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BP 4.37, Annex A - Dam Safety Reports: Content and Timing

These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject.
BP 4.37 - Annex A
October, 2001

1.  Plan for construction supervision and quality assurance.  This plan is provided to the Bank by appraisal.  It covers the organization, staffing levels, procedures, equipment, and qualifications for supervision of the construction of a new dam or of remedial work on an existing dam.  For a dam other than a water storage dam,1 this plan takes into account the usual long construction period, covering the supervision requirements as the dam grows in height--with any accompanying changes in construction materials or the characteristics of the impounded material--over a period of years.  The task team uses the plan to assess the need to fund components under the loan to ensure that dam-safety-related elements of the design are implemented during construction.  

2.  Instrumentation plan.  This is a detailed plan for the installation of instruments to monitor and record dam behavior and the related hydrometeorological, structural, and seismic factors.  It is provided to an independent panel of experts (the Panel) and the Bank during the design stage, before bid tendering.
3.  Operation and maintenance (O&M) plan.  This detailed plan covers organizational structure, staffing, technical expertise, and training required; equipment and facilities needed to operate and maintain the dam; O&M procedures; and arrangements for funding O&M, including long-term maintenance and safety inspections.  The O&M plan for a dam other than a water storage dam, in particular, reflects changes in the dam's structure or in the nature of the impounded material that may be expected over a period of years.  A preliminary plan is provided to the Bank for use at appraisal.  The plan is refined and completed during project implementation; the final plan is due not less than six months prior to the initial filling of the reservoir.  Elements required to finalize the plan and initiate operations are normally financed under the project.2
4.  Emergency preparedness plan.  This plan specifies the roles of responsible parties when dam failure is considered imminent, or when expected operational flow release threatens downstream life, property, or economic operations that depend on river flow levels.  It includes the following items: clear statements on the responsibility for dam operations decision making and for the related emergency communications; maps outlining inundation levels for various emergency conditions; flood warning system characteristics; and procedures for evacuating threatened areas and mobilizing emergency forces and equipment.  The broad framework plan and an estimate of funds needed to prepare the plan in detail are provided to the Bank prior to appraisal.  The plan itself is prepared during implementation and is provided to the Panel and Bank for review not later than one year before the projected date of initial filling of the reservoir.
  1. For example, a mine tailings, ash impoundment, or slag storage dam.
  2. In the dam safety practice of several countries, the operation and maintenance plan includes both the instrumentation plan and the emergency preparedness plan as specific sections.  This practice is acceptable to the Bank, provided the relevant sections are prepared and finalized according to the timetable set out in this annex.
BP 4.37 - Safety of Dams

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