydropower project construction. In some situations, the management boards have collaborated on hydropower projects across basins with private companies. The management boards commission the Engineering Consulting Companies (PECC) to undertaking necessary engineering, environmental and social studies to draft hydropower master plans of projects. Consultants provide necessary services to draft hydropower master plans including surveying, EIAs, cost
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) estimations, technical design, Resettlement Action Plans, Ethnic Minority Planning Frameworks, detailed project design, pre-feasibility and feasibility studies. PECCs undertake four steps in drafting a hydropower river basin master plan: (i) A review of data, including hydrology of the river basin; (ii) Data collection on existing hydropower projects in the river basin, including capacity, location, technical features; (iii) Ranking of hydropower projects based on a set of technical, financial, social and environmental criteria, with priority given to low cost and high capacity; and (iv) Define a hydropower development strategy for the river basin, outlining the priorities for and timing of construction. Hydropower master plans are reviewed by management boards and submitted to EVN. After review and consolidation of the master plan, EVN submits it to GDE (MOIT).
3.4.1.3.3 PROVINCIAL PLANNING The provincial plans focus on SHP and each DOIT is responsible for preparing its own provincial plan. The DOITs engage the PECC servicing their region or IE to draft the hydropower master plan, and they are meant to consult with other ministries such as DONRE, DARD, DPI and PPC in its preparation. If a river basin crosses provincial boundaries, the different provincial DOITs will need to cooperate, which may lead to conflicts of interest and delays due to a more complicated planning process. Several other agencies are critical to key stages of the hydropower master plan and project processes at all levels. The National Power Transmission Corporation is particularly important in small projects and ensuring connection to the national grid through input and investment in transmission line connections. The Electricity Regulation Authority plays an important role in the project investment phase, setting the electricity price and facilitating power buying / selling contracts. VEPA and MONRE set guidelines for EIA and SEA of proposed projects.
3.4.1.3.4 INDIVIDUAL PLANS Concerning individual plans, there are different procedures according to three groups of projects:
Very important projects Medium and large projects Small projects The plans for nationally important hydropower projects which require National Assembly approval will involve different institutions in the planning stages and a wide range of review and approval stages over many years. The criteria that define projects of national importance are: 1. Projects that need more than VND20,000 billion of investment, with 20 % of government funds;
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 2. Projects that have or will have potential impact on environment, including: a) nuclear electricity plants; b) investment projects that need to change land use of more than 200 ha of watershed protection forest land, or more than 500 ha of coastal protection forest land, or more than 200 ha of special-use forest land, excluding the land of national parks and natural conservation areas, and more than 1,000 ha of production forest 3. Projects that need to resettle more than 20,000 persons in mountainous areas and more than 50,000 persons in other areas 4. Projects located in most national important places concerning national defense, security or historical, cultural values 5. Projects that require special policy. While medium to large hydropower projects (projects with 30 MW or more of installed capacity) listed in the PDP require MOIT approval, in some cases, approval of other institutions must be sought when other national legislation requires it or when problems arise. Other agencies become involved in all large scale projects. Plans for small projects (projects with installed capacity less than 30 MW) may be established by independent investors and joint ventures in which case an individual hydropower plan is developed for the single project. Private companies can propose a plan to construct and operate a single or a series of SHP. The DOIT assesses the plan from a technical standpoint and advises the PPC. The PPC will be contracted to draft a master plan and undertake pre-feasibility studies and provides formal approval of the plan for construction and operation. With approval from MOIT a feasibility study and investment plan is completed and may be included in grouping of small projects within the national PDP. EIA or EPC process is required to be implemented according to Decree 29/2011/ND-CP. As mentioned before, a project which is not included in the PDP may face greater difficulty in attaining power and operation licenses and selling power to the national grid.
3.4.1.4 HYDROPOWER PLANNING PROCEDURES
Table 3.1 presents the eleven steps of the existing hydropower planning procedures, including the entities responsible to conduct and approve the activities.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 3.1 – Hydropower planning in Vietnam. Source: adapted from [24]
Step Conducted by Activity Approval
Water management agency Build database on water and MARD balance by river basin
1. Water resource potential Hydrometeorology and Collect data on hydro regime MARD study MONRE Check available data on Energy Institute and EVN hydropower potential of MOIT river
Identify most likely locations 2. Study of hydropower EI of EVN of hydropower projects on potential rivers
EVN and MOIT draft power development strategy and 3. Prepare hydropower EVN EI, PECCS PDP Government, PPC, MOIT components in PDP DOIT, PPC, EVN DOIT and PPC develop provincial PDP
Prepare SHP plan for 4. National SHP PECC1, MOIT MOIT Vietnam
EI, Institute of Water Prepare SHP plan for 5. Provincial SHP Resource Planning and DOIT, PPC, MOIT provinces institutions
Funded by investor, 6.Prefeasibility study for Produce prefeasibility report conducted by EVN EI, PECCs DOIT, PPC individual projects on project construction and others
7. Feasibility study EVN EI, PECCs and others Produce prefeasibility report DOIT, PPC
Produce technical design 8. Technical design EVN EI, PECCs and others Project owner report
MONRE approval of EIA for large projects Develop investment EVN, PECCs and others MOIT approval of EIA for 9. Cost estimate proposal EIA team large and medium projects Produce EIA report PPC approval EIA for mall projects
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Step Conducted by Activity Approval
Dam, roads, transmission lines, pipelines, canals, 10. Construction Construction company Project owner, supervisor resettlement areas construction
Hydropower plant Power generation, water 11. Operation management board management, maintenance
The hydropower plans should be in line with many other plans and strategies, for example, provincial socio-economic plans, land use plans, development plans for economic regions, river-basin plans, water resources development strategy, environmental protection strategy, among others. However, PDP does not mention these development policies and the power agencies do not work actively with the respective sector ministries in their preparation to ensure hydropower is well integrated.
3.4.2 LESSONS LEARNT FROM PREVIOUS ASSESSMENTS
To conduct this work several previous studies relating to hydropower development in Vietnam were analyzed. Concerning SHP projects, planning and operations needs to be revised in order to coordinate all projects located in one river or one river basin. Most of the times, projects are evaluated and analyzed independently, without their overall integration. On one hand, this fact can bring overexploitation of river flows with consequences to livelihood of downstream people. By the other hand, SHP as a cascade system would yield significantly higher power production and higher revenues. Moreover, the assessment of the environmental impacts should be done at a cascade level, being aware that the construction of two or more projects in the same river significantly reduces river flows for long distance (between the weir of the project located upstream and the power house located of the downstream project). The environmental impact with the construction of a cascade can be higher than the construction of a large hydropower project. Imposing environmental flows on all projects (large and small ones) will reduce impacts in the river flow and will reduce also the impact in riverine life and ecosystem. However, releasing environmental flow will also reduce power production and revenues. Thus, from the policy maker’s perspective, balancing the tradeoffs between the private benefits to SHP operators and the external benefits to the environment is important. The application of joint planning, joint operations, and joint maintenance of the SHP projects in the cascades will lower costs and increase benefits. In order to implement this cascade analysis, government should strengthen the requirements for and performance of participatory technical optimization and strategic environmental assessment at both river basin and regional levels: stronger assessments will enable both the optimization of hydropower plant operation and evaluation of impacts at the system level. The result will be an overall improvement
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) in power production efficiency as well as the most reasonable and cost-effective mitigation of negative impacts. Government should also incentive private developers to build, operate, and maintain SHP cascades.
3.4.3 STRENGTHS AND WEAKNESSES OF SMALL HYDROPOWER CURRENT PLANNING
In this section, the strengths and weaknesses of current SHP planning will be presented. During the review of current the hydropower planning procedures, issues related to the integration of the different plans were highlighted. The hydropower planning must ensure compatibility with several other plans, such as the Socio‐economic Development Plan, Land Use Plans, Urban Development Master Plans, and various sectoral plans such as the national and provincial Power Development Plans. All these plans are applied to the same areas and natural resources and, despite an internal government consultation on plans at various stages, capacity issues and a lack of definitive spatial plans leads to overlapping and conflicting uses with inadequate attention to social and environmental dimensions. Hydropower planning in Vietnam is different if the project is large or small scale, since large hydropower is planned at national level and SHP is planned at province level and approved at national level. Both plans are independent, but need to be integrated to ensure there are no overlapping. During the current technical assistance the hydropower planning procedures at provincial and national level were meticulously analyzed and several governmental departments and stakeholders (such as GDE, the Hydropower Department of MOIT, the Lao Cai DOIT, PECC 1 and EVN) were consulted in order to understand in situ the main strengths and weaknesses of the current planning procedures. A summary of the strengths and weaknesses of the current hydropower planning procedures is presented In Table 3.2.
Table 3.2 – Strengths and weaknesses of the current hydropower planning procedures.
Feature Strengths Weaknesses
Amending Amending legislation allows developing Sometimes the new legislation does not legislation new rules and adding new issues into legal support all possible cases and no one framework. knows how to act in those cases.
Natural resources Overall flexibility and potential best use of The roles of all entities need to be more planned by several the resources clearly defined to avoid overlapping and to independent promote more effective coordination. entities
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Feature Strengths Weaknesses
Decentralization of Planning made by those who know the Limited capacities at local level have decision making natural resources closely. aggravated poor management and powers to provincial overexploitation of natural resources. Easier to identify specifics impacts in and lower levels of people’s habits and water use. Lack of money that can take to a province government planning with low quality. Some rivers are coincident to administrative boundaries and its planning requires cooperation between provinces, which can be tiresome and time-consuming to implement.
Flexible planning Projects can be studied by investors that As the planning is flexible, new projects can spend their own money doing the be added to the existing planning. respective studies. In this case, is expected However, the government needs to that the pre-feasibility study has more compare all projects and analyze conflicts accuracy than the study done at provincial between the projects. level. When some investor wants to develop a project included on the provincial PDP the feasibility study needs to be detailed. However during the improvement of the studies, some characteristics can change (for example, hydrological studies and consequently the capacity to install). In those cases, the project with the new characteristics needs to be submitted to DOIT and approved by MOIT again.
Minimum flow to Investors can make the study of the flow to Because there is no imposed value, in some release is not clearly release by the maximum they consider cases the flow released is so low (or is not established. reasonable in lost income (minimum flow release at all) that the river between the possible) dam and power house is completely dry, causing major problems at the ecological level.
Land uses The land policy implementation Substantial gaps remain between land responsibilities have been greatly policy and its practical implementation. delegated to provincial, district, and Difficulties on identify land owners. commune people’s committees supported by their DONREs. Economic analysis is done considering the Economic analysis Updated costs and possibility to choose maximum tariff (defined in the dry season), least-cost or best cost-effective solutions however in peak time is impossible to absorb the generation of all projects. Many times real income is lower than the expected in the economic studies.
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Feature Strengths Weaknesses
Topographic maps Vietnam has topographic maps for all Topographic maps do not have sufficient resolution country that is a good base to develop resolution to assess the elevation for real, hydropower projects. so, without local topographic survey is not possible to know the head of each SHP. When the study is about cascades, this problem becomes higher because there is no compatibility between the elevations of all SHP.
Planning of SHP is developed on provincial level and many times, local consultants are contracted to develop SHP studies, but, sometimes consultants may not have capacity and/or knowledge to develop hydropower studies, especially concerning hydrological studies and project design. Thus, some projects are included on provincial plans but are very incipient and need detailed studies. In these cases, in a further development phase, when an investor tries to develop the project, the project revised shows to have different characteristics than the first one included on provincial plan. When this happens, the project needs to be restructured and need to be submitted again to DOIT and MOIT for approval. In these cases, project’s approval can be very difficult and time consumptive. At the present date in Vietnam there are about 600 SHP planned, totalizing 400 MW according to provincial plans. However, it is hard to back-up the accuracy of these figures due to the uncertainty and diverse level of detail of the supporting studies on the base of provincial plans.
3.4.4 DATA AVAILABILITY AND DATA SHARING
There is large amount of existing data in Vietnam concerning temporal hydrology data and geographical data, such as land use and topographic maps. However, this data belongs to different ministries and Vietnam has a culture of data monopoly, thus, sharing data on national scale is very unusual and requires significant high-level coordination. Government bodies, such as MOIT, can request data from another Ministry for specific projects or purposes, but this procedure is time consumptive and sometimes very expensive. As result, MOIT has data concerning hydropower plants but do not has access to data essential for planning of SHP, like hydrometric data, land use, forest cover, settlement areas, water use, etc. In the approval procedure MOIT has to rely on information given by the provinces, many times prepared by local consultants. It is very complex for MOIT to verify the incoming local data, and the lack of general spatial data makes it difficult for MOIT to put individual projects into a larger geographically strategic framework. Hence, the importance of the development of a national GIS database for planning SHP and other RE projects is essential to overcome the problem of data sharing (Section 3.4.4). The GIS database will help to observe all projects together giving a global vision of projects in Vietnam.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 3.5 HYDROPOWER PLANNING PROCEDURES IN OTHER COUNTRIES
3.5.1 CONTEXT
This section aims to help get a vision of what can be improved in SHP planning in Vietnam by understanding the procedures and different stages of development that are in place in other countries. The section begins with a summary of hydropower procedures and planning in neighboring countries (such as Laos PDR, Cambodia, China and Thailand) but also in other SHP-mature regions like Europe (Portugal).
3.5.2 LAOS PDR
Hydropower planning in Laos PDR is not well stablished due to the lack of financial source. At the moment, hydropower development planning is limited to identification of potential sites and the updates of selected sites, conducted annually by the Department of Electricity (DoE) under the Ministry of Energy and Mines (MEM). The Government of Laos (GoL) inability to finance its hydropower development transforms its position as a country with high potential of hydropower into a disadvantageous position as its dependency on IPP handicaps it to direct hydropower development strategically to promote the country’s economic and social advancement. From the macro-economic perspective, GoL dependency to IPP reduces its ability to negotiate about electricity tariff, tax and royalty fee as it has the tendency to accept any term proposed in the agreement, seeing it merely as the only way to proceed with hydropower development. From the governance perspective, this dependency reduces GoL ability to regulate hydropower development in terms of formulating, implementing and enforcing policy measures to ensure sustainable hydropower development. Government rules and regulations have the tendency to facilitate private investors’ interests rather than to strictly regulate and control their conducts, as government depends on the incoming financial sources to generate export revenue. The current situation highlights the need to focus on policy reform as means to monitor and guide IPP conducts both at policy and project level. Parallel to this, there is a need to provide incentives for GoL to formulate power system development plan, in which IPP conducts can be governed more strategically as to ensure that GoL receives optimal benefits from hydropower. Currently, policy efforts to improve environmental protection and management are focused on impacts from development project to the environment, rather than putting environmental management as an integral part of development. The focus has been given mainly to incorporate EIA as part of the formal procedure in hydropower development and less on the formulation of environment management monitoring plan both at national and project level. [22]
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 3.5.3 CAMBODIA
The Rectangular Strategy for Growth, Employment, Equity and Efficiency was adopted in 2004 as the overall framework for Cambodia's socio-economic development. Founded on principles of good governance, peace, political stability, social order, macroeconomic stability, partnership and economic integration, the Rectangular Strategy focuses on critical development issues such as the enhancement of the agricultural sector, rehabilitation and construction of physical infrastructure, private sector development and employment generation and capacity and human resource development. Cambodia’s energy needs were met primarily through diesel and heavy fuels which kept tariffs high and stifled economic progress, and despite the relative normalization of the security situation and entry of many donors, Cambodia continues to experience a severe energy supply deficit. The country’s energy supply system is characterized as a highly fragmented electric power network supplied mainly by diesel generators. In addition to the deficit in power distribution and lack of a national grid system for distribution, the costs of generating and supplying electricity are among the highest in the world, while the rate of electrification is one of the lowest in Asia. At policy level, rapid hydropower development is seen as having the potential to promote sustainable development and poverty reduction by providing renewable power as well as potentially contributing greatly to revenue streams for the government. More than half the planned new energy capacity is to be obtained from large hydropower dams, by tripling hydropower output over the next several years. MIME (Ministry of Industry, Mines and Energy) has prioritized between 14 and 17 large hydropower projects for development between 2010 and 2020. This proposed large-scale hydropower development program, is likely to be implemented mainly in cooperation with Chinese construction companies funded by Chinese banks as the Government intends to accord high priority to encourage the private sector to invest in energy infrastructure, including generation, transmission and distribution. In hydropower planning, the first step in the decision making process is a screening and ranking of potential projects, after which some may be selected for further study, while others will be included in the national power generation expansion plan. Those projects in the national plan are then open to public/private investment. The practice appears to be that any project proponent company first presents the project proposal to the Prime Minister, Deputy Prime Minister or a member of the Council of Ministers or the Minister of Economics and Finance. If the blessings of the individual are given, the project proposal can be handed to the CDC (Council for the Development of Cambodia) which assigns it to MIME. The project proponent must then sign a MoU with or receive a Letter of Permission from MIME. This grants the proponent two years to go through the process of preparing the feasibility studies (IEIA), EIA and Environmental Management Plan (EMP). The project proponent’s technical staff will then prepare the feasibility study, with MIME arranging access to relevant government staff, data and the necessary approval permits. The project proponent
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) typically self‐finances the study, which becomes the joint property of the project proponent and MIME once completed. On satisfactory completion of the feasibility study, the project proponent is entitled to enter into discussion with MIME on the possibility of developing the hydropower project. According to the Sub‐Decree on the Environmental Impact Assessment Process (1999), the project proponent is also required to submit the feasibility study to the MoE for review. If the project is deemed by MoE to have a “serious impact on natural resources, ecosystem, health or public welfare” it may then be required to submit a full EIA. This is to be determined after the Department of Environmental Impact Assessment Review in MoE or the concerned Provincial Departments of Environment visits the project site. In practice, according to the Director General of the Energy (of MIME) an inter-agency feasibility study workshop including MIME, MAFF, Ministry of Economics and Finance and MoWRAM is held to jointly review the results and determine whether the proposed project should continue to the feasibility study and IEIA. If this is the case, the terms of reference are provided on the basis of the discussions at the workshop. The Law on Environmental Protection and Natural Resources stipulates that an assessment of impacts to the environment shall be done for every project and activity, private or public before the issuance of a decision by the royal government on all submitted proposed projects. Consequently, every investment project application and proposed project submitted by the state was to include an initial environmental impact assessment (IEIA) or environmental impact assessment (EIA). However, believing that this would take too long, the government developed a prescribed list of those projects requiring an IEIA and/or EIA through the 1999 Sub‐Decree. All activities included in this list are considered as a potential threat to the environment, and includes all hydropower structures that intend to yield more than one megawatt of electricity, which in effect will include all major hydropower dams. The lengthy history of political upheaval has meant that Cambodia started using EIAs relatively recently, and this is evident in that the current legal framework guiding the EIA process remains rudimentary, suffering particularly from the lack of detailed guidance for implementing key stages of the process, a case in point being the EIA and its review. The fact that the project proponent is required to conduct the EIA creates a conflict of interest that amounts to a fundamental flaw in the process. The lack of a truly independent assessment of both the ecological and socio‐economic implications goes on to directly undermine the quantification of compensation due to often the most vulnerable stakeholders in the dam development process. Omissions and ambiguities in the legal framework are compounded by limited capacities within Cambodia to prepare and evaluate EIAs and hiring international consultants to conduct this work can be prohibitively expensive for the investing company. In any case, industry consultants and engineering companies that undertake feasibility studies and environmental impact assessments know that they need to portray a project in a favorable light if they want to get future contracts. It is therefore in their interest to claim that the impacts can be mitigated and that the project in question represents the best option for meeting the country's needs. EIAs that should anticipate problems have thus served as a rubber‐stamping device rather than a real planning tool.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) The Department of EIA Review is constrained both by its staff capacity and size to manage the review of large EIAs within the 30-day period stipulated in the Sub-Decree of 1999. It is arguable whether any staff size will be adequate given the 30 day limit. This limit is thus another critical limiting factor where ecological as well as socio-economic impacts can cover large areas and are often cumulative in nature. Consequently, no serious impact assessment on ecosystems and their services can been done. With respect to participation, Cambodia’s power sector planning process has demonstrated limited transparency or accountability to Cambodia’s citizens, with many decisions taken behind closed doors and without meaningful public consultation. The Department of Hydropower Development within MIME on many counts remains inaccessible to civil society scrutiny. Although Cambodia’s Constitution states that “Khmer citizens of either sex shall have the right to participate actively in the political, economic, social and cultural life of the nation” there is no specific law on broader public participation in the decision‐making and planning process for water resources development projects. Another key factor is that the need and importance of an EIA is not widely recognized amongst all Ministries, limiting the authority of MoE to enforce an EIA’s requirements, with some decision-makers seeing the need for a project’s compliance with the EIA process to be secondary to the need for rapid economic development. Another major concern with existing hydropower projects is that environmental impact monitoring is generally weak or non‐existent. It reflects the general lack of financial resources, budget provision and sustainable financing mechanisms to pay for mitigation measures set out in project EMPs as well as unanticipated environment impacts that arise. As with the EIA process, it is also a legacy of poor commitment to ensuring development choices are sustainable Concerning to resettlements and compensations, the legal framework dealing with EIAs is devoid of any reference to them. These issues therefore do not fall within MoE mandate although they are fundamental to mitigating the impacts of a proposed dam. This appears to also be in line with the fact that the legal framework does not require a Social Impact Assessment (SIA). These issues are instead overseen by the Inter-ministerial Resettlement Committee (IRC) of the Ministry of Economics and Finance (MEF), while line ministries and local authorities are responsible for approving resettlement action plans and compensation rates for projects requiring resettlement. The fact that one of MEF’s objectives is to minimize overall costs for the infrastructure project gives rise to inherent conflicts of interest. As a committee under MEF, IRC is expected to follow instructions from MEF and comply with MEF’s project guidelines. It would thus be difficult for IRC to make decisions that are sympathetic to the situation of the affected people in terms of providing adequate funding for compensation and resettlement. As explained in a review by the ADB (2007) of the resettlement and compensation process in Cambodia: “[the] IRC acts as a “legislature” in determining rules and standards for valuation of affected assets and resettlement, as an “executive” in implementing these standards and delivering compensation and resettlement options, and as a “judiciary” in addressing affected people’s grievances
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) and complaints. With all three major government functions in one body, it is difficult to avoid abuse of power.” [22]
3.5.4 CHINA
In China, a hydropower plant with capacity lower than 50MW is classified as SHP. The Chinese government has always attached great importance to the construction of SHP. SHP construction in China was initially aimed at supplying electricity for mountainous areas in collaboration with small-scale water conservancy projects. From the perspective of development potential, China’s SHP resources are very abundant, with an economic development capacity of about 120 GW, widely distributed over 1,600 counties (cities) across the country. By the end of 2011, more than 45,000 SHP stations were built with a total installed capacity of 62 GW. SHP installed capacity and annual power generation accounts for about 27% of China’s hydropower. In 2012, the Ministry of Water Resources, in conjunction with the National Development and Reform Commission, promulgated “The Management Approaches of Small Hydropower Substituting for Fuel Projects.” Investment from the central government continues to increase. As a result, since 2009, 242 of these ecological protection SHP projects have been approved for construction, adding 625 MW of installed capacity. These SHP projects are financed and constructed through national compensation and return farmland to forest (grassland) area and nature reserves, mainly to replace fuel necessary for daily life and to provide cheap electricity for rural residents. At the end of 2012, 105 ecological protection projects of SHP substituting for fuel had been completed with an addition of 212 MW, thereby providing energy for basic daily life for more than 60 million rural residents and protecting 2.2 million acres of forest that might otherwise have been flooded for large hydropower impoundment/dam projects. In early April 2015, the Ministry of Water Resources (MWR) held a meeting on rural electrification, in which rural hydropower development during the “Thirteen Five Year Plan” (13FYP) was also discussed. The identified priorities of future work include:
Using hydropower to improve electrification in rural areas; Using SHP to replace biomass fuel; and Upgrading and retrofitting existing plants to improve efficiency and/or increasing capacity. During the 13FYP, the MWR plans to add 10GW of SHP. For the 13FYP the focus will be more on increasing the capacity & efficiency of existing plants and shifting to more comprehensive utilization of the plants. In the past development, much emphasis was on building new projects. But starting from the 13FYP, the focus will be more on increasing the capacity and efficiency of existing plants and promoting sustainable utilization of hydropower. The model of hydropower development is shifting – from the sole function of electricity generation, to more comprehensive utilization of the plants, in order to maintain the ecological functions and environmental
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) benefits. EIA is still necessary in the construction process of a SHP. The new ‘Green Small Hydro’ standard uses the EIA as the basis with additional requirements, such as fulfilling social function, safe operation and contributing to the improvement of local economy and livelihood. Currently, the new standard includes more than 20 indicators. During the development phase of this standard, over 100 SHP with good environmental performance and recommended by provincial governments were selected as test cases. The trial evaluation using the standard showed that around 95% of the selected plants achieved good results; while, the remaining 5% failed some indicators such as ecological protection of the river course. As mentioned before, China always attached great importance to the construction of SHP, since the development of SHP leads to the expanding of local power grids in China, causing changes in the electricity consumption structure of SHP-supplying regions, ensuring the continued growth of the townships’ industrial and rural household electricity consumption. Distinguished from concentrated development and projects implemented by the central government in other developing countries, or developing a single power station mainly by enterprises with the goal of economic gain in some countries of Europe and in the U.S., China’s SHP development and management is decentralized and implemented by local regions. While the development strategy, objectives, standards, guidelines, and policies of SHP are formulated by the central government, other planning and design, development, operation, management, and equipment manufacturing for SHP are undertaken by local governments. Based on the “walking on two legs” policy of self-reliance, SHP projects are developed locally and extend the electricity supplied by large power grids, thereby forming a decentralized management system. So, a rural electrification plan is prepared for each county. It is based on the energy resources available, the Rural Electrification Standards, the existing power sources, the existing grid network and future grid connections. The plan includes the selection of favorable sites and the development of power sources and grids at the same time. The application of new technology and equipment is encouraged in order to guarantee the quality of rural electrification and to lower the construction cost. A high priority is also given to sound management at all stages of the project cycle. The governments at all levels have established special agencies to provide guidance and coordination for the planning, construction and management of rural electrification projects, to popularize new technologies and products, and to facilitate the exchange of technical and management experiences. As mentioned before, the areas supplied with electricity from SHP are mostly mountainous areas, which are hard to reach with large national grids and which have suffered from the lack of or shortage of electricity. This has severely restrained the economic development in these areas. SHP is one of the foundations of the economic vitalization and improvement of local living standards in mountainous areas. Combining the development of water resources with electricity generation, the exploitation rural SHP not only solves the problem of water supply to mountainous agriculture, but also solves that of electricity supply for pumping water for agricultural use including irrigation. It accelerates the construction of infrastructure,
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) improves the development, agriculture in mountainous areas, and guarantees a stable and high output of grain. In the past, China implemented the so called ‘self-built, self-managing and self-owned’ policy, which greatly promoted the development of SHP. The “self-built” principle allows and encourages local governments and people to carry forward the hard work and self-reliant spirit to plan and build local SHP stations using local resources, technologies, and raw materials. “Self-management” refers to “who invest who owns,” ensuring the enthusiasm of the local electricity office. “Self-use” means the electricity generated from SHP stations shall be issued to the nearest local use, which requires that SHP must have its own supply (“distribution”) areas, forming a unified and integrated rural electricity market. After two to three decades of implementing this policy, most of the sites with good conditions have been developed. The remaining has relatively poorer technical conditions with lower financial returns. Also, environmental requirements (towards infrastructure projects) are increasing. Nevertheless, China still hopes to encourage and attract social capital in the investment of rural hydropower construction, under the premise of protecting the interests of farmers and ensuring ecological security. In recent years, China has invested more in promoting electrification construction and delivering electricity to remote areas and is actively arranging funds for “small hydropower substituting for fuel” projects. Over the past decade, financial institutions have gradually become the main source of funds. Furthermore, some banks set up special loans to support local SHP construction. With the further development of the market economy, the role of financial institutions will be more and more prominent. For China, an old and giant country, economic development and resource conditions vary from region to region. It is unrealistic and uneconomical to achieve rural electrification by completely relying on the central government to develop power generation and by relying on large power grids to supply electricity. Therefore, adhering to the policy of “walking on two legs,” the electrification of SHP resource-rich mountainous rural areas is allowed first. And here, power quality is higher than in urban areas, and the range of resources supplying power is more diverse, which is favorable for the state, group, and individual. Unlike other developing countries, China attaches great attention to the development of SHP’s own supply (“distribution”) area, and has formed a unified system integrating power generation, supply, and consumption in SHP resource-rich areas with local SHP companies in charge of supplying power to rural areas. Local power grids and the national grid can connect at a certain point in order to take full advantage of seasonal electricity supplies. As with most power generation development projects, SHP development in China faces a number of challenges. In Table 3.3 these challenges are presented.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 3.3 – SHP development challenges.
The public welfare aspect of SHP has been the focus, and less attention has been paid to the property
rights of power stations. When competition in the electricity market is intensified, plus the external
administrative intervention and a mess of internal mechanisms, electricity market confusion is likely to emerge in the SHP supply region. In China, rural electrification cooperatives are nonprofit electricity enterprises organized by rural users and shareholders, implementing the mechanism of “self-occupy, self-
supply, self-use.” Their property rights can only be changed through the conversion of stakes, resulting in a Propertyrights rural electricity market with clear property rights. For the future of rural areas in China, a stable rural electricity market is needed.
The development of SHP in the future depends largely on whether its social benefits, environmental benefits, and welfare status will be recognized by the whole society. To some degree, because society as a
whole is the beneficiary of the social and environmental benefits of SHP development, it is reasonable for operation
ecentralized the whole society to pay a certain price, which is also a “win-win” arrangement. D
After 1998, China began to carry out large-scale “two reforms and one price” work, which referred to reform of the rural power management system, the transformation of rural power grids, and achieving the same price in urban and rural power networks. Due to the relevant departments’ one-sided understanding of the State Council’s documents, they expanded their monopolistic range, encroached on local interests, harmed the interests of the masses, and created institutional barriers depending on “two reforms and one
Institutionalissues price,” making any measure promoting the development of SHP policy measures difficult to enforce.
- The well-established policy of “small hydropower should have its own power supply areas” has greatly
promoted development of SHP and rural electrification. However, there is an inherent conflict with this principle because all generating capacity must access a large grid. Further, the central power enterprises with a monopoly position allow less grid-connected electricity for SHP generation enterprises, so the excess is called “invalid electricity.” Even if it is integrated in the grid, there is almost no profit. Meanwhile, the accessissues tariff for SHP is also far lower than that of thermal power. As a result, this unreasonable situation is a
Supply areas Supply and grid severe blow to the development of small hydropower.
Overall, the role of SHP in promoting socioeconomic development and environmental protection in China’s rural areas has become increasingly important. The SHP industry is no longer a means just to solve rural energy problems but also provides a combination of social, economic, and environmental benefits. To solve problems in China’s SHP development process, the country needs to rationalize the various relationships within the industry, especially with the large grid, make clear the position of the SHP industry in the future, and strengthen the functions of hydropower departments at all levels. Only in this way can problems be worked out gradually from top to bottom, promoting the next phase of SHP development. This section was written based on information present in [25], [26] and [27].
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 3.5.5 THAILAND
Thailand is committed to develop alternative energy in order to reduce its dependence on natural gas for power generation and to focus on clean energy sources. Hydropower will remain a steady supply source, but future capacity expansion is planned only for SHP. At the same time, as a net electricity importer, Thailand will increase the share of imported hydroelectricity. In order to ensure reliable deliveries, the country is looking to participate in developing larger hydropower projects across the border, and signing long-term purchase agreements. [28] Under the hydropower section of the Renewable and Alterative Energy Development Plan 2012-2021, the country aims to, among others: [29] 1. Promote community collaboration in order to broaden production and consumption of renewable energy (including hydro). 2. Generate off-grid hydropower at village level for non-electrified households. 3. Support the construction of hydropower plant projects at community level, allowing the local administrative organization or local people to collaborate as project owners. Encourage them to self-manage and maintain the plant. 4. Solve the problems and barriers in micro hydropower projects located in sensitive areas: river basin at the floor 1-B, national park or wild animal preserved zone. 5. Assign the DEDE (Department of Alternative Energy Development and Efficiency) and EGAT (Electricity Generating Authority of Thailand) to develop SHP of downstream irrigation dams and mini hydropower systems at generation capacity of 200-6,000 kW. 6. Disseminate information and conduct public relations to state the advantages of hydropower projects. 7. Promote research work as a mechanism in the development of an integrated renewable energy industry by conducting research and development of the run-of-river micro hydropower turbine and by studying and developing low-head turbine types. With regards to SHP, in 2002, Thailand introduced the supportive VSPPs policy for installations with capacities not greater than 1 MW. VSPPs are private power producers with a generating capacity of less than 10 MW that sell electricity to MEA (Metropolitan Electricity Authority) or PEA (Provincial Electricity Authority). The policy is also applicable for renewable technologies and other non-conventional resources (i.e. waste, agricultural residues, biomass and solar energy), as well as Combined Heat and Power (CHP) and Cogeneration systems. In September 2006, the policy was altered in order to encompass projects generating 1-10 MW, i.e. Small Power Producers (SPP). [29] A national SHP evaluation was carried out in 2011 and determined a gross theoretical SHP potential of 700 MW. Information on technical and economically feasibility is not available. According to the DEDE of the Ministry of Energy, the renewable energy potential and targets for SHP under the Very Small Power Producers Using Renewable Energy (VSPPs) policy are: 281 MW (2012-2016) and 324 MW (2017-2022). [29]
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) A new feed-in tariff (FiT) developed by Ministry of Energy has replaced the former adder rates since end-2014. The scheme is for Very Small Power Producers (VSPP). For hydropower, FiT is to be granted for 20 years, and rates vary by power plant size and location. The new FiT is calculated as follows: FiT = FiT(F) + FiT(V) + FiT Premium. FiT(F) is a fixed portion of the remuneration for the whole support period: FiT(V) varies according to inflation rate if the feedstock price is volatile (hence, not applicable to hydro). For SHP (< 200 kW), the fixed FiT is THB 4.90 per kWh, and there is a premium of THB 0.50 per kWh for projects located in the Southern Provinces. Selection of applications for projects will change from “first- come, first-serve” to a competitive bidding system. Therefore, the suggested FiT actually serve as a ceiling for competitive offers by the power producers. [28] As mentioned before, Thailand imports energy from neighboring countries. The lower costs of importing hydropower compared to importing Liquefied Natural Gas (LNG) justifies the Thai government's strategy to increase hydropower imports from neighboring countries. Myanmar and Laos will remain Thailand's main suppliers of electricity, with Myanmar eventually becoming the dominant supplier as new hydropower plants come on stream. Thailand currently imports over 2,000 MW of electricity from Laos at about THB 2.3 per kWh (USD 0.07/kWh), and capacity is set to increase with commissioning of several projects in 2019:
Xe-Pian Xe-Namnoy: Thai IPP RATCH (where EGAT owns 45.01%) holds 25% in PNPC – the company developing Xe-Pian Xe-Namnoy in Laos. Of the 410 MW produced, 370 MW are to be sold to EGAT under a 27-year PPA signed in November 2012. Nam Ngiep 1: EGAT also holds 30% in Nam Ngiep 1 Power Company. All of the electricity produced by the 272 MW project will be exported to Thailand. Thailand also funds the controversial Xayaburi dam. The power purchase agreement for 95% of the electricity, signed in 2011, is now disputed in Thai court by local communities. In July 2015, the court accepted final submissions of evidence by the plaintiffs. Furthermore, Thailand and Myanmar signed a Memorandum of Understanding in June 2015 to increase Thailand’s import of electricity from Myanmar by up to 10,000 MW, including through investment in a cascade of hydro-power projects on the Salween River. [28]
3.5.6 PORTUGAL
In Portugal, hydropower plants with installed capacity below 30 MW are considered SHP. Since 2005 and as a result of strategies and directives adopted by the European Union, there was a significant improvement of the legal framework concerning to management, protection and use of Portuguese water resources. The Water Law (Decree Law No 58/2005, December 29, 2005) sets the foundation for the management and sustainable use of Portuguese water resources and their dependent ecosystems. The mentioned law, and adding the Law of ownership of water resources (Decree Law NO. 54/2005, November 15, 2005) fit into the legal framework that, from the beginning of
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) the twentieth century, regulates the use and ownership of surface water, the respective beds and banks and groundwater, extending it now to estuarine and coastal waters. These Laws were followed by supplementary legislation concerning to use of water resources (D. Law No 226-A / 2007, May 31), multi-purpose projects (D. Law No. 311/2007, September 17), delimitation of the river basin (D. Law No. 347/2007, October 19), which now constitute the basic territorial unit for water management, the domain of the public water users associations (D. Law No. 348/2007, October19), delimitation of the public water domain (D. Law No. 353/2007, October 26), economic and financial regime of the use of water resources (D. Law No. 97/2008, June 11), legal framework for environmental liability (D. Law No. 147/2008, July 29) and protection of groundwater (D. Law No 208/2008, October 28). This vast legal framework, sets that all activities that have a significant impact on the status of public and private waters can only be developed under a title use. In case of conflict between different uses of water are followed the preference criteria set out in the river basin management plans, giving priority to public water supply. As a summary of the Portuguese legal framework concerning hydro resources, some notes concerning to hydropower development are presented next: - The use of public water resources for hydroelectricity production is subject to concession. The concession is obtained through open competition procedure (by tender). In some cases, the concession may also be granted by Decree-Law to public entities that has the exploitation and operation of multi-purpose projects. - The tender to obtain the concession for water use may result from public initiative, or request by particularly interested. The concession period, which may not exceed 75 years is fixed taking into account the nature and size of investments associates, as well as their economic and environmental relevance. - Government can promote hydropower plant development for projects with installed capacity exceeding 100 MW. In those cases, a tender procedure is also needed. In terms of licensing, some issues can be improved, namely, the licensing procedure suitable for SHP projects can be better coordinated between the national authorities responsible for the process with simplified administrative procedures. Instead of launching new tenders, authorities can take advantage of the studies already produced in analyzing whether or not to approve submitted licensing applications. The support scheme in place for hydropower is its feed-in tariff. The Decree-Law 225/2007, May 31 indicates an average reference of 7.5-7.7 euro cents/kWh, with a limit to the first 52GWh or up to 20 years, whichever reached first. It could be increased to 25 years in exceptional cases. [30] Concerning to residual flow, that would be the sum of ecological flow with flow necessary for the existing uses as irrigation and water supply, there is no regulation published on establishing its value. There are only indications that the ecological flow should be, on average, 5-10 per cent of modular flow. Also, this flow should be variable during the year to enable a better adjustment to the differences in the natural hydrological regime and to the spawning seasons.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) In 2012, the Decree-Law 25/2012, February 6, was published, ceasing the award of connections to the grid for all projects of power plants under Special Regime. A month later, the Dispatch 3316/2012, March 6, came into power applying the referred Decree-Law specifically to the SHP sector. This meant that not only ‘freezing’ of all projects, but also invalidating all private initiatives pending on the authorities responsible for the licensing of these power plants. Due to these changes in support, uncertainty exists among developers regarding the possibilities of developing new SHP in Portugal. With respect to public support and social acceptance of SHP development, there is no major opposition at the moment to SHP.
3.5.7 FINAL REMARKS
Following the analysis of SHP procedures and planning in countries near Vietnam it is clear that they face hydropower development as an opportunity to decrease fuel dependency. Excluding Laos, which does not have an established legal framework due to lack of financial sources, the other countries have hydropower planning procedures and environmental frameworks that must be strictly followed during the development of hydropower projects. However, it was noticed that in some cases the legal framework needs complementing since the social impact assessment is not incorporated in the small hydropower framework. Fortunately, this is not the case in Vietnam. The capacity limits for the definition of SHP change from country to country, mainly related to their size and level of maturity in SHP development. From all the countries evaluated, China is the one with better established SHP procedures and environmental rules. SHP development began at provincial level and under ‘self-built, self-managing and self-owned’ policy. Planning and design, development, operation, management, and equipment manufacturing for SHP are undertaken by local governments, while structural policies, like development strategy, objectives, standards, guidelines, and policies of SHP are formulated by the central government. Concerning the environmental framework, the new ‘Green Small Hydro’ standard uses the EIA as the basis with additional requirements, such as fulfilling social function, safe operation and contributing to the improvement of local economy and livelihood. SHP planning in Vietnam has the same common thread as China, with provinces having a big role in hydropower development. The decentralization of decisions to provincial levels has many benefits, since the local government departments are in charge during planning and development of SHP projects, but needs to be integrated in a global vision by the central authorities. The environmental framework should be embracing and should include environmental and social impacts mitigation rules. The SHP industry shouldn’t be seen just to solve rural energy problems but also to provide a combination of social, economic, and environmental benefits.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 4 GUIDELINES FOR REVIEW AND PLANNING OF SMALL HYDROPOWER
4.1 CONTEXT
The aim of this chapter is to set guidelines for review and planning of SHP in Vietnam. The guidelines should take in account the existence of the SHP GIS database. In order to set the guidelines, the International Consultant conducted a detailed review of the current planning procedures for SHP in Vietnam with close interaction with MOIT and other stakeholders (Chapter 3). The draft version of the guidelines was submitted to MOIT for feedback13 and the current chapter represents their improved version. The basic outline of the guidelines is presented in Figure 4.1.
Figure 4.1 – Guidelines for review and planning of small hydropower.
13 In October 2016
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) It is worth mentioning that these guidelines have to be considered along with the existing national/regional legal frameworks and instruments. As guidelines they have the character of recommendations but do not exert any legally binding force. The present guidelines include common principles and recommendations, an outline for an assessment procedure as well as a pool of evaluation criteria. However, no decisive procedure is proposed since sufficient flexibility for implementation of the guidelines is needed in order to pay attention to regional differences and varying national boundary conditions. The hydropower planning procedures in Vietnam can be considered well established and regulated. In fact, large hydropower studies are developed mostly by EVN or parastatal consultant companies, such as PECC1-4 and the Energy Institute, which have high capacity and experience in hydropower development. The planning of large hydropower is conducted according to a multi-criteria analysis based on technical, economic, environmental and social considerations and its development are in line with the development plans for the country. The capacity for SHP development is generally lower, since it is developed at a provincial level and provincial departments (DOIT) usually have limited technical capacity and limited resources. Most of the times, SHP planning and preparations are outsourced to small local consultant firms in the provinces. Moreover, SHP is often developed by private investors and many of them have no experience in hydropower. Those facts make the planning of SHP more difficult than large hydropower projects due to the unpredictability of the accuracy of its initial studies. This is one of the major issues that SHP planning faces.
4.2 REGIONAL APPROACH
Like previously mentioned (Section 3.4.3), decentralization of decisions to provincial level of government brings many advantages, some due to a better knowing about local resources, however the limited capacity and resources must be overcome. So, the International Consultant recommends that MOIT promotes a general study concerning hydropower potential in Vietnam, identifying all favorable locations for hydropower project development. Favorable locations are those that have a high hydropower potential combined with low ecological and landscape impact. This is a qualitative approach, which should classify the river’s stretch for example in three categories: favorable, less- favorable and non-favorable for hydropower use. The process to establish such a strategic planning is triggered by the competent authority and implies the involvement and consultation of relevant stakeholders. This constitutes the basis for a coordinated development of SHP for the given region and catalyzes a transparent dialogue between the user’s perspective and the conservation point of view, identifying the most favorable locations for SHP as well as those less and unfavorable. In order to determinate the category of each river stretch, many evaluations can be done. As an example, a river stretch classification can be obtained as exemplified in Figure 4.2.
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Figure 4.2 – River stretch classification regarding environmental impact and hydropower potential.
River stretch classification can be done by applying many approaches. Next, examples for determining theoretical hydropower potential and environmental impact are presented. In terms of the theoretical hydropower potential, Table 4.1 condenses the criteria suggested for its evaluation.
Table 4.1 – Theoretical hydropower potential.
Criteria Unit Description
Potential energy production divided by the length of the river stretch Specific potential energy production kWh/m (length can be considered from junction to junction or with a fixed length, for example 1 km).
Potential power output divided by the length of the river stretch (see Specific potential power output kW/m above).
Specific head m/m Head divided by the length of the river stretch.
Mapping of possible capacities that can be installed on each point of Hydropower potential map MW the analysis, considering the estimated average daily flow rate and the usable head at each point (see examples in Figure 4.3).
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) An example of the application of the above mentioned procedure is presented below in Figure 4.3.
Figure 4.3 – Hydropower potential map for Mozambique, Angola and Liberia.
Source: International Consultant computation [32], [33] and [34]. The necessary input variables for calculating the above criteria for the hydroelectric potential are runoff, head and length of the river stretch that can be established on the basis of spatial data by application of geographic information systems. With respect to runoff, uncertainties and temporal variability have to be taken into account. As result of this evaluation is the classification of the river stretches by its hydrological potential: High, medium and little hydropower potential (Figure 4.2). Regarding the environmental impacts, Table 4.2 comprises the criteria suggested for their assessment.
Table 4.2 – Environmental impacts.
Criteria Description
SHP classification and its influence on SHP classification: run-of-river or reservoir. Run-of-river is considered to have Hydrological regime little influence in natural hydrological regime, while reservoir is the opposite.
Morphology Natural structure and barrier free flow path, longitudinal connectivity
Biology Fish, macrozoobenthos, diatomea…
Type of water body Rarity of the water body type, or Sensibility of the water body type
Rare / protected habitats Importance as habitat Importance for protected species
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Criteria Description
Rich species spectrum / diversity
Protected areas (Depending on the protection level and the interaction with the water body)
Landscape value Recreation value (Beauty Scenic attraction, symbolic value, local identity)
Importance for the whole river system (Considering the specific function for the other stretches in the river or (sub-basin)
Environmental impacts criteria are all qualitative and the cumulative impacts should classify each river stretch according to possible environmental impacts triggered by SHP construction. Besides the classifications that should be applied to the river stretch presented before, there are some zones that can justify the classification “non-favorable for hydropower use” even if no limitation for hydropower is set by law, namely [31]:
National parks Water related Nature2000 sites Water related landscapes or natural monuments of national / regional importance River stretches and biotopes of national/provincial importance e.g. according to the rarity of type or naturalness or specific function for the river system Revitalized or river stretches foreseen to be revitalized Floodplains (wetlands, marshlands, riparian zones, dynamic and braided river stretches …) Important spawning areas River stretches with fish and crayfish populations of national importance Interference with the protection of water resources for drinking water supply (drinking water protection zones) Although SHP projects are commonly associated with negligible impacts for being associated with small engineering structures, it is recommended that Environmental Assessments should be made anyway, especially when more than one SHP project in the same river is planned. The environmental assessment should be done through the cascade, considering all SHP as a system. Even energetic studies of that SHP should be done considering all as a system, considering a joint operation and maintenance and use an optimization model or optimization planning tool to obtain maximum energy revenues for SHP cascades while accommodating other water uses. Whenever possible, the design of cascades should include at least one upstream dam having weekly or monthly storage capacity. Larger reservoirs, preferably upstream, should be an integral part of cascade planning when developing new SHP cascades in Vietnam.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 4.3 PROJECT APPROACH
After the regional approach based on the theoretical hydropower potential and the environmental impact that should be the base for hydropower development and should be accessible to all DOIT’s, it is time to focus on each project individually. As mentioned before, capacity for SHP development is generally lower, since it is developed at a provincial level and initial hydropower studies may not have accuracy for project development. To culminate this problem, the International Consultant recommends that MOIT should have an active participation in initial studies development. As it is known, the evaluation of SHP sites is done considering local conditions, especially the river flow and available head. This basic info allows an immediate site potential assessment and should be compared with the SHP design flow, head and installed capacity. However, firstly it should be evaluated the project design itself. First of all, given design flow and head and the hydropower formulation it should be assessed the available capacity:
푃 = 휌푔푄퐻
Where: P – (theoretical) potential capacity available (watts); 휌 - density of water (kg/m³); g - acceleration of gravity (9.81 m/s²); Q – design flow (m3/s); H – design head (m). Even though this should not be a perfect match given the hydraulic and electro-mechanical energy losses it allows a good first assessment of the capacity. If the installed capacity is far-off, it means that the project is poorly design and must be reviewed. Secondly, the river flow and head availability should be checked. For head evaluation, it should be considered the altitude between the full supply level (FSL) and water restitution. However, if no FSL is specified it should be considered the dam height and the natural waterway elevation on the dam site. This gives a good idea of the potential head, but it should be stressed that depending on the length, material and type of hydraulic circuit it may have energy losses up to 10%. This means that the difference between the gross and design head should normally be inferior to 10%. Even if no elevation info is given, this assessment can still be done with the support of topographic maps or even a digital elevation model (DEM) and the water intake and restitution coordinates, respectively
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) the dam and powerhouse approximate locations. In this case, it should be also taken under consideration the dam height and energy losses for the design head evaluation. This desk evaluation should be complemented with a site visit. Some hydropower expert from DOIT or from river basin management must accomplish a site visit in order to evaluate the total head in project location to verify the veracity of the initial study. This site visit should be done in early stage of the verification of the study because is possible that during this evaluation some projects show to be unattractive from the technical point of view. On the other hand, the river flow assessment is not only important for the installed capacity evaluation, but also for the water availability and resulting energy output. The SHP hydrological conditions should be comprehensively studied since the energy produced and consequently energy costs are strictly associated with the water availability. Although, at this stage is not supposed to fully perform a hydrological study, it could be assessed an acceptable range for the design flow from the average flow or from an existing nearby SHP on the same river. For instance, usually the relation between design and average flow is under 3, depending on river hydrology, reservoir or cascade regulation capacity and energy production/revenue optimization. So if this relation is much higher it means that the project is poorly design and must be reviewed. As conclusion, during the evaluation of initial studies, these two variables, head and river flow, should be confirmed by DOIT, with MOIT standards. The International Consultant thinks that maybe it is possible for MOIT to develop recommendations for projects analysis, concerning to hydrological studies evaluation and also with the confirmation of head available in each location. Next are presented several examples of recommendations that MOIT should apply to the stakeholders involved in initial studies for SHP development. Table 4.3 comprises the criteria suggested for the assessment of hydrological studies.
Table 4.3 – Considerations on the hydrological studies.
Criteria Description
Long series of measure data (like river flows, temperature, rainfall, etc.) should Data available be easy to collect and not very expensive to ensure that hydrological studies are done with recent data and represents the hydrological regime of each location.
The method should be defined by MOIT, accordingly to Vietnam reality. As an example, the International Consultant refers to Turc Method:
Method to determine modular flow Turc method consists on a formulation that determines, for each watershed, the with meteorological data flow deficit considering only climatic variables: average temperature and mean annual rainfall. Its application is particularly suitable when the existing hydrometric data not allows describing properly the hydrological phenomenon.
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Criteria Description
L A 25 T 0,05 T3 Where:
P H = runoff (mm); D P2 P = rainfall (mm); 0,9 2 L D = Deficit (mm);
HP D T= temperature (ºC) L = Turc constant;
A=300
The choice of the gauge station that should be adopted in hydrological studies must follow some rules defined by MOIT. As example, the International Consultant can advise that the station should be chosen accordingly with its data quality and number of years in the series data. Also, gauging station should be in accordance with the location in study and should have similarly characteristics, Method to transpose data from gauge namely: station to the project location - Deficit (that can be determinate by Turc Method) - Watershed average Altitude - Watershed area
Then, the runoff can be determinate by watershed area’s ratio.
It is worth mentioning that if the SHP studies are well developed, their planning is simplified and more in accordance with large hydropower planning. Thus, it is imperative that the provincial departments and MOIT try to ensure the accuracy of the initial studies. The biggest objective of the implementation of these procedures is to ensure that the SHP studies submitted to MOIT for approval are accurate and in a posterior phase, when an investor tries to develop the project, there will be no significant changes between the initial study and the project to be developed. After the initial SHP studies are submitted to DOIT, DOIT and other provincial departments should made an evaluation of the projects before submitted to MOIT for approval. This evaluation should take in consideration site specific criteria and socio-economic criteria. Next, suggestions for these criteria are presented. In terms of installation and site specific criteria Table 4.4 comprises the suggested approach.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 4.4 – Considerations on installation and site specific criteria.
Criteria Unit Description
Levelized cost of electricity is calculated by accounting for all of a system’s expected lifetime costs (including construction, financing, fuel, maintenance, taxes, insurance and incentives), which are then divided by the system’s lifetime expected LCOE USD/kWh power output (kWh). All cost and benefit estimates are adjusted for inflation and discounted to account for the time-value of money. LCOE is very valuable for the comparison of various generation options.
Capex USD/MW Investment cost divided for installed capacity.
Extent of use of available potential including consideration of residual flow Use of hydroelectric % requirements and qualitative description of the reasons if the available potential is potential only partly used.
Measures going beyond minimum legal requirements (e.g. with respect to Minimization of impacts ecological flow, fish pass, bed load, aesthetics, natural scenery, etc.)
Synergies with existing Infrastructure plants or existence of a deactivated plant. infrastructures
Ecological impacts downstream and upstream
Integration in the landscape
Gris relevancy Importance for the grid stability.
An important issue concerning environmental and ecological development of the project is downstream flow releases that most often are not planned or implemented for SHP schemes. It is necessary implementing the minimum flow that should be released. During construction and operation of the SHP, site visits are needed to ensure that the ecological flow is being released as it should. As a final note, the competent governmental agencies should update construction codes and standards to include technical facilities for releasing environmental flows and to improve construction supervision, licensing, and operational permits o as to ensure compliance with regulations regarding environmental flows. As for the socio-economic assessment, Table 4.5 comprises the criteria suggested.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Table 4.5 – Considerations on socio-economic criteria.
Criteria Unit Description
Conflicts with other water users Irrigation, human consume
Effect on tourism Positive and/or negative impacts
Necessity of further infrastructure Roads, power-lines, etc. construction
Regional economic effects Taxes, investments in local economy, induced employment
Inhabitants resettled
Assessment to ethnical minorities living nearby the SHP project should be done, since hydropower projects create radical changes in the life of affected ethnic people. The preparation and implementation of an Ethnic Ethnical minorities Minorities Development Plan associated with each project requires the collaborative delivery of services and resources from central, provincial and district/commune governments.
Forest area flooded ha
Cultivation area flooded ha
Infrastructures affected Roads, bridges, etc.
Archaeological Heritage
Hydropower projects are many times viewed as a bad investment from local people living nearby. By one hand, local people should be consulted and main concerns related to SHP development should be noted. Sometimes is easy for people that live nearby to accept a multi-propose project, where irrigation volumes and flood control are also incorporated into the project but, “it has to be noted that HP investors often commit to contribute to irrigation and flood control to garner the agreement of local people and authorities. But the experience has shown that HP investors underestimate the water and operational requirements of irrigation and flood control to minimize investment costs and maximize profits”. [22]
4.4 EXPECTATIONS ON THE USE OF THE GIS DATABASE FOR REVIEW AND PLANNING OF SMALL HYDROPOWER
This section consists on an assessment of how the latest version of the GIS database can be useful on SHP review and planning, bearing in mind the guidelines presented in the previous section.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) The GIS database will be the sole repository of hydropower projects (large and small). With its development, hydropower projects can be viewed and evaluated countrywide and not only on each individual province, allowing for a global vision that will benefit particular development and for a better understanding of each project’s role in the country energy sector. It is likely that the GIS database will lessen the issue of data sharing in Vietnam in a near future, since it is expected that all data concerning to hydropower will be included in the GIS database, namely the data concerning SHP projects, meteorological data, hydrometric data, topographic maps, land uses and protected areas, electric network, etc. When this happens, SHP planning will beneficiate from the GIS database and constrains in each project development will be assessed in an early stage of the planning. Cascades will be also identified and its development as a system will be promoted. As a first approach, if the river stretches were all characterized (according to Figure 4.2) and the results were included in the GIS database, it will be simpler for DOIT’s to pin a project location with coordinates and verify if the project is expected to be implemented in a “favorable”, “less-favorable” or “non- favorable” river stretch. Projects’ evaluation should continue in accordance with the classification of the river stretch and be excluded if its location is coincident to a “non-favorable” for hydropower development location. Projects located in favorable zones should have detailed evaluation, and initial studies should be confirmed by DOIT’s or other provincial departments. If meteorological and hydrometric data are included in the GIS database, it will be easier to confirm if the design flow included in the corresponding pre-feasibility study is consistent with measured data. The same for the design head, since the value can be confirmed based on topographic maps or DEM (Digital Elevation Model) included in the GIS database. This may be useful for a first screening of existing or newly submitted project. Nevertheless, these methods do not necessarily exclude the need to conduct site visits in order to confirm in situ the pre- feasibility characteristics in a subsequent phase. In brief, once a pre-feasibility study is submitted to a given DOIT for approval, the DOIT should incorporate the site location into the GIS database and verify compatibility with other projects, protected areas and land uses. If there is no incompatibility, the DOIT should verify if this project will be located between existing or planned projects in order to evaluate the eventual cascade impact. After comparing the values of river flow and existing head of the studies with the existing data, and confirming the expected capacity to install (i.e. if the project has sufficient capacity to connect to the grid), the distance between the powerhouse and the existing substations should be evaluated. If the capacity is low (for instance, below 1 MW) and the distance between powerhouse and substation is considerable, it is likely that grid connection may not be the most feasible option, and, instead, the off- grid option should be assessed, checking the distances between the project’s location and nearby villages to evaluate its potential for rural electrification. These assessments will be useful during SHP planning. Depending on the quantity and quality of the data included in the GIS database, it may then be possible to confirm the accuracy of the pre-feasibility
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) study. It will be also possible to assess possible conflicts between projects and to evaluate the impacts that each project can have in protected areas or in some land uses. After these assessments it will be simple to make multi-criteria analysis of the SHP projects to include in national plans.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 5 TESTING AND FINE-TUNING OF THE GUIDELINES
5.1 CONTEXT
The present chapter aims to test and fine-tune the guidelines for review and planning of SHP (Chapter 4) for a given basin or province to simulate as closely as possible a real case where MOIT is requested by the provincial authorities to review and approve plans for SHP. Following the drafting of the guidelines set forth on the previous chapter MOIT provided feedback14 and comments to incorporate on the final version of the document. In broad terms MOIT agreed with the depicted hydropower planning context of Vietnam as well as the institutional capacity of MOIT and DOIT, presented in Section 3.2, and the proposed guidelines based on the river approach (Section 4.2) and project approach (Section 4.3). MOIT also commended Section 4.4 where the expectations of the use of the GIS database in SHP planning is presented and the benefits of having the GIS database are stated. The guidelines included recommendations on adding data to the GIS database (presented below in Section 2.6) which were likewise supported by MOIT. Following close interaction between the International Consultant and MOIT, it was decided that the guidelines ought to be tested in the province of Lao Cai. Lao Cai was a natural choice because it was the province visited by the International Consultant on a previous mission to Vietnam15 which included meetings with the local DOIT. Moreover, this province is known due its hydropower potential and number of projects in operation and planned. One other reason for testing the guidelines in Lao Cai is the fact that Lao Cai is one of the provinces where most of the data is collected.
5.2 REGIONAL APPROACH
The first step for implementation of the guidelines is the classification of the river stretches. As can be seen in Section 4.2, the classification of each river stretch can be obtained by crossing information from the hydropower potential and possible environmental impacts ensuing hydropower plant development. As example for an approach to determine the hydropower potential, the International Consultant computed the Lao Cai theoretical hydropower potential map. The evaluation of the hydropower potential integrates hydrological results and terrain features as well as technical and economic criteria in order to obtain regions reflecting higher or lower potential. In Lao Cai case and since it was not possible to have access to ground-based hydrological data, the Turc method was applied using global
14 Submitted in October 2016 15 Working Mission in May 2016
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) data (Section 2.2.3.2) in order to obtain the average annual runoff in Lao Cai rivers. The Turc method consists on a formulation that determines, for each watershed, the flow deficit considering only climatic variables: average temperature and mean annual precipitation. The implementation of the Turc methodology was performed using GIS. The procedure was computed in matrix format (raster), with a resolution of 90 x 90 m and as result an average annual runoff value at each pixel was obtained. The flow value calculated for each pixel corresponds to the annual average runoff in the catchment area defined by that pixel. This methodology was applied in river basins located in Lao Cai discretized for each pixel, for which precipitation and temperature (annual average) of the watershed were calculated. Annual average precipitation and temperature in the catchment area defined by each pixel were obtained considering data available on WorldClim website [1]. The average annual runoff obtained by Turc Method is presented in Figure 5.1, as well as annual average precipitation and temperature.
Figure 5.1 – Turc method for Lao Cai (Rainfall + Temperature = Surface Runoff).
In theory, the hydropower potential map is the mapping of possible capacities that can be installed on each point of the analysis, considering the estimated average daily flow rate and the usable head at each point. Based on the runoff map of Lao Cai obtained by the Turc formulation, it was possible to determine the modular flow at each point of the territory. The gross head was calculated based on the
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) difference of altitudes given by the digital terrain model of the Shuttle Radar Topography Mission (SRTM) in a maximum radius of 2 km (Figure 5.2).
Figure 5.2 – Theoretical hydropower potential in Lao Cai (Surface Runoff + Elevation = Hydropower Potential).
A combination of the theoretical hydropower potential (Figure 5.2) and the projects identified in Lao Cai given from the GIS database (Annex II) is presented in Figure 5.3. It can be seen that most of the projects are located in river stretches with matching potential, which means that in practical terms this may indeed be a good indicator of the hydropower potential, although being theoretical. On the other hand, it can also be noted that there are many other locations with recognized potential without any identified project.
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Figure 5.3 – Theoretical hydropower potential in Lao Cai and identified projects.
Considering the hydropower potential in Lao Cai presented in Figure 5.2, the river stretch classification according to the classes presented in Figure 4.2 can be obtained. The classes’ definition is presented in Table 5.1.
Table 5.1 – Hydropower potential classification.
Hydropower potential
Little Medium High
P < 1 MW 1 ≥ P > 10 MW P ≥ 10 MW
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Figure 5.4 presents the possible hydropower potential classification of the river stretches, according to Table 5.1.
Figure 5.4 – Hydropower potential classification.
Like previously mentioned, this classification may be done by applying other criteria instead of the hydropower potential. For example, the available head may be calculated in the river stretches and the classification can be done based on that criterion (based on the principle that more head yields more power). Concerning the environmental impacts approach, its assessment due to SHP development should be done in strictly coordination with local stakeholders and with the intervention of MONRE and MARD and their provincial departments. The criteria included in the environmental impacts classifications is an example of what can be accessed and studied during the classification of the river stretches. In fact, at this stage it was not possible to have access to ground-based data required for an inclusive evaluation, for example, morphology, biology, habitats or type of water body (like mentioned in Section 4.2). As such, Lao Cai province will be analyzed using global data collected during the initial phase of the project (included in Section 2.2.3).
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) First, protected areas in Lao Cai were identified, following what was presented in Figure 2.7 [2]. Their classification is presented in Figure 5.5.
Figure 5.5 – Protected areas in Lao Cai.
It was considered that the development of hydropower plants into the Hoang Lien Sa Pa National Park will not be permitted, so those river stretches will be classified as “Exclusion” and hydropower plants developed in Hoang Lien Son will have High Environmental Impact associated (Figure 5.6).
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Figure 5.6 – River stretches classification considering protected areas in Lao Cai.
Then, the environmental impact assessment continued considering the land use of Lao Cai. Land Use data was obtained from FAO [4] and is presented in Figure 5.7.
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Figure 5.7 – Land Use in Lao Cai.
As it can be seen in Figure 5.7, land use in Lao Cai is mainly primarily forest. It can be considered that the development of SHP in those areas can have medium environmental impact, especially if the SHP has a big reservoir associated, since some of the forest area will be flooded. In Figure 5.8 the river stretches classification considering land use was included.
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Figure 5.8 – River stretches classification considering Land Use in Lao Cai.
Next, it was considered that the development of new hydropower projects in river stretches with hydropower projects already in operation or in construction will be associated to Low Environmental Impact, since the river stretches are already obstructed by a hydropower project. The final environmental impact classification is presented in Figure 5.9.
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Figure 5.9 – Environmental impact classification.
This is one possible approach for river stretches environmental impact classification. In order to establish a definitive environmental classification for the whole country, a high level engagement between MOIT, MARD and MONRE needs to be settled. Furthermore, the environmental impact classification is a working process and its update should be done whenever river stretches initial characteristics will be modified and more information concerning to environmental impacts is available. The general river stretches classification in Lao Cai may be obtained by crossing the environmental impacts classification (Figure 5.9) with hydropower potential classification (Figure 5.4). The resulting map is presented in Figure 5.10.
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Figure 5.10 – River stretches final classification.
This regional approach should be developed for the whole country since it will help all DOIT’s in the provincial hydropower planning. It is worth mentioning that at the current stage of maturity of the GIS database on SHP developed by the National Consultant it is not yet possible to produce the previous river stretch classification with the actual tools available in the GIS database, since it does not allow calculations between the layers. However, the procedure is possible to develop outside the GIS database, for example in the open-source QGIS, and then have it uploaded into the GIS database for consultation. The classification of the rivers stretches in addition to the project’s data will be a useful tool for hydropower planning at the province level. This characterization highlights the rivers stretches that may be studied and in which hydropower projects should preferably be developed. In Figure 5.11 identified projects in Lao Cai (Annex II) are included in the map with the river stretches final classification.
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Figure 5.11 –River stretches final classification and projects in Lao Cai.
As it can be seen in Figure 5.11, in Lao Cai there are some river stretches that have good conditions for hydropower projects development and in which hydropower plants are not foreseen. It can also be seen that there are some projects in operation and under construction in river stretches classified as “Non-favorable for hydropower projects development”. In this specific case, those river stretches were considered “Non-favorable” because they are included in the Hoang Lien Sa Pa National Park, however, the pros and cons of developing hydropower projects in National Parks must be taken in consideration and MONRE and MOIT shall have the last word.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 5.3 PROJECT APPROACH
5.3.1 CONFIRMING INITIAL STUDIES
The second part of the guidelines is related specifically to the hydropower projects and their initial studies. The GIS database should help evaluating the initial studies both with regard to existing features such as, for instance, head and modular flow (and consequently design flow). This analysis begins by comparing the values of watershed area present in the GIS database with the one obtained using GIS tools for modeling hydrology, and used for determining runoff by the Turc method during the evaluation of the hydropower potential and presented in Figure 5.1. The comparison was made only for projects that are not in operation and for which GIS database includes their coordinates and watershed values.
During this analysis it was verified that some of the projects included in the GIS database are not in its exact location, as it can be seen in Figure 5.12 where the project Tà Thàn, in operation, is presented.
Figure 5.12 – Tà Thàng project: example of a deviation in project’s location. (Screenshot from the SHP GIS database developed by the National Consultant)
The mismatch in projects location (probably due to minimal imprecisions on the original coordinates submitted to the DOIT’s by the promoters) makes the GIS analysis difficult since it is not possible to extract values by points. Thus, in order to compare values obtained by GIS tools it was necessary to relocated some of the projects. It is recommended that the overall projects’ location is revised in newer versions of the software. After the relocation of certain projects it was possible to draw their watershed and compare the area with the ones included in the GIS database. In Figure 5.13 watersheds delimitation are presented and in
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Figure 5.14 comparison between the values of the watershed included in the GIS database and obtained by GIS tools is presented. As it can be seen by observing Figure 5.14, the differences between watershed areas obtained by GIS and included in the GIS database in the most cases are not significant.
Figure 5.13 – Watersheds from projects located in Lao Cai.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) Figure 5.14 – Comparison between watershed areas included in the GIS database and obtained with GIS tools.
After the comparison of watershed areas, the comparison of modular flow can be determined. Figure 5.15 presents the comparison between the modular flow included in the GIS database and the values obtained by applying the Turc method. As it can be seen by observing the Figure 5.15, values included in the GIS database and the ones obtained by Turc method have the same order of magnitude, being the Turc method a conservative methodology which yields lower values, meaning they are consistent with the GIS database figures.
Figure 5.15 – Comparison between modular flows included in the GIS database and obtained by the Turc method.
In Figure 5.16 a comparison between the annual average flow obtained based on values included in the GIS database (watershed area and modular flow) and the average flow determined by the Turc Method is presented. The deviation between both values is also included in the Figure and its average is about 25%.
Figure 5.16 – Comparison between annual average flows included in the GIS database and obtained by the Turc method.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) As mentioned earlier, the Turc method can give an approximation of flow values that can be compared with the ones included in initial studies. The visualization of the value in the GIS database can be almost automatic by clicking the dam point in the raster, once the Turc raster is included in the GIS database (see an example in Figure 5.17), the same can occur with watershed areas.
Figure 5.17 – Example of extracting watershed areas and modular flow obtained by Turc method.
This type of checking values may be useful during the initial phase of SHP development in order to check the values included in SHP initial studies. Many other values may be checked, it only depends on how much data is included in the GIS database. Other type of information that can be incorporated in the GIS database is the so-called environmental flow that should be released from dams for ecological purposes. Environmental flow is considered in the current legal framework (Section 3.3) although its determination is not outlined nor standard values are suggested. In some countries the straightforward value of 5% of the modular flow is considered, and this value was used to compute the modular flow in Lao Cai (Figure 5.18). Any other value might be determined by MOIT, and updated periodically when new SHP are added to the watershed or streamline, and this information should be incorporated in the GIS database to allow provinces to appraise and approve new SHP planning.
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Figure 5.18 – Example of the environmental flow determination.
5.3.2 PROJECT RANKING
After evaluating the accuracy of the initial studies, the projects’ ranking can be done according with many different criteria and the indicators to be evaluated during the ranking and their weights should be defined. As an example, eight projects located close by in a Lao Cai area were arbitrarily selected and analyzed with the aim of ranking them and check priorities for development (see Figure 5.19).
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Figure 5.19 – Small hydropower plants ranked.
Four main indicators (and several sub-indicators) were considered: Environmental, Social, Economic and Energetic. For each of them weights were given in order to obtain a final classification of each project. Indicators and their weights can be adapted case-by-case according to local priorities and should be defined in cooperation with all stakeholders. In Table 5.2 indicators, sub-indicators and corresponding weights considered during this evaluation are presented.
Table 5.2 – Indicators considered during the project ranking.
Indicators Environmental Weight Social Weight Economic Weight Energetic Weight Minority Energy Unitary Protected areas 12.50% 12.50% 12.50% Capacity 6.25% ethnic Cost Cultivation Forest area 5.00% 6.25% CAPEX 12.50% Firm capacity 12.50% Sub-indicators area Flooded area at Working 3.75% Rice crops 6.25% 6.25% FSWL hours Dam height 3.75%
TOTAL Environmental 25% Social 25% Economic 25% Energetic 25% WEIGHT
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) In Table 5.3 the project features that will help to determine scoring are presented. These characteristics were obtained by printing projects’ reports from the GIS database (see Annex I). As it can be seen in Table 5.3, there are many features that are not yet included into GIS database and should be included in a near future.
Table 5.3 – Projects features.
Nậm Nậm Nậm Nậm Xây Nậm Xây Minh Project name Nậm Khắt Tu Trên Xây Xây Xây Luông 5 Nọi 2 Lương Luông 4 Luông 3 Luông Project code 2035 2038 2041 2043 2046 3059 3064 4025 Under Under Under Under Under FS FS Status Planning construction construction construction construction construction preparing preparing Watershed Area 121.6 105.7 50.5 396.6 19.0 89.2 87.0 195.0 (km2) Flooded area at 19.00 0.17 FSWL (km2) Rainfall (mm) 2100 2010 2000 2110 2110 2110 Qmod (m3s) 4.12 1.85 15.37 0.95 4.18 9.57 Dam height (m) 36.5 8.0 19.5 36.5 14.9 22.0 17.4 Capacity (MW) 7.2 7.5 12.0 28.0 2.8 12.0 8.0 13.0 Firm capacity 7.2 0.9 2.0 5.0 0.4 2.7 1.4 (MW) Energy (GWh) 29.50 33.36 44.97 98.46 11.19 48.75 44.11 Working hours 0 4448 3748 3516 3996 4063 0 3393 (h) Energy Unitary Cost 8.217 6.613 13.880 7.533 (MillVND_kWh) CAPEX 28.893 26.429 56.392 25.558 (MillVND/kW) # household 0 0 0 0 0 0 0 0 /people # household /people loss
cultivation area/living area Minority ethnic Dân tộc Dao Cultivation (ha) 4.2 2.3 0.0 32.7 0.0 0.0 0.0 3.6 Forest (ha) 0 0 0 0 0 0 0 0 Rice crops (ha) 3.1 2.3 32.7 0.0 During the ranking of the projects, the scoring was determined by comparing each project with the remaining, so for each sub-indicator a score between 0 and 100 is determined for each project. At the end, the project with higher total score is the first one of the ranking. Scoring determination for each indicator is included in Table 5.4 to Table 5.7, in gray. The final ranking is presented in Table 5.8.
Table 5.4 – Environmental scoring.
GLOBAL Protected Flooded Forest area Dam height Flooded ENVIRON- Protected areas Forest area Dam height area Name scoring scoring area at MENTAL Area scoring (ha) (m) scoring FSWL (km2) SCORING 12.50% 5.00% 3.75% 3.75% 25.00% Minh Lương Hoang Lien 0 0 100 36.5 0 0 20
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GLOBAL Protected Flooded Forest area Dam height Flooded ENVIRON- Protected areas Forest area Dam height area Name scoring scoring area at MENTAL Area scoring (ha) (m) scoring FSWL (km2) SCORING 12.50% 5.00% 3.75% 3.75% 25.00% Son - Van Ban Nature Reserve Hoang Lien Son - Van Nậm Khắt 0 0 100 8.0 78 0 32 Ban Nature Reserve Nậm Xây Luông 100 0 100 17.4 52 0 78 Nậm Xây Luông 100 0 100 0 0.173 99 85 3 Nậm Xây Luông 100 0 100 22.0 40 0 76 4 Nậm Xây Luông 100 0 100 36.5 0 0 70 5 Nậm Xây Nọi 2 100 0 100 19.5 47 0 77 Tu Trên 100 0 100 14.9 59 19 0 79
Table 5.5 – Social scoring.
Cultivation Rice crops GLOBAL Minority Minority Cultivation area loss area loss SOCIAL Name ethnic scoring Rice crops (ha) ethnic (ha) scoring scoring SCORING 12.50% 6.25% 6.25% 25.00% Minh Lương 100 32.75 0 33 0 50 Nậm Khắt Dân tộc Dao 0 2.29 93 2 93 47 Nậm Xây Luông 100 3.55 89 0 72 Nậm Xây Luông 3 100 0.00 100 0 75 Nậm Xây Luông 4 100 0.00 100 0 100 100 Nậm Xây Luông 5 100 4.22 87 3 90 94 Nậm Xây Nọi 2 100 0.00 100 0 75 Tu Trên 100 0.00 100 0 75
Table 5.6 – Economic scoring.
GLOBAL Energy Unitary Energy Unitary CAPEX CAPEX scoring ECONOMIC Name Cost (Mill Cost scoring (MillVND/kW) SCORING VND/kWh) 12.50% 12.50% 25.00% Minh Lương 8.22 41 28.89 49 45 Nậm Khắt 0 0 0 Nậm Xây Luông 7.53 46 25.56 55 50 Nậm Xây Luông 3 0 0 0 Nậm Xây Luông 4 13.88 0 56.39 0 0 Nậm Xây Luông 5 0 0 0 Nậm Xây Nọi 2 0 0 0 Tu Trên 6.61 52 26.43 53 53
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Table 5.7 – Energetic scoring.
GLOBAL Capacity Firm capacity Working hours Firm capacity Working hours ENERGETIC Name Capacity (MW) scoring scoring scoring (MW) (h) SCORING 6.25% 12.50% 6.25% 25.00% Minh Lương 28.0 100 5.0 68 3516 79 79 Nậm Khắt 7.5 19 0.9 8 4448 100 34 Nậm Xây Luông 13.0 40 1.4 16 3393 76 37 Nậm Xây Luông 3 8.0 21 0 0 0 5 Nậm Xây Luông 4 12.0 37 2.7 34 4063 91 49 Nậm Xây Luông 5 7.2 17 7.2 100 0 0 54 Nậm Xây Nọi 2 12.0 37 2.0 23 3748 84 42 Tu Trên 2.8 0 0.4 0 3996 90 22
Table 5.8 – Final scoring.
Environmental Social Economic Energetic Score Name Ranking (25%) (25%) (25%) (25%) (100%) Nậm Xây Luông 78 72 50 37 59 1 Tu Trên 79 75 53 22 57 2 Nậm Xây Luông 4 76 100 0 49 56 3 Nậm Xây Luông 5 70 94 0 54 55 4 Nậm Xây Nọi 2 77 75 0 42 48 5 Minh Lương 20 50 45 79 48 6 Nậm Xây Luông 3 85 75 0 5 41 7 Nậm Khắt 32 47 0 34 28 8 According to the assumptions and criteria established above, it can be said that from the eight evaluated projects Nậm Xây Luông SHP should be given priority for development, since it is the project with higher score in the ranking. As an example about the importance of the weights definition is presented in Table 5.9, where an aggressive hydropower development scenario is presented. In this scenario, indicators weights were changed in order to give more importance to the Economic and Energetic indicators. Criteria and their weights can be adapted case-by-case according to local priorities and may be defined in cooperation with all stakeholders.
Table 5.9 – Aggressive hydropower development scenario: Final scoring.
Environmental Social Economic Energetic Score Name Ranking (10%) (10%) (40%) (40%) (100%) Minh Lương 20 50 45 79 56 1 (was 6) Nậm Xây Luông 78 72 50 37 50 2 (was 1) Tu Trên 79 75 53 22 45 3 (was 2) Nậm Xây Luông 5 70 94 0 54 38 4 (was 4) Nậm Xây Luông 4 76 100 0 49 37 5 (was 3) Nậm Xây Nọi 2 77 75 0 42 32 6 (was 5)
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Environmental Social Economic Energetic Score Name Ranking (10%) (10%) (40%) (40%) (100%) Nậm Khắt 32 47 0 34 21 7 (was 8) Nậm Xây Luông 3 85 75 0 5 18 8 (was 7)
This evaluation should be considered as an example of how SHP planning can beneficiate from data included in SHP GIS database. The International Consultant believes that when the GIS database is populated with all data concerning to hydropower, the planning in Vietnam may be easier and less time consumptive.
5.4 FINAL RECOMMENDATIONS ON THE GIS DATABASE
Following the period of testing and fine-tuning of the guidelines for review and planning of SHP, where the GIS database has been put to practice in a simulation of real conditions of utilization, it is possible to make a better informed assessment of the adequacy of the current version of the GIS database for the expected purposes and to make recommendations for improvement. It is worth mentioning that throughout the GIS database development, the International Consultant seamlessly provided feedback on the GIS database in a constructive manner, giving opinions in terms of appearance, functionality and data to be included. Many of the comments were followed through by the National Consultant and those which were not included, were discussed and agreed upon. One major topic has been the shift from a mere data repository, where technical users would store and look for detailed information and key features, to a valuable strategic and planning tool for review of SHP, able to assist planning experts and policy and decision makers. At the time of writing it can be stated that the GIS database has been steadily progressing towards a user-friendly and valuable tool and hosts a significant amount of relevant data. However, it still suffers from data gaps that may be critical in the near future once the GIS database starts being used for planning purposes, particularly in what regards certain projects’ missing coordinates. Nevertheless, the ones with coordinates should be reviewed and compared with (for instance) aerial photos of the study area or topographic maps since many of them are not placed in streamlines nor match the existing visible infrastructures for the ones already built or in operation (like presented in Figure 5.12). The mismatch in the projects location is probably due to minimal imprecisions on the original coordinates submitted by the promoters to the DOIT’s but turns the analysis difficult if GIS operations are required. The only foreseen solution for this would be to manually relocate each individual project pin location in the GIS database, although this would be a tiresome and time-consuming task. Regarding the GIS database design, it should be commended, even if its workability and overall presentation could still be improved. For instance, the projects are sometimes represented on the location of the dam, others on the location of the powerhouse, and it is advisable to use the same structure for the location of all of the projects. Another situation is the larger number of dams in comparison to the number of powerhouses or spillways. Even on the event of both powerhouse and
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) spillway to be incorporated on the dam a pin should be added for each one (even if they overlap). This helps to visually understand the project’s layout and to assess possible incompatibilities with other projects or protected areas. Moreover, it was not possible to find a “powerhouse” tab on the main menus (with relevant information on the powerhouse) and it is highly recommendable to include it. The projects reports that can be printed directly from the GIS database are well organized and comprehensive. Furthermore, it is recommended that the projects management main menus are organized in the same fashion which would turn them even more efficient. For instance, in the tab menus only the project’s energy and installed capacity is included but on the projects reports the design head and flow is available, and this would also be valuable information to swiftly access in the tabs. Furthermore, it should be highlighted that not all of the incorporated tools seem to be working properly, such as the following ones:
The “Translate to English” option is not working in all sections of the GIS database; The “Export map background” is always the default basemap, even if you have another one on at the time of the export; Map visualization of filtered SHP just works for a while, exhibiting all stored projects (unfiltered) after a short period of time or with zoom changes to the map. Concerning the global data collected by the International Consultant, not all data was included into the GIS database, namely meteorological data (rainfall and temperature), land cover and land use rasters. This information would facilitate project analysis, although it would make the GIS database workability and raster management more challenging. Still on the topic of workability and management, and as mentioned previously (Section 4.2), at the current stage of maturity of the GIS database on SHP developed by the National Consultant it is not possible to make GIS calculations and complex operations with the actual tools available, although these procedures are possible to develop elsewhere in any GIS software and then have them uploaded into the GIS database for consultation. The inclusion of said tools to allow operations and calculations between layers would require additional processing capacity and a significant revamping of the design of the GIS database, which would become more complex and less user-friendly, but ultimately the issue is the associated advanced level of GIS proficiency required to take use of such capabilities. Weighing in the pros and cons of each option, it is then recommended at this stage to remain with the current straightforward version of the GIS database and have any eventual complex GIS operation to be performed outside with the possibility of further incorporating it on the GIS database.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 6 INTEGRATION WITH OTHER RENEWABLE ENERGIES PLANNING
Renewable energy technologies can help countries meet their policy goals for secure, reliable and affordable energy to expand electricity access and promote development. Increasing renewable energy projects in national electrical grid network brings environmental benefits, but at the same time it can bring also problems to the power grid due to the intermittent power production on solar and wind farms, for example. Hydropower, when associated with storage in reservoirs, contributes to the stability of the electrical system by providing flexibility and grid services. Hydropower can help with grid stability, as spinning turbines can be ramped up more rapidly than any other generation source. Additionally, with large reservoirs, hydropower can store energy over weeks, months, seasons or even years. Hydropower can therefore provide the full range of ancillary services required for the high penetration of variable renewable energy sources, such as wind and solar. [35] The integration of all RE projects benefits power network grid and its evaluation should be done together to ensure the projects complement. Having a GIS database that includes all RE projects and other important data relevant during the evaluation of the available resources is very important and contributes to the general analysis of national power supply. The option for developing one project instead another should follow a multi-criteria evaluation that should include many parameters concerning to: - location; - installed capacity; - connection to the national grid; - environmental impacts; - social impacts; - economic indicators; - etc. It is expected that in a near future, some of the issues stated can be easier assessed with GIS database help, since the GIS database will be populated with all necessary data. It is very important that the GIS database is constantly updated and completed with official data for RE planning.
The prioritization criteria must be designed to ensure enhanced energy access with equity, sustainable development and optimal use of indigenous and renewable resources. It needs to be stressed that energy is one of the key elements and priorities for our recovery and for our development. Together with roads and communication, energy is critical for economic activity, for health, for education and for security.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 7 SMALL HYDROPOWER PLANNING FOR LEAST-COST OPTIMIZATION
Energy supply options should be developed based on the demand growing, and the projects to be developed should be chosen taking in consideration not only their installed capacity and locations, but also very important are its economic indicators and first operation year. For energy projects comparison and prioritization, Levelized Cost of Electricity (LCOE) of all projects should be determined, so that the lowest cost options are selected first. The LCOE of renewable energy technologies varies by technology and project based on the renewable energy resource, capital and operating costs, and the efficiency/performance of the technology. The calculation of the Levelized Cost of Electricity allows the comparison between different power generation options, according to cost/benefit criteria. It is calculated by accounting for all of a system’s expected lifetime costs (including construction, financing, fuel, maintenance, taxes, insurance and incentives), which are then divided by the system’s lifetime expected power output (kWh). All cost and benefit estimates are adjusted for inflation and discounted to account for the time-value of money. As a financial tool, LCOE is very valuable for the comparison of various generation options. A relatively low LCOE means that electricity is being produced at a low cost, with higher likely returns for the investor. LCOE Estimates for Renewable Energy when an electric utility plans for a conventional plant, it must consider the effects of inflation on future plant maintenance, and it must estimate the price of fuel for the plant decades into the future. As those costs rise, they are passed on to the ratepayer. A renewable energy plant is initially more expensive to build, but has very low maintenance costs, and no fuel cost, over its 20-30 year life. [36] LCOE can be calculated by: 퐼 + 푀 + 퐹 ∑푛 푡 푡 푡 푡=1 (1 + 푟)푡 퐿퐶푂퐸 = 퐸 ∑푛 푡 푡=1 (1 + 푟)푡 Where: LCOE = the average lifetime levelized cost of electricity generation;
It = investment expenditures in the year t;
Mt = operation and maintenance expenditures in the year t;
Ft = fuel expenditures in the year t;
Et = electricity generation in the year t; r = discount rate; n = economic lifetime of the system. [35] Hydropower can serve as a power source for both large, centralized and small, isolated grids. SHP can be a cost-competitive option for rural electrification for remote communities in developed and developing countries and can displace a significant proportion of diesel-fired generation. In developing countries,
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) another advantage of hydropower technology is that it can have important multiplier effects by providing both energy and water supply services (e.g. flood control and irrigation), thus bringing social and economic benefits. Hydropower is a proven, mature, predictable technology and can also be low-cost. It requires relatively high initial investments but has the longest lifetime of any generation plant (with parts replacement) and, in general, low operation and maintenance costs. Investment costs are highly dependent on the location and site conditions, which determine on average three-quarters of the development cost. The levelized cost of electricity for hydropower plants spans a wide range, depending on the project, but under good conditions hydropower projects can be very competitive [35], as it can be seen in Figure 7.1.
Figure 7.1 – Levelized cost of electricity from utility-scale renewable technologies, 2010 and 2014. Source: [37]
The competitiveness of renewable power generation technologies has reached historic levels; onshore wind power, solar photovoltaic (PV) and concentrating solar power (CSP) installed costs have continued to fall as their performance has improved, significantly lowering the cost of electricity from these sources. At the same time, biomass for power, geothermal power and hydropower are all mature technologies that, where unexploited economic resources exist, can provide the lowest cost electricity of any source. Renewable power generation technologies are now competing head-to-head with fossil fuel-fired electricity generation options [37], as it can be seen in Figure 7.1 above.
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) The International Consultant has significant experience in the evaluation and prioritization of RE projects, having already developed several nationwide studies focusing in energy vision and energy master plans, emphasizing in renewable projects. Those studies began with the evaluation of renewable resources, such as solar, hydro, wind and biomass and then renewable projects were identified and prioritized based on their LCOE (Figure 7.2 and Figure 7.3). [32], [33]
Figure 7.2 – Levelized cost of energy of all priority projects – Atlas Renewable Energy of Mozambique. Source: [33]
It can be verified in Figure 7.2 and Figure 7.3 that hydropower plants, including small and large hydropower projects, are usually very competitive when comparing with other RE projects. It is then expected that the same trend occurs in Vietnam and SHP show to be competitive when comparing with other supply options.
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Figure 7.3 – Levelized cost of energy of most competitive projects – Angola Energy 2025. Source: [32]
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SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT) 8 CONCLUSIONS
The main objectives of the assignment were accomplished. The International Consultant developed a review of the GIS database and proposed guidelines for improving planning of SHP in Vietnam in close cooperation with MOIT and other stakeholders, building-up on the current planning procedures and existing data. A review of the current version of the GIS database was made and the same was extensively put to practice during the testing and fine-tuning of the guidelines for review and planning of SHP. Major comments and recommendations on improvements for the GIS database that resulted from the review and testing and fine-tuning are presented in Section 2.6 and Section 5.4. The GIS database will be the sole repository of hydropower projects (large and small). With its development, hydropower projects can be viewed and evaluated countrywide and not only on each individual province, allowing for a global vision that will benefit particular development and for a better understanding of each project’s role in the country energy sector. Moreover, and depending on the quantity and quality of the data included in the GIS database, it may be possible to confirm the accuracy of studies requested by promoters. It will be also possible to assess possible conflicts between projects and to evaluate the impacts that each project can have in protected areas or in some land uses. After these assessments it will be easier to make multi-criteria analysis of the SHP projects to include in national plans. The guidelines include common principles and recommendations, an outline for an assessment procedure as well as a pool of evaluation criteria. However, no definitive methodology is proposed since sufficient flexibility for implementation of the guidelines is needed in order to pay attention to regional differences and varying national boundary conditions. Testing and fine-tuning of the guidelines was made as an example of what can be done and improved in Vietnamese SHP planning with the help of the GIS database. The assumptions and criteria used during testing and fine-tuning may be adapted to regional realities. Ultimately, the choice between conflicting projects should be done based on a multi-criteria analysis, like currently happens with large hydropower. An assessment of how the latest version of the GIS database can be useful on small hydropower review and planning, bearing in mind the proposed guidelines is presented in Section 4.4.
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138 VN.2016.R.002.1
SMALL HYDROPOWER MAPPING AND PLANING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT)
ANNEX I – COMMENTS AND RECOMMENDATIONS ON THE DEMO VERSION OF THE GIS DATABASE
VN.2016.R.002.1
SMALL HYDROPOWER MAPPING AND PLANING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT)
ANNEX II – NATIONAL MAPS OF SMALL HYDROPOWER
VN.2016.R.002.1
SMALL HYDROPOWER MAPPING AND PLANING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT)
ANNEX III – LEGAL FRAMEWORK
VN.2016.R.002.1
SMALL HYDROPOWER MAPPING AND PLANING IN VIETNAM
SMALL HYDRO GIS DATABASE AND GUIDELINES FOR REVIEW AND PLANNING ON SMALL HYDRO (FINAL REPORT)
ANNEX IV – PROJECTS REPORT
VN.2016.R.002.1
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