Transcript Slide 1

DAM SAFETY INSTITUTIONAL AND LEGAL
FRAMEWORK FOR BRAZIL – A PROPOSAL
Rogério de Abreu MENESCAL
Water Resources Specialist – National Water Agency
Daniel Sosti PERINI
Researcher – University of Brasília
Antônio Nunes de MIRANDA
Consultant
Gilberto Valente CANALI
Consultant
Vicente de Paula Pereira Barbosa VIEIRA
Professor - Ceará Federal University
Brasília – May/2009
MAIN DAM USES IN BRAZIL
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Hydroelectricity
Water Supply
Irrigation and aquaculture
Flood and River Flow Control
Mining disposal
Industrial Waste Disposal
Recreation
Millions of people depend on dams to obtain water under
appropriate conditions, in terms of quantity, quality, location
and time.
=> Dams are elements of infrastructure very important
for the sustainable development of Brazil
North
3.869.637 km²
MOSAIC - CBERS 2
SATELYTE
Northeast
1.561.177 km²
Center-west
1.612.077,2 km²
Southeast
927.286 km²
South
577.214 km²
Área: 8.514.205 km²
Water Mirros in Brazil
= 23.036
(> 200,000m2 ≈ 500,000m3)
Naturals = 16,108 (70%)
Artificials = 6,928 (30%)
USOS MÚLTIPLOS
(e.g. regularização de vazões,
abastecimento, irrigação,
navegação, controle de cheias,
aqüicultura, recreação etc.)
RESÍDUOS
INDUSTRIAIS
RESÍDUOS
MINERÁRIOS
GERAÇÃO
HIDRELÉTRICA
Schematic distribution of dams by main use in Brazil
Cataguazes Dam (MG) – mar/2004
Apertadinho Dam (RO) – jan/2008
Camará Dam (PB) – jun/2004
São Francisco Dam (MG) – Jan/2007
Arneiroz II Dam (CE) – Jan/2004
Gurguri Dam - Redenção County (O Povo, april/1996)
Why this happen?
Dam Safety Management Deficiencies
(planning, design, construction, 1st filling,
operation
removal)
and
decommissioning
or
=> A PROPOSAL OF DAM SAFETY INSTITUTIONAL AND LEGAL FRAMEWORK
FOR BRAZIL
Guidance
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the State of the Art in the treatment of the matter in the world;
•
the different phases of the dams life cycle (planning, design,
construction, 1st filling, operation and decommissioning or removal);
•
consideration of technical, social, environmental and economic
aspects;
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consideration of the legal and institutional framework related to the
subject existing in Brazil, including the actual Bill 1181/2003;
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the need for clear definition of roles and responsibilities;
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the search of mechanisms for decentralized and public participation;
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to make maximum use of the concept of federal pact and the
principles of subsidiarity;
•
special attention on preventive actions
Brazil, as a federative country of 27 units (states and DF), has the Federal
Constitution as its most important legal mark, in which the limits of powers between
the federal entities are set forth Laws in Brazil.
At the Federal and State levels on matters relating to dams, are very abundant.
Nevertheless, aspects of their safety, operation, maintenance, risk management etc.
are ambiguous or even inexistent, especially concerning the institutional
responsibilities of those involved (e.g. owners, supervisory authorities, community
etc.).
Dam Safety is “vexata quæstio” = a question or point of law often discussed
or agitated, but not determined nor settled.
So the work deals with the main sectors that require the construction of dams,
including: water resources, mining, hydroelectric generation, mineral and industrial
nuclear waste and environment.
Also deals with topics from other institutions and instruments related to dam safety
management, such as: Civil Defense, Hydraulic Works, Civil Code; Transportation;
Professional System, Municipal Law, Penal Code, Non Governmental Organizations NGOs; comments on regulations of the States (e.g. São Paulo, Ceará, Minas Gerais,
Espirito Santo, Rio de Janeiro; Mato Grosso, and Pará.
The work consulted several sources of information. The
basic language of research was English, though in
some cases specific searches and readings were made
of texts in French, Italian, Spanish, Portuguese and
German.
During the search the following was taken into account:
a) the different stages of dams life (Planning, Design,
Construction, Operation and Decommissioning);
b) the different types and purposes of dams (e.g. water,
mining disposal, industrial waste, levees etc.);
c) the different views of stakeholders (e.g. different
types of users, owners, operators, regulatory agencies,
dam safety professionals etc.).
Research and analysis of the legal and institutional framework in 28
countries, including South Africa, Germany, Argentina, Australia
(ANCOLD, New South Wales, Queensland, Tasmania, Victoria),
Austria, Canada (CDA, Alberta, British Columbia, Ontario, Quebec),
China, Chile, Slovakia, Spain, USA (ASDSO, Federal Law, State Laws),
Finland, France, Holland, India, Ireland, Italy, Latvia, Mexico, Norway,
New Zealand, Portugal, UK, Czech Republic, Romania, Russia,
Sweden, Switzerland.
Other regulatory schemes (e.g. European Union, Armenia, Peru,
ICOLD, World Bank; WCD).
BIBLIOGRAFIC REFERENCES
(200)
CONSULTED BIBLIOGRAFY
(346)
“dam safety” – Google – 18/dec/2008 => 694,000 ref.
Cap 2
Cap 3
Cap 5
Canali (2002)
Bradlow et al. (2002)
Jahuari (1999)
Pinto (2008)
ANCOLD (2008)
Adib (2008)
 46 “GOOD PRACTICES” for dam safety
management
 Incorporated as possible in the proposed
model
Dam Safety supervisory authorities:
a) Mining waste (except nuclear) - DNPM;
b) Industrial or mining nuclear waste - CNEN;
c) Hydropower generation - ANEEL;
d) Industrial waste (except nuclear) - the
environmental regulatory authority (federal IBAMA, state or municipal);
e) Water accumulation for multiple uses (except for
hydropower generation) – the water resources
regulatory authority (Federal – ANA or state)
Schematic drawing of interactions between institutions in
the Dam Safety Management System proposed for Brazil
Annual Report Assessed
Dam Safety Federal Commission
National Water Resources Council
(Dam Safety Technical Group)
(ANA, IBAMA, DNPM, ANEEL, CNEN)
General Principles
(DNOCS, CODEVASF, INCRA, GRUPO ELETROBRÁS)
Articulation
Standardization
Recommendations for Improvement
PNGSB
Consolidated Annual Report
SNISB
Budget PNGSB
Supervisory Authorities
Federal Constitution,
Codes, laws and decrees that
regulate the sector
(Federal, State or County)
(ANA)
Updated information on the
Dam Safety Management
Water
Resources
Environment
IBAMA
ANA
OEMA
OERH
Mining
DNPM/
CNEN
OMMA
GTSIC/PR
Water/Energy/Transport
Hydropower
Information,
Education, alert etc.
SINDEC
(Civil Defense - prevention,
mitigation and remediation
of disasters)
ANEEL
Delegated
State
Agencies
Population Potentially
Threatened (PPA)
Watershed Committees (CBHs)
Federal and state prosecutors
Army Corps of Engineers
Authorizations / Grants / Licenses
Ordinances / Resolutions / Normative Instructions
Regulations / Guidance / Recommendations
Procedures
Audits / Controls
Inspections
Sanctions & Penalties
Responsible Professional (RT) and Organizational Structure
Technical documents signed by the RT
Initial, Construction and Implemented design
Assessment of Potential Associated Damage
Guarantees against damage to third parties
Management Dam Safety Plan (PGSB)
Updated information (CNB and SNISB)
Reports of Formal and Special Inspections
PGSB Review (Independent)
Strategy for Training, Education and Communication
Emergency Action Plan and Alert System
System CONFEA / CREA
(qualification and professional monitoring)
Universities & Educational Centers
(training, research and
Professional education)
Financial Organizations (e.g. IDB,
World Bank, BNDES,
Insurance companies)
Entrepreneurs (Public and Private)
Information,
Education, Alert
Multiple Uses
(e.g. water supply,
irrigation, aquaculture, navigation,
flood control, recreation, etc.)
NGOs
(e.g. Press, ABMS, ABRH, CBDB,
ABRAGE, IBRAM, OAB, MAB etc.).
Industrial
Waste
Tailings
from mining
ONS
Hidropower
Law of Environmental Crimes
Civil and Criminal Code
Other relevant laws
Society and Environment
National and State Parliament
Policies, Recommendations
and Budget
Bill No. 1181/2003
Sets the National Policy on Dam Safety - PNSB and creates
the National Information System on the Dam Safety – SNISB
and the National Dam Safety Management Program - PNGSB.
Index
CHAPTER I - GENERAL PROVISION
CHAPTER II - THE PURPOSE
CHAPTER III - THE FUNDAMENTALS
CHAPTER IV - SUPERVISION
CHAPTER V - INSTRUMENTS
Section I - Classification by the Associated Potential Damage (DPA) and the Class
of Vulnerability (CV)
Section II - Plan of Dam Safety Management (PGSB)
Section III - The National Dam Safety Information System (SNISB)
Section IV - The Annual National Report on the Dam Safety Management
Section V - The National Dam Safety Management Program - PNGSB
Section VI - Education and Communication on Dam Safety Management
Section VII - Guarantees against damage to third parties
CHAPTER VI - DIVISION OF RESPONSIBILITIES
CHAPTER VII - TRANSITIONAL PROVISIONS
APPENDIX - Criteria for assessing the Associated Potential Damage (DPA)
• the owner is primarily responsible
• the dam safety professional is
responsible for the content of plans,
designs, reports etc.
• the regulatory/supervisory agency is
responsible for process supervision,
control and enforcement
Actions for the implementation of the model proposed
a)
b)
c)
d)
e)
f)
g)
h)
i)
j)
Approval of Bill 1181/2003 in its proposed form.
supervisory authorities (OFs) will internally compose teams to prepare orientation for the entrepreneurs to
make their internal procedures of pre- and post-authorization, granting, concession, licensing etc. They
should also discuss the strategy to list the dams in their jurisdiction.
National Water Resources Council-CNRH should create a permanent Technical Chamber specific for Dam
Safety which should prepare the general guidelines indicated in the Law and appreciate the Annual Report on
Dam Safety Management in Brazil (RAGSBB);
entrepreneurs, chiefly those with more than one dam, will create internal groups to standardize procedures
about dam safety management and will contract consultants to help in the process of qualification,
internalization and implementation;
Federal Supervisory Authorities will join forces at the Federal Dam Safety Commission (CFSB) to define
standards and procedures to be followed, including with respect to the methodology of allocation of the
resources of the National Program for Dam Safety Management (PNGSB);
Civil Defense, which will also compose the CFSB, should standardize the PAEs (external part) and qualify
their teams concerning dam emergencies;
universities and centers of learning should promote courses destined to provide professional education
specifically about dam safety management and incorporate this theme in the current undergraduate
disciplines;
Regional Council of Engineers and Architects - CREA will demand that the professional have taken courses
related to dams upon emitting Annotations of Technical Responsibility - ARTs for activities related to planning,
projects, construction, first Filling, first Opening, operation, modification, deactivation or removal;
CFSB will develops standardized models and will support the States to avoid their beginning to implant
legislation and procedures that utilize principles that differ from the proposal of the national legislation
contained in the Bill 1181/2003;
CFSB will establish the eligibility criteria and accompany the application of the resources of the National Dam
Safety Program (PNSB).
Even before the approval of Bill 1181/2003, some
states (e.g., Minas Gerais and Ceará) are already
organizing themselves in the proposed way.
This shows that some actions can be anticipated,
that it is all a question of the attitude position of the
institutions.
However, the new law is important to eliminate the
grey zones which permit certain accommodations
and inactions of some institutions;
Dam Safety Virtual Discussion Forum
(DAMSAFETY GROUP)
http://tech.groups.yahoo.com/group/damsafety/
26/dec/2000
More than 3 thousand messages exchanged
650 participants (Brazil, Argentina, Portugal, Colômbia, EUA)
Regulatory Agencies
Ministries & linked entities
State Institutions
Private Enterprises
Universities/Research Centers
Associations/NGOs
Hydroeletric Enterprises
Others
THANKS !
[email protected]