Basin-Wide Rapid Sustainability Assessment Tool

Initiative on Sustainable Hydropower Mekong River Commission Secretariat

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Presentation by Mr. Voradeth Phonekeo,

WHAT IS THE BASIN-WIDE RAPID SUSTAINABILITY ASSESSMENT TOOL (RSAT) ?

A multi-stakeholder dialogue and assessment tool to consider hydropower sustainability issues in a basin wide context.

• Rapid

• Stakeholders conduct the assessment

• Action orientated

• The sub-basin is assessed, not the hydropower project

Existing dam

Proposed dam

Water Week, Stockholm September 2013

Why a basin wide hydropower sustainability assessment tool ?

• Mekong context: dynamic development of multiple projects at different stages in a basin

• Need for a rapid tool to address basin wide issues, beyond individual projects

• Provide a basis for dialogue – develop common language and understanding of issues between key stakeholders

• To support the MRC Basin Development Strategy strategic objectives

• Complement existing more data intensive tools (SEA, CIA, EIA, IHA Protocol)

Water Week, Stockholm September 2013

• Addressing sustainability pillars

• World Commission Dams (2000)

• Research in hydropower sector internationally

• International standards – sustainability

• IWRM Principles

• Hydropower Sustainability Assessment Protocol

• Safeguard policies – ADB, World Bank, IFC

• Experiences in the Mekong Region

• MRC Technical Review Group (TRG) Input

• MRC Member country and expert feedback (trials)

Background of RSAT :

Designed for the Mekong context

Governance Social Economic Environmental Technical

RSAT PRINCIPLES

What are the core principles of the RSAT?

• Co-operation in international river basins

• Integrating river basin planning and hydropower regulatory and management frameworks

• Ensuring robust governance for sustainability at all levels

• Using collaborative and multi-disciplinary approaches to options assessment, hydropower scheme design and operation

• Engaging and consulting stakeholders and protecting rights and entitlements

• Equitably sharing costs and benefits of development

• Addressing poverty and food security in hydropower basins

• Maintaining basin wide ecosystem integrity 6

SUMMARY

The RSAT process brings together river basin and hydropower stakeholders to consider the sub-basin using a series of 10 hydropower sustainability topics from the perspective of:

• River basin planning and management

• Energy planning

• Hydropower projects

• Regulatory and governance 7

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Topic 1 Institutional setting Topic 2 Options assessment, siting and design Topic 3 Financial and economic viability of hydropower Topic 4 Equitable sharing of hydropower costs and benefits Topic 5 Social issues and stakeholder consultation Topic 6 Environmental management and ecosystem integrity Topic 7 Flows and reservoir management Topic 8 Erosion, sediment transport and geomorphological impacts Topic 9 Management of fisheries resources Topic 10 Dam and community safety

10 RSAT TOPICS

River basin planning and management –Planning, management, basin wide baseline data, institutions

Energy planning – Power sector planning and it relationship to river basin planning

Hydropower projects –Plans, studies and management actions of all hydropower projects in the basin

Regulatory and governance – Regulatory and institutional framework for hydropower development and water resources

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Four criteria are used to analyse the RSAT topics

10

RSAT

Dialogue

Analysis

Action

Planning

Monitoring

Government Line

Agencies/Ministries

Scoping –

Performance monitoring

Gap analysis

Basin/cascade optimisation

Hydropower developers and

their consultants

Risk assessment

Design and siting

Sustainability optimisation

Stakeholder engagement

and dialogue

Mekong River Commission

Initiative for Sustainable

Hydropower capacity

building and decision

support

River Basin Organisations (RBO’s)

Support RBO establishment and

management

Capacity building

Basin hydropower status reports

River basin planning and

management for hydropower

Banks and investors

Financial and reputational

risk assessment

Investment risk evaluation

Provincial and local institutions and

community groups

Identify local and provincial

hydropower risks and opportunities

Assess benefit sharing

arrangements

Improve local capacity for

sustainable development

Examples of how

different

stakeholders can

use the RSAT

Water Week, Stockholm September 2013

RSAT Trials 2010-11 • Nam Ngum – Lao PDR • Nam Ou - Lao PDR • Sre Pok Lower - Cambodia • Sre Pok Upper - Vietnam • Nam Kam – Thailand • 3S Basin - transboundary

3S Basin

(transboundary)

Sre Pok

Upper and

Lower

Nam Kam

Nam Ngum

Nam Ou

EXAMPLES OF RSAT RECOMMENDATIONS from Training in 2011

• Develop EIA guidelines and checklists hydropower

• Improve IWRM capacity and knowledge

• Economic evaluation of indirect costs

• Baseline data on river morphology and water quality

• Improve co-ordination between ministries

• Develop standards for sediment management

• Policy framework and regs required for benefit sharing

• Build co-operation at national and transboundary level

• Develop capacity building plan for sustainable hydropower

• Establish formal mechanisms for conflict resolution and information sharing

• Integrate fisheries management and hydropower into IWRM

• Develop warning system for water releases

• Develop dam safety monitoring framework

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Case study: Lower Sre Pok

Water Week, Stockholm September 2013

Examples of RSAT assessment objectives

Stakeholders agree on assessment objectives

Methods and participants are chosen to match the objective

Examples:

– Dialogue between stakeholders

– Scope more detailed studies (CIA, SEA)

– Watershed management planning

– Assessment of basin wide risks and opportunities

– Prioritise actions for RBO’s

– Capacity building and training

– Monitor performance and identify gaps

NEXT STEPS: • Explore an RSAT version Trans Boundary based

on Feedbacks from previous workshops.

• Trial in workshops in MRC member states

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Electricity demand

market assessment

resource assessment

Power

Development Plan

Data base of power

options,

Other Sector inputs

Screening Analysis

Economic Analysis

SEA, CIA

Refinement of Hydropower

Project Portfolio (ESIA,

cascades, multipurpose use)

Project Selection and

Approval Process

Construction &

Operations (EMP,

SMP, RMP)

ISH02 Multi purpose Valuation

ISH02 Valuation and Evaluation ISH01 Ecologically Sensitive Sub-Basins

ISH01 Ecologically Sensitive Sub-Basins

ISH01 Ecologically Sensitive Sub-Basins

ISH02 Valuation & Evaluation

Contribution of ISH Outputs to the Hydropower Planning Cycle

RSAT

RSAT

RSAT

RSAT ISH0306 Risks

and Mitigation

ISH0306 Risks and

Mitigation

ISH0306 Risks and

Mitigation

ISH0306 Risks and

Mitigation

ISH11 Information for HP Planning and Management

Not legally binding but serving as a guidance for national application

Mekong Basin wide application

Guiding Principles for Sustainable Hydropower

General Principles Strategic Planning

Guides

Preliminary Design Guidelines for

Mainstream Dams

Risk Mitigation Guidelines for

Mainstream and Tributary

Hydropower

Joint Cascade Operations and

Community Safety

Cooperation on International River Basins

Robust Governance at all levels

Base line data informs decisions [ISH11]

Multidisciplinary approach

Engage stakeholders – protect rights and entitlements

Equitable share benefits and costs

Address Poverty and Food Security

Maintain Basin wide ecosystem integrity

• Planning around

Ecologically Sensitive areas (ISH01)

• Multi-purpose evaluation of HP portfolios (ISH02)

• Navigation • Fish Passage • Sediment Transport and

River Morphology • Water Quality and

Aquatic Ecology • Safety of Dams

General Mitigation • Alternative Design

options • Fish • Sediment and River

Morphology • Water Quality • Biodiversity • Operational Flexibility

• Cooperation on

transboundary basins • Joint operations for

cascades • Emergency Response

and Community Safety

Mekong Agreement 1995

Hydropower Sustainability Dialogue and Assessment (Rapid Basin-wide Hydropower Sustainability Assessment Tool (RSAT))

Thank you for your attention