Technical Assistance Consultant’s Report Project Number: TA 5828 – REG: September 2002 Study of Large Dams and Recommended Practices (Financed by the Japan Special Fund) Prepared by: Southeast Asia Technology Co., Ltd., Thailand The Asian Institute of Technology Alumni Network Ltd., Hong Kong Lahmeyer International GmbH, Germany SCHEMA Konsult, Inc., the Philippines For Asian Development Bank This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project’s design.) ADB RETA 5828 STUDY OF LARGE DAMS AND RECOMMENDED PRACTICES Southeast Asia Technology Co. Ltd. AITA-NET Ltd. Lahmeyer International GmbH September, 2002 Schema Konsult Inc. ADB RETA 5828: Study of Large Dams and Recommended Practices SEATEC/AITA-NET/LAHMEYER/SCHEMA ADB RETA 5828 Study of Large Dams and Recommended Practices Final Report TABLE OF CONTENTS Page Table of Contents............................................................................................................. I List of Tables ............................................................................................................... V List of Figures ............................................................................................................... VI Acronyms ............................................................................................................... VII Executive Summary......................................................................................................... ES-1 1. INTRODUCTION 1.1 Background..................................................................................................... 1-1 1.2 Objectives and Scope of RETA 5828............................................................. 1-2 1.3 Scope of the Study Methodology ................................................................... 1-3 1.3.1 Phase 1 ................................................................................................ 1-3 1.3.2 Phase 2 ................................................................................................ 1-3 1.4 The Consultants .............................................................................................. 1-3 1.5 Methodology................................................................................................... 1-5 1.6 Literature Review ........................................................................................... 1-6 1.7 Selection of the Dams for Case Studies.......................................................... 1-7 1.7.1 Nam Ngum 1....................................................................................... 1-8 1.7.2 Victoria ............................................................................................... 1-8 1.7.3 Magat .................................................................................................. 1-8 1.7.4 Lingjintan............................................................................................ 1-9 2. CASE STUDY ANALYSIS 2.1 Institutional Framework.................................................................................. 2-1 2.2 Options Assessment and Planning.................................................................. 2-2 2.2.1 Project Justification............................................................................... 2-2 2.2.2 General and Hydropower Planning....................................................... 2-3 2.2.3 Planning of Other Water Resource Uses............................................... 2-6 I File : ADB RETA 5828 Final Report.DOC/992018/01-03-383/SK ADB RETA 5828: Study of Large Dams and Recommended Practices SEATEC/AITA-NET/LAHMEYER/SCHEMA TABLE OF CONTENTS (CONT’D) Page 2.3 Engineering..................................................................................................... 2-7 2.3.1 Alternative Project Layouts................................................................... 2-7 2.3.2 Field and Laboratory Investigations...................................................... 2-8 2.3.3 Design ................................................................................................... 2-10 2.3.4 Overall Assessment of Procedures for the Design Process................... 2-11 2.4 Financial and Economic Appraisal................................................................. 2-12 2.5 Social Impact Assessment .............................................................................. 2-13 2.5.1 Policy Framework ................................................................................. 2-13 2.5.2 Planning Process ................................................................................... 2-14 2.5.3 Implementation ..................................................................................... 2-15 2.6 Environmental Assessment............................................................................. 2-16 2.7 Project Implementation................................................................................... 2-17 2.8 Project Operation............................................................................................ 2-22 2.8.1 Dam and Reservoir................................................................................ 2-22 2.8.2 Hydropower........................................................................................... 2-26 3. PROJECT DEVELOPMENT EFFECTIVENESS 3.1 Power Generation ........................................................................................... 3-1 3.2 Irrigation and Agriculture............................................................................... 3-2 3.3 Navigation....................................................................................................... 3-3 3.4 Flood Alleviation............................................................................................ 3-3 3.5 Social Impact .................................................................................................. 3-4 3.5.1 Project Affected Persons ....................................................................... 3-4 3.5.2 Loss and Development of Livelihood ................................................... 3-4 3.6 Environmental Impacts................................................................................... 3-6 3.7 Economic Performance................................................................................... 3-8 3.8 Summary of Planned and Actual Project Benefits ......................................... 3-9 4. LESSONS LEARNT FROM THIS STUDY 4.1 Discussion....................................................................................................... 4-1 4.2 Main Lesson Learnt ........................................................................................ 4-12 4.3 Supporting Lessons Learnt ............................................................................. 4-12 II File : ADB RETA 5828 Final Report.DOC/992018/01-03-383/SK ADB RETA 5828: Study of Large Dams and Recommended Practices SEATEC/AITA-NET/LAHMEYER/SCHEMA TABLE OF CONTENTS (CONT’D) Page 4.4 Policy and Institutional Framework................................................................ 4-12 4.4.1 Water Resource Policy.......................................................................... 4-12 4.4.2 Energy Policy ........................................................................................ 4-13 4.4.3 Resettlement Policy............................................................................... 4-13 4.4.4 Environmental Policy............................................................................ 4-14 4.4.5 Institutional Management...................................................................... 4-14 4.5 Project Planning and Design........................................................................... 4-14 4.5.1 Water Resources Planning .................................................................... 4-14 4.5.2 Hydropower Planning ........................................................................... 4-15 4.5.3 Other Water Resource Use Planning..................................................... 4-17 4.5.4 Engineering Design............................................................................... 4-18 4.5.5 Social Impact Assessment and Mitigation ............................................ 4-18 4.5.6 Environmental Impact Assessment and Mitigation .............................. 4-19 4.5.7 Economic and Financial Evaluation...................................................... 4-20 4.6 Project Implementation................................................................................... 4-24 4.6.1 Construction .......................................................................................... 4-24 4.6.2 Rehabilitation of Affected Persons ....................................................... 4-25 4.6.3 Environmental Mitigation ..................................................................... 4-25 4.6.4 Cost Control .......................................................................................... 4-27 4.7 Project Operation and Monitoring.................................................................. 4-28 4.7.1 Technical Monitoring and Review........................................................ 4-28 4.7.2 Environmental Monitoring and Evaluation..........................................