INTEGRATED SAFEGUARDS DATA SHEET
CONCEPT STAGE
Report No.: AC1027
Date ISDS Updated: November 3, 2004
I. BASIC INFORMATION
A. Basic Project Data
Country: India
Project Name: Dam Rehabilitation and
Improvement Project
Estimated Appraisal Date: August 12, 2005
Managing Unit: SASAR
Project ID: P089985
Task Team Leader: Srinivasan Raj
Rajagopal
Estimated Board Date: February 16, 2006
Lending Instrument: Specific Investment
Loan
Sector: Irrigation and drainage
Theme: Water resource management
(50%);Power (30%);Flood protection
(P);Natural disaster management (P);Other
(20%)
Financial and Private Sector Development
Safeguard Policies Specialists in the task team:
Nagaraja Rao Harshadeep and Shankar Narayanan (SASES)
Loan/Credit amount:
IDA:
IBRD: US$ 250 million
Other financing amounts by source:
Other Financial Institutions: US$ 100 million
Borrower:
US$ 50 million
B. Project Objectives [from section 2 of PCN]
The proposed project development objective is to improve the safety and optimal sustainable
performance of selected existing dams and associated appurtenances.
C. Project Description [from section 3 of PCN]
The proposed project objective would be achieved though investments targeted towards physical,
technical and managerial upgrading of dam operations, management and maintenance with
accompanying institutional reforms and strengthening of legislative and regulatory measures
pertaining to safe and financially-sustainable dam operations. Medium and small dams with
substantial need for rehabilitation and the potential to realize quick returns on investments would
be included and appropriate institutional mechanisms for their safe operation would be
developed. The proposed interventions would be implemented in a number of selected states and
at the Central level, and would have two main components:
Component 1: Dam Safety – Institutions and Instruments (US$50 million)
This component would strengthen the institutional, legal, regulatory and technical framework for
Dam Safety Assurance in GOI and in the participating states (currently expected to be about
ten). Among other things, the interventions would cover policy formulation, staffing of dam
safety directorates (DSD) with appropriate skills, modern design tools, establishment and initial
operating costs of expert panels comprising international/national experts in related disciplines at
appropriate levels, dam status inventory and updating on a GIS platform, technical training in
hazard/vulnerability assessment, dam break analyses, reservoir conservation techniques, related
disaster management strategy development, public awareness, attendance at dam safety courses,
study tours, linking with other country agencies which have advanced dam safety programs such
as Canada, United States, Switzerland. Support would be provided to create and strengthen the
challenge fund operating mechanism needed for implementing Component 2.
Component 2: Rehabilitation and Improvement of Dams and Associated Appurtenances
(Challenge Fund: US$ 350 million – Bank US$250 million; other financiers US$100
million)
A challenge fund mechanism with possibilities for co-financing and replenishment by other
donors, commercial banks and financing institutions (NABARD, IFC, IL&FS) is proposed as an
innovative feature to handle dam safety, rehabilitation, retrofitting and improvement under a
long-term programmatic framework. Such an arrangement is essential given the enormous need
and excellent scope for these interventions. Clear, transparent criteria would be developed for
qualification of entities (states with dam safety organization with requisite legislation and
regulatory mechanisms, presence of a prioritized portfolio based on risk assessment/economic
returns) and dams under the fund and agreed with the Borrower and the fund operating
mechanism early in project preparation.
Some of the criteria would be (i) clearly demonstrated commitment to improving dam
performance and safety by the dam owner; (ii) assured post-project availability of operation,
management and maintenance funds; (iii) adoption of Dam safety Act 2002 or a modified
version thereof; (iv) ranking of dams on the basis of hazard vulnerability, improved economic
performance through DRIP; and (v) the capability of dam safety and regulatory institutions in the
State. Depending on the progress in institutional capacity building, this component would fund
the upgrading of a number of large, medium and small dams.
Initially it is proposed that the challenge fund be maintained and operated by the MOWR with a
certain matching contribution from the state’s own resources. Support would be provided for the
preparation of operation and maintenance (O&M) plan, financing of these, emergency
preparedness plans, floodplain mapping and downstream impact mitigation measures in addition
to structural and non-structural measures at the dam facility and the organizational headquarters,
sediment management and conservation of reservoir storages, fisheries production improvement,
retrofitting and up-rating of hydro generation facilities and other measures required to improve
the safety of the dam and associated appurtenances. Public-private partnerships, particularly in
improving the economic performance of dams and associated appurtenances will be supported.
Feasibility studies required to retrofit with small hydropower would be financed. It is proposed
that the dam safety, rehabilitation and improvement be considered in a case-specific step-by-step
basis with funds released for each step on the basis of results of studies, design and
implementation performance.
D. Project location (if known)
The project would support agencies at national and state level in building institutional capacity
for dam safety and management. The location of physical investments for rehabilitation and
modernization of dams would be selected by use of a national competitive fund and would not be
known in advance.
E. Borrower’s Institutional Capacity for Safeguard Policies [from PCN]
The experience of the previous Bank-financed project on Dam Safety did not indicate any
adverse problems relating to management of environmental or social safeguards. That project,
and other related activities have built substantial capacity in many of the States and at the
National Agencies such as the Central Water Commission in addressing issues of dam safety.
Other projects such as the National Hydrology Project (and its recently approved successor
project) have helped improve the hydrological knowledge base and analytical capacity that
contribute to better dam management. There are good policies in place to manage safeguards
and environmental and social aspects; however enforcement capacity and overall capacity for
mainstreaming environmental and social issues in water resources and irrigation departments that
manage most dams still needs substantial improvement. The proposed project is intended to
strengthen the Borrower capacity in dam safety management and in handling environmental and
social aspects of dam rehabilitation, operation and maintenance.
II. SAFEGUARD POLICIES THAT MIGHT APPLY
Applicable?
[x]
Safeguard Policy
If Applicable, How Might It Apply?
Environmental Assessment (OP/BP 4.01)
The project activities are not expected to have significant adverse environmental
and social impacts. However, there may be some upstream and downstream
impacts due to project activities (e.g. ability to operate reservoirs at optimal and
safer levels as designed post-rehabilitation, changes in operating rules, etc.) in
some of the dams accepted for rehabilitation and modernization under the project.
Due diligence will be applied in each such case to ensure that in the unlikely
event of any adverse impacts, appropriate mitigation measures will be put in
place in accordance with the Environmental and Social Framework to be
developed for the project. The knowledge base and institutional capacity to
address relevant environmental and social issues will be strengthened.
Environmental and social development issues and safeguards will be adequately
reflected in any private-sector partnerships supported under the project.
Consultation of local groups and strengthening of local capacity for dam and
disaster management needs to be improved. Stakeholder consultation will be an
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[x]
[x]
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[x]
[x]
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[x]
integral part of the rehabilitation process.
Natural Habitats (OP/BP 4.04)
The project physical activities would only work on existing dams and are not
expected to lead to any conversion of existing natural habitats or impact any
critical or semi-critical ecosystems.
Pest Management (OP 4.09)
Not applicable.
Involuntary Resettlement (OP/BP 4.12)
Some activities in some dams may result in impacts related to involuntary
resettlement. Due diligence will be applied in each such case to ensure that in the
unlikely event of any involuntary resettlement, appropriate actions are taken in
accordance with the Resettlement Framework to be developed for the dams
selected for rehabilitation under the fund.
Indigenous Peoples (OD 4.20)
Since the location of the dams to be rehabilitated will not be known a priori, there
is some possibility that some dams are located where tribal populations reside.
The Environmental and Social Development Framework developed needs to have
adequate provisions for supporting consultation with tribals and to improve their
access to project benefits.
Forests (OP/BP 4.36)
Not applicable.
Safety of Dams (OP/BP 4.37)
This project is designed to improve the safety of dams.
Cultural Property (draft OP 4.11 - OPN 11.03)
Some dams may have cultural property associated with them (e.g. temples, idols
on the dam) that may be impacted by dam strengthening activities. A Cultural
Property Action Framework would be developed to safeguard these properties
during rehabilitation.
Projects in Disputed Areas (OP/BP/GP 7.60)*
The project would not undertake rehabilitation of dams in any disputed areas.
Projects on International Waterways (OP/BP/GP 7.50)
Some of the dams may be located on international river basins. As physical
project activities would be of a rehabilitation nature, a waiver for notification
would be sought in accordance with the Operational Policy.
Environmental Assessment Category:
[ ] A [X] B [ ] C [ ] FI [ ] TBD (to be determined)
The project does not involve building new dams but would undertake structural and nonstructural measures to improve the safety and performance of existing dams. The project has
*
By supporting the proposed project, the Bank does not intend to prejudice the final determination of the parties' claims on the
disputed areas
been categorized as Category B given that there are not expected to be major adverse
environmental and social impacts associated with the project activities.
III. SAFEGUARD PREPARATION PLAN
A. Target date for the Quality Enhancement Review (QER), at which time the PAD-stage ISDS
would be prepared: February, 2005
B. For simple projects that will not require a QER, the target date for preparing the PAD-stage
ISDS
C. Time frame for launching and completing the safeguard-related studies that may be needed.
The specific studies and their timing1 should be specified in the PAD-stage ISDS.: An
integrated environmental and social assessment for the proposed project is expected to
be completed by July, 2005. Some potential dams would be studied during preparation
to prepare an Environmental and Social Management Framework for the project
activities to be integrated into the scheme cycle, with a special focus on the appraisal
process for the investments under the fund.
IV. APPROVALS
Signed and submitted by:
Task Team Leader:
Approved by:
Regional Safeguards Coordinator:
Comments
Sector Manager:
Comments
1
Srinivasan Raj Rajagopal
Date
Frederick E. Brusberg
Date
Gajanand Pathmanathan
Date
Reminder: The Bank's Disclosure Policy requires that safeguard-related documents be disclosed before appraisal (i) at the
InfoShop and (ii) in-country, at publicly accessible locations and in a form and language that are accessible to potentially affected
persons.