Preliminary Design Guidance

for Proposed Mainstream Dams

in the Lower Mekong River Basin
The Mekong River Commission (MRC) is funded by contributions from its Member Countries
and Development Partners, including Australia, the European Union, Finland, Flanders/Belgium,
France, Germany, Japan, Luxembourg, the Netherlands, New Zealand, Sweden, Switzerland, and
the United States of America.
 Preliminary Design Guidance
for Proposed Mainstream Dams
in the Lower Mekong River Basin

February 2023
Copyright © Mekong River Commission, 2023
First published (2009)

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Title: Preliminary design guidance for proposed mainstream dams in the Lower Mekong River Basin

DOI: 10.52107/mrc.ajutqi

Keywords: design guidance/mainstream dams/hydropower/Lower Mekong River Basin/MRC

For bibliographic purposes, this volume may be cited as:

Mekong River Commission. (2023). Preliminary design guidance for proposed mainstream dams in the
Lower Mekong River Basin. Vientiane: MRC Secretariat. DOI: 10.52107/mrc.ajutqi

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Foreword
Much has been written about the benefits of hydropower, as both an
important source of renewable energy around the world and as a potential
engine of economic growth. This is particularly true for a region like the
Lower Mekong River Basin (LMB), which would not only benefit from the
thousands of megawatts’ worth of electricity generated for domestic and
industrial use – which helps to ensure energy security – but also from the
substantial amount of electricity the region has the potential to produce
for export and the incomes it generates.
On the other hand, hydropower projects also bring the risk of detrimental
environmental and social impact, which are inevitably transboundary –
from harming the ecosystem, to affecting the livelihoods of vulnerable
communities. Nevertheless, beyond the already built hydropower projects
and those now under construction, dozens more dam projects may be on
the horizon in the coming years, along both the Mekong mainstream and
its tributaries.
At the forefront of this critical development challenge is the Mekong River
Commission (MRC), an intergovernmental agency comprised of the four
LMB countries: Cambodia, Lao PDR, Thailand and Viet Nam. Given the
transboundary nature of these complex hydropower trade-offs, our MRC
members seek solutions through consultation and collaboration. We agree
that each should follow certain design criteria that are well considered and
scientifically tested.

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin i
That helps to explain why in light of these transboundary challenges, the Preliminary Design
Guidance (PDG) becomes essential; it aims to provide guidance to both MRC Member Countries’
responsible agencies and hydropower project developers – now and in the future. This is an
updated version of our first PDG, which was introduced in 2009. For over the last 13 years, we
have learnt much from the experience in review of the first half-dozen hydropower projects built
and to be built on the Mekong mainstream. In addition, we have gleaned scientific and engineering
knowledge from regional and global experience with hydropower development. This revision is
the culmination of four years’ worth of research and study, coupled with detailed discussions with
the four Member Countries, developers and various stakeholder groups. That led to MRC Joint
Committee approval of this Guidance in September 2022.
Thus, this PDG incorporates our greatest lessons learnt from the past, and best practices moving
forward. That is what our national governments, riparian communities and other key partners
expect from all of us: that we construct and operate these projects in a way that strikes a balance
between risk and reward, minimizing the impact while maximizing the benefit.
As this PDG states, its purpose is to provide “principles and performance targets” for hydropower
project design, construction and operation, while striving “to meet common objectives and
mitigate commonly understood risks.” Yet, this Guidance is also flexible, as it promotes novel
problem solving to achieve those objectives: it “outlines performance standards rather than
prescriptive designs, so developers can innovate and propose alternative mitigation and
operational measures.”
No matter the path chosen, this document also serves as an important reminder: not only of
our original commitments – as enshrined within the 1995 Mekong Agreement – but that any
development of the river’s water resources should be “mutually beneficial” to each state and their
respective societies.
This PDG factors in every element of the hydropower project process: hydrology and hydraulics;
sediment transport and geomorphology; water quality; aquatic ecology; fish and fisheries; dam
safety; navigation; riparian communities and river-based livelihoods. It is worth noting that the
topics of hydrology and socio-economic impacts were not emphasized in the 2009 PDG, yet now
are here, in recognition of their growing importance. In this revision, each step of the hydropower
project development process is explored from multiple perspectives: covering the key objectives
and risks, design and operational guidance through to project monitoring and operational
management.
Both the MRC Basin Development Strategy and the Sustainable Hydropower Development
Strategy highlight the opportunities that hydropower offers. By publishing this timely Guidance,
the MRC will apply it immediately during the technical review of proposed projects, and to those
currently being redesigned. In the end, I hope this PDG proves to be a useful handbook, relied
upon by all mainstream Mekong hydropower projects.

ii Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
I thank the leadership and technical teams of the MRC Secretariat for working with Member
Countries in securing agreement to apply this latest updated Guidance. With active cooperation
by all countries, and continuing support from the MRC Secretariat, the implementation of the
updated PDG will result in less impact on river ecology, biodiversity and riparian communities,
with more equitable, regionwide distribution of energy security, economic development and
societal benefits.

H.E. Mr So Sophort
Chairperson of the MRC Joint Committee for 2022

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin iii
CONTENTS
FOREWORD ..................................................................................................... i
FIGURES AND BOXES......................................................................................vi
TABLES..........................................................................................................vii
ABBREVIATIONS AND ACRONYMS ...............................................................viii
1 ABOUT THIS GUIDANCE............................................................................. 2
1.1 Purpose and Objectives.......................................................................................... 2
1.2 Uses and users........................................................................................................ 5
1.3 Timing of Use.......................................................................................................... 8
1.4 Scope ...................................................................................................................... 9
1.5 Structure of this Guidance....................................................................................11
1.6 General requirements...........................................................................................15
1.7 Updates to this Guidance.....................................................................................16
2 HYDROLOGY AND HYDRAULICS............................................................... 18
2.1 Objectives .............................................................................................................18
2.2 Risks ......................................................................................................................19
2.3 Pre-project monitoring and analyses ..................................................................21
2.4 Design and operational guidance........................................................................27
2.5 Project monitoring and adaptive management..................................................29
3 SEDIMENT TRANSPORT AND GEOMORPHOLOGY.................................... 31
3.1 Objectives..............................................................................................................31
3.2 Risks ......................................................................................................................31
3.3 Pre-project monitoring and analyses ..................................................................35
3.4 Design and operational guidance........................................................................39
3.5 Project monitoring and adaptive management..................................................46
4 WATER QUALITY...................................................................................... 49
4.1 Objectives..............................................................................................................49
4.2 Risks ......................................................................................................................49
4.3 Pre-project monitoring and analyses ..................................................................52
4.4 Design and operational guidance........................................................................55
4.5 Project monitoring and adaptive management..................................................60

iv Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 5 AQUATIC ECOLOGY.................................................................................. 64
5.1 Objectives..............................................................................................................64
5.2 Risks ......................................................................................................................64
5.3 Pre-project monitoring and analyses...................................................................67
5.4 Design and operational guidance........................................................................71
5.5 Project monitoring and adaptive management..................................................72
6 FISH AND FISHERIES................................................................................ 75
6.1 Objectives..............................................................................................................75
6.2 Risks ......................................................................................................................75
6.3 Pre-project monitoring and analyses...................................................................86
6.4 Design and operational guidance .......................................................................89
6.5 Project monitoring and adaptive management..................................................99
7 DAM SAFETY.......................................................................................... 102
7.1 Objectives............................................................................................................102
7.2 Risks ....................................................................................................................102
7.3 Pre-project monitoring and analyses.................................................................103
7.4 Design and operational guidance......................................................................106
7.5 Project monitoring and adaptive management................................................111
8 NAVIGATION.......................................................................................... 114
8.1 Objectives............................................................................................................114
8.2 Risks ....................................................................................................................114
8.3 Pre-project monitoring and analyses.................................................................117
8.4 Design and operational guidance......................................................................117
8.5 Project monitoring and adaptive management................................................123
9 RIPARIAN COMMUNITIES AND RIVER-BASED LIVELIHOODS.................. 126
9.1 Objectives............................................................................................................126
9.2 Risks ....................................................................................................................128
9.3 Pre-project monitoring and analyses.................................................................130
9.4 Design and operational guidance .....................................................................132
9.5 Project monitoring and adaptive management................................................135
DEFINITION OF TERMS................................................................................ 138
REFERENCES............................................................................................... 147

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin v
FIGURES AND BOXES
Figure 1.1. Cascade Joint Operating Rules and the Project-Specific Operating Rules...............3
Figure 1.2. Role of the Preliminary Design Guidance during the mainstream
dam project life cycle...................................................................................................9
Figure 2.1. Locations of hydrology and hydraulic change arising from a
mainstream project....................................................................................................18
Figure 6.1. Generalized migration systems in the Lower Mekong Basin, modified
from Poulsen et al. (2004)..........................................................................................87
Box 6.1. Indicator groups and/or species for Mekong fish guilds.........................................79

vi Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
TABLES
Table 2.1. Risks arising from changes in hydrology and hydraulics.........................................20
Table 2.2. Mitigation options to address hydrological and hydraulic changes........................27
Table 3.1. Potential sediment transport and geomorphic risks associated with
mainstream dams.........................................................................................................32
Table 3.2. Mitigation options for sediment transport and geomorphic risks for
mainstream dams.........................................................................................................40
Table 4.1. Potential water quality risks associated with mainstream dams............................50
Table 4. 2. Water quality parameters monitored by MRC Water Quality
Monitoring Network, 2018............................................................................................54
Table 4.3. Mitigation options for water quality risks for mainstream dams............................55
Table 5.1. Potential aquatic ecology risks associated with mainstream dams ......................65
Table 5.2. Proposed aquatic ecology indicators to be monitored pre-project.........................69
Table 5.3. Mitigation options for aquatic ecology risks for mainstream dams.......................71
Table 6.1. Mekong fish guilds and migration.............................................................................76
Table 6.2. Potential risks to fish and fisheries associated with mainstream dams................81
Table 6.3. Mitigation options for fish and fisheries for mainstream dams..............................89
Table 7.1. Potential dam safety risks associated with mainstream dams........................... 103
Table 7.2. Mitigation measures for dam safety risks for mainstream dams........................ 106
Table 8.1. Potential risks associated with ship locks at mainstream dams......................... 114
Table 8.2. Mitigation options for navigation-related risks for mainstream dams................ 118
Table 9.1. Potential residual risks to river-based livelihoods associated with
mainstream dams ..................................................................................................... 129
Table 9.2. Potential support measures to address residual risks to river-based
livelihoods associated with mainstream dams..................................................... 133

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin vii
ABBREVIATIONS AND ACRONYMS

AEP Annual exceedance probability

ARI Annual recurrence interval

DSMS Dam Safety Management System

EPP Emergency Preparedness Plan

ESIA Environmental and Social Impact Assessment

ICOLD International Commission on Large Dams

IFC International Finance Corporation

IHA International Hydropower Association

LMB Lower Mekong Basin

MRC Mekong River Commission

OAAs Other aquatic animals

PIANC Permanent International Association of Navigation Congresses

PMF Probable maximum flood

PNPCA Procedures for Notification, Prior Consultation and Agreement

SIMVA Social Impact Monitoring and Vulnerability Assessment

Technical Guidelines for the Implementation of the Procedures for

TGPWQ
Water Quality

viii Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 1
About this
Guidance

About this Guidance 1

1 ABOUT THIS GUIDANCE
1.1 Purpose and Objectives

1. This Updated Preliminary Design Guidance for Proposed Mainstream Dams in the Lower
Mekong River Basin (LMB), hereafter referred to as ‘Guidance’, provides advice for Member
Countries on how mainstream dams should be developed in line with their commitments
enshrined within the 1995 Agreement on the Cooperation for the Sustainable Development
of the Mekong River Basin (the Mekong Agreement). In the Preamble to the Mekong
Agreement (MRC, 1995), the Member Countries:
• Recognize that “the Mekong River Basin and the related natural resources and
environment are natural assets of immense value to all the riparian countries for the
economic and social well-being and living standards of their peoples”; and
• Reaffirm their “determination to continue to cooperate and promote in a constructive and
mutually beneficial manner in the sustainable development, utilisation, conservation and
management of the Mekong River Basin water and related resources for navigational and
non-navigational purposes, for social and economic development and the well-being of
all riparian States, consistent with the needs to protect, preserve, enhance and manage
the environmental and aquatic conditions and maintenance of the ecological balance
exceptional to this river basin”.
2. In the Mekong Agreement, Articles 1–10 (Chapter III), the Member Countries, agree to
inter alia, cooperate to optimize the multiple use and mutual benefits of all riparians while
protecting the environmental and ecological balance in the basin and using the shared
waters in a reasonable and equitable way.
3. The objective of this Guidance is to provide performance targets and principles for the
design and operation of mainstream dams that can help avoid, minimize, and mitigate
harmful effects (Mekong Agreement, Article 7) and limit the potential for substantial
damage (Mekong Agreement, Articles 7 and 8). Specifically, this Guidance aims to ensure:
• all mainstream hydropower projects have a design and operational approach that aims
to meet common objectives and mitigate commonly understood risks;
• developers can plan for and undertake the assessments and designs for mitigation and
management measures as early as possible in the project cycle;
• developers have flexibility to identify and propose the solutions that will meet the
objectives, performance standards, and recommendations in this Guidance (see
Clause 8);

2 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • joint operations within a mainstream hydropower cascade are guided by a common
framework informed by this Guidance. This framework will ideally include the Cascade
Joint Operating Rules developed by one or more Member Countries in which the
projects are located, together with project developers and importing countries. Other
Member Countries that may be impacted by the operations of the cascade should be
consulted. A framework for Cascade Joint Operating Rules is shown in Figure 1.1.

Cascade Joint Operating Rules

Project-Specific Project-Specific Project-Specific

Operating Rules Operating Rules Operating Rules

Example
Example FocalFocal Areasfor
Areas for Operating
Operating Rules:
Rules:
Impoundment operations
• Impoundment operations • Navigation lock operations
Power Station operations
Flood operations
• Power Station operations •
Drought operations Fish passage operations
Navigation lock operations
• Flood operations • Sediment flushing operations
Fish passage operations
• Drought operations Sediment flushing operations
• Gate operations
Gate operations

Figure 1.1. Cascade Joint Operating Rules and the Project-Specific Operating Rules

4. At least 11 large hydropower projects have been proposed on the mainstream reaches
of the LMB with two projects (Xayaburi and Don Sahong) currently operational. Whereas
implementation of any one or all bring opportunities for economic development of the
region, mainly through enhanced electricity supply and improved conditions for inland
navigation, the projects will be accompanied by adverse impacts and development risks for
Member Countries. These risks will vary in nature and degree depending on the individual
project and the extent to which the developer and owner/operator apply this Guidance.
5. This Guidance is founded on the agreed objectives and principles of cooperation set out
in Chapter III of the Mekong Agreement, and principles of Integrated Water Resource
Management (IWRM). Important underlying principles include:
• Mitigation hierarchy: Avoidance of impacts is preferable to minimization, which is
preferable to mitigation of impacts, consistent with the mitigation hierarchy (see
further in Clause 6).
• Water as an economic and social good: Water has an economic and social value
even when not used for consumption. These values include not only its use in

About this Guidance 3

 generating hydropower and support national development, but also in providing a
wide range of basic human needs and ecological goods and services.
• Adaptive management: Adaptive management is a structured, iterative process of
decision-making towards achievement of objectives in the face of uncertainty. The
aims are to reduce uncertainty over time via monitoring and improve achievement of
objectives via updated management responses to the monitoring findings (see further
in Clause 27).
• Good practice: Good practice is the exercise of the degree of skill and care, diligence,
compliance, prudence, and foresight that would reasonably and ordinarily be expected
from a skilled and experienced developer engaged in any jurisdiction on hydropower
projects of a similar scope and complexity to those that are the subject of this
Guidance.
• Subsidiarity: Dam owners and operators are best placed to optimize mitigation
measures based on their own operations.
• Sovereignty: Consistent with Mekong Agreement Article 4, the Member Countries
have the sole authority to regulate developments in their territories, but should
require developers to make every effort to apply this Guidance to align with their
commitments in the Mekong Agreement.
6. The ‘mitigation hierarchy’ that underpins this Guidance is a concise expression of what is
understood to be a sequential process. Measures to avoid or prevent negative or adverse
impacts should be prioritized. Where avoidance is not practicable, then minimization of
adverse impacts is sought. Where avoidance and minimization are not practicable, then
mitigation measures are undertaken. In this Guidance, as per the provisions of Mekong
Agreement Articles 7 and 8, these terms are understood as follows:
• Avoid refers to implementing a measure to ensure that any harmful effects do not
occur (e.g. by careful planning, siting and design of a project);
• Minimize refers to implementing a measure that, would reduce harmful effects, or the
risk of harmful effects, considerably; and
• Mitigate refers to implementing a measure that would reduce the impact of any residual
harmful effects on other users of the Mekong River System, including those in the other
Member States.
7. Residual impacts are impacts that remain after all viable avoidance, minimization, and
mitigation measures have been applied. Measures should be considered to address any
residual impact or loss.
8. Wherever practical, this Guidance outlines performance standards rather than prescriptive

4 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 designs, so developers can innovate and propose alternative mitigation and operational
measures to meet the stated objectives., as discussed below:
• Where standards or targets are specified in this Guidance, the project design should
align as far as reasonably practical. Where an alternative approach is warranted, the
developer should indicate where any deviation has been necessary with supporting
evidence.
• In some cases, this Guidance also identifies additional measures that developers could
take to further the objectives stated for each topic. Every effort has been made to make
it clear what actions or outcomes are considered to be a minimum (with use of the term
‘should’) versus what would be additional (with use of the term ‘may’).
• In some cases, this Guidance refers the user to external sources of guidance. This
has been kept to a minimum so that this document can be a cohesive source of
consolidated guidance. Where external sources are cited, the text seeks to make it
clear where the reference: (i) provides the detail on the desired performance standard
that should be followed (this applies to Clauses 263 and 304); or (ii) provides potentially
useful additional information on a particular subject.
9. This Guidance is an update of the previous Preliminary Design Guidance for Proposed
Mainstream Dams in the Lower Mekong Basin, of 31 August 2009. This update is guided
by the experience of application to the first six mainstream hydropower projects, as well as
improved understanding about hydropower risk and mitigation in the Mekong region and
internationally on what constitutes good practice. Key sources of information include the
assessment tools and guidance of the International Hydropower Association (IHA, 2010)
and the good practice notes of the International Finance Corporation (IFC, 2018a, 2018b,
2013), tailored to the Mekong context as far as practicable. Knowledge and guidance on
good practice in the Mekong Basin is provided in a number of Mekong River Commission
(MRC) reports relating to sustainable hydropower. In particular, the MRC’s Hydropower
Mitigation Guidelines (MRC, 2018a) provide more detail and examples for how the
performance standards in this Guidance can be met.

1.2 Uses and users

10. According to the Mekong Agreement, before Member Countries may initiate any large-scale
infrastructure development constituting an intra-basin use on the Mekong mainstream in
the dry season, they should notify and consult with other riparian states in the basin. Under
Article 5.2.1 of the Procedures for Notification, Prior Consultation and Agreement (PNPCA)
(see MRC 2003a), the notifying Country should provide available and additional technical
data. In this regard:
• This Guidance supports a consistent approach to information submitted by the

About this Guidance 5

 notifying country, and to any technical review of this information undertaken during the
PNPCA process.
• In order to demonstrate best efforts to avoid, minimize, and mitigate harm, the notifying
country can show that it has made all reasonable efforts to recommend developers of
proposed mainstream dams to consider this Guidance.
• A project that does not adhere to this Guidance can reduce or even negate the
effectiveness of the mitigation measures applied by all other projects. Consistent
application of this Guidance will give all Member Countries and each developer
the confidence that all mainstream developments will be held to the same set of
performance standards.
• Member Countries may draw on this Guidance to inform improvements to existing
mainstream dams, which should enable and demonstrate consistency throughout all
mainstream dam developments.
• The application of this Guidance does not limit the Notified Countries’ rights under the
Mekong Agreement Articles 7 and 8. However, consistent application of this Guidance
may limit the responsibility for damage under these Articles.1
• Under the Mekong Agreement Article 7, the Member Countries have accepted a Duty
of Conduct to avoid, minimize, and mitigate harmful effects wherever they occur. This
Guidance aims to reduce the likelihood of these damages through the application
of the mitigation hierarchy. Adequate monitoring of dam safety and other risks, as
set out in this guidance, should be conducted to accurately measure the changes
resulting from hydropower operations. Cause and effect of these changes, including
those resulting from more catastrophic events (e.g. dam break), may therefore also
be better understood. In the case where damages are deemed to have occurred, state
responsibilities for assessment and resolution of issues arising are dealt with under
Mekong Agreement, Article 8.
• Under PNPCA, Article 5.4.2, other Member Countries may request additional information
on a use notified for prior consultation, and this Guidance may be used to frame this
request. The Joint Committee may also wish to refer to this Guidance when arriving at
an agreement under PNPCA, Article 5.4.3 relating to the proposed use and agreed upon
conditions.
11. Users of this Guidance will include Member Countries, developers, and interested

1 Under Article 7, the notified country(ies) should prove with “proper and valid evidence” that they have suffered substantial
damage, and should attribute that damage to a particular source or sources in notifying countries. Under Article 8, the
affected parties should together identify the cause of, responsibility for, and should quantify, the damage. Thereafter, the
affected parties should agree on mitigation measures in an amicable and timely manner.

6 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 stakeholders, as described below:
• This Guidance should inform the expectations of the notified Member Countries with
respect to a development. This Guidance should also inform measures that can be taken
by the notifying country in support of the development where this Guidance extends
beyond what can be reasonably expected by the developer, or where a collaborative
approach with other Member Countries may be warranted.
• This Guidance provides a framework for dialogue on the development risks and
mitigation measures between participants in the PNPCA process.
• Member Countries may use this Guidance to form a basis for the Cascade Joint
Operating Rules, so that all projects within a cascade would apply common design
objectives and coordinated operations.
• Developers should use this Guidance to inform all stages of project planning,
development and operations. Developers should enter into dialogue with the relevant
national agencies regarding shared or divided responsibilities where needed to meet
this Guidance. Developers can reference this Guidance in developing Project-Specific
Operating Rules within the framework of the Cascade Joint Operating Rules.
• Interested stakeholders may not have direct uses for this Guidance, but can reference it
when considering project information and in any dialogue relating to the project.
12. Developers should follow national standards in the development of mainstream dam
projects, where they are equal to or more stringent than those in this Guidance.
• For impacts that are of basin-wide concern, because they are transboundary, cumulative,
or affect basin-wide ecological processes, and where the national standard does
not give adequate protection for these areas of impact, the more stringent standard
between this Guidance and the national standard should guide the project design.
• Member Countries may wish to embed aspects of good practice outlined in this
Guidance into their national standards for dam developments.
13. This Guidance does not replace national guidelines or regulations for the project
Environmental and Social Impact Assessment (ESIA). ESIA guidelines are issued by the
Member Country for developments within that country, for review by the relevant national
agency as part of the statutory approvals process for a dam development. ESIA guidelines
cover a broader scope than this Guidance. This Guidance is limited to information
requirements for impacts of basin-wide concern relating to the potential harmful effects of
mainstream dams.
14. Developers, Member Countries and the Mekong River Commission Secretariat (MRCS) may
use this Guidance to create checklists against which information submitted for the PNPCA

About this Guidance 7

 can be cross-checked. Incorporation of this Guidance into checklists may facilitate the
prior consultation process. Completion of a checklist against this Guidance can provide
substance to the “make every effort” commitment in Mekong Agreement Article 7.

1.3 Timing of Use

15. Avoidance and minimization decisions are often taken during the pre-feasibility studies
when considering the project location. Further avoidance and minimization decisions are
taken during the feasibility studies when optimizing the siting and design, informed by the
ESIA. Implementation plans for mitigation measures to address areas of impact are typically
described in an Environmental and Social Management Plan (ESMP) for construction and
operation stages, closely linked to the ESIA and submitted before project approval, and
embedded within tender documents and major contracts. For optimal timing, feasibility
studies should be done in parallel with the ESIA, and they should iteratively inform each
other.
16. This Guidance should be referred to throughout the project development cycle. Reference
to this Guidance from the start of the cycle will help ensure that pre-feasibility, feasibility,
and ESIA studies and resultant plans address this Guidance, as shown in Figure 1.2.
Reference to this Guidance during project implementation and operation will help ensure
that the objectives of this Guidance continue to be met.
• Commencement of data collection should be as early as possible. The collection of some
data sets such as hydrological data could commence during the initial investigations,
and the collection of others such as environmental data could commence after the
signing of the Memorandum of Understanding (MoU) between the government and
developer.
• Early engagement by developers with MRCS experts on data collection, analysis and
design approaches may be cost- and time-effective. Waiting for the PNPCA technical
review poses risks of late feedback, which may lead to costly re-design.
• Appropriate sequencing will ensure that all design and operational measures consistent
with this Guidance are costed in the project’s financial modelling and business case and
taken into account in all agreements. This sequencing should help avoid unreasonable
harmful effects being caused by a lack of funding.

8 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Feasibility Studies
including
Project Pre-Feasibility MRC PNPCA
Environmental and Detailed Design Construction Operation
Phase Studies Social Impact Process
Assessment

Operational stage
Notifying Country
Notifying Notifying Country Detailed design monitoring
Role of and developer
submits project and cascade supported by
Country and undertake studies Project is
Preliminary plans for operating rules adaptive
developer to inform design developed in line
Design of measures to
independent produced to
with PDG
management
ensure project
Guidance technical expert reflect PDG and measures
concept fits ensure project Guidelines
(PDG) review against the outcomes of confirms PDG
with PDG meets PDG
PDG technical review measures being
specifications
met

Figure 1.2. Role of the Preliminary Design Guidance during the

mainstream dam project life cycle

1.4 Scope

17. This Guidance is tailored to the Mekong mainstream hydropower projects, which largely
involve infrastructure for hydropower generation that is incorporated into the dam facilities
and where the river’s flow is returned to the Mekong immediately downstream. These
projects may also include irrigation and other uses associated with the mainstream
developments.
18. Projects with seasonal or inter-annual water storage or projects that incorporate diversion
of flows out of the main channel for substantial distances downstream of the dam are
not directly addressed, although many of the same principles and performance standards
may apply. Guidance on mitigation of the impacts of these types of projects can be found
in the MRC Hydropower Mitigation Guidelines. Guidance for minimizing the impacts of
dams constructed for major abstraction of water for other purposes such as irrigation is
excluded, noting that dams for this purpose would be subject to the requirements of the
MRC Procedure for Maintenance of Flows on the Mainstream.
19. This Guidance focuses on impacts that are of basin-wide concern, because they are
transboundary or cumulative, or affect basin-wide processes. There are a number of
important processes and/or outcomes for aspects of the shared water resources of the
Mekong River that have extensive and even basin-wide dependence or influence:
• The focal areas for this Guidance include the environmental areas of hydrology and
hydraulics, sediment transport and geomorphology, water quality, aquatic ecology, and
fisheries (Sections 2 to 6). Physical aspects of the environment are addressed first, and
then the biological aspects.
• Dam safety and navigation (Sections 7 and 8) are included, because the actions of one

About this Guidance 9

 project can have ramifications much beyond the individual project and cooperation is
essential.
• Riparian communities and river-based livelihoods (Section 9) are included because
environmental and infrastructure changes that are not able to be fully mitigated
(i.e. the residual impacts) can in turn have socio-economic consequences for river-
dependent communities. The socio-economic dimensions of hydropower development
on the Mekong River are recognized in the 1995 Mekong Agreement and the MRC
vision. Member Country governments maintain the primary responsibility for managing
socio-economic impacts within their borders, and may enter into bilateral and/or
regional agreements to resolve transboundary issues of mutual interest or concern.
The assessment of transboundary impacts to riparian communities and river-based
livelihoods thus requires regional cooperation on both assessment of residual
transboundary environmental impacts and on the mitigation approach to manage
the resulting impacts to these riparian communities. Section 9 provides guidance to
support dialogue on this topic during the PNPCA process and beyond, as required
under the 1995 Mekong Agreement.
• There are many linkages and inter-dependencies amongst the topics covered by
this Guidance. Hydrology and hydraulics link to all other topics. Navigation and dam
safety are strongly influenced by flow conditions. Physical changes to habitats (river
geomorphology) and water quality arise due to flow changes and have significant
influence on aquatic ecology. Fish and fisheries are dependent on conditions and
processes relating to flow, habitat, water quality, and aquatic ecology. River-based
livelihoods are strongly influenced by all of these factors, and in particular by the
effectiveness of mitigation measures or supplementary approaches where livelihoods
are dependent on the river environment.
• A number of these focal areas have dedicated procedures and guidelines within the
Mekong Agreement Framework, as well as monitoring programmes within the MRCS.
Where relevant, these have informed the specific objectives for each topic.
20. Both short-distance and long-distance impacts are addressed in this Guidance.
• Hydrological and hydraulic modelling (as described in Section 2.3) should be used
to investigate how far downstream and upstream changes to aspects of the flow
regime attributable to the project can be detected. These changes may relate to, for
example, daily water level fluctuations, impoundment backwater effects, timing of
seasonal changes, and the effects of infrequent operations such as sediment flushing.
The distance will vary depending on factors such as dry or wet season, tributary
contributions, river geometry, and the operation of other projects.
• Analyses for each focal area covered by this Guidance (Sections 3 to 9) should consider

10 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 the hydrological and hydraulic modelling to inform where impacts may occur, and
should then consider the magnitude and consequence of risk associated with changes
attributable to the project. For fish and fisheries (Section 6), river distance affected
should consider which species are likely to be unable to pass the dam or to thrive under
the changed flow conditions, and the consequent changes to species abundance in
river reaches upstream and downstream of the project.
• The pre-project analyses (Clause 23) should always identify those impacts that may
be transboundary in nature. Some projects are very close to national borders, hence
short-distance impacts may be transboundary. The ESIA for the project should not stop
at a national border if the analysis of river distance affected by direct physical changes
or indirect changes to species composition and abundance shows that this extends
into another country. The MRC Transboundary Environmental Impact Assessment
(TbEIA) Guidelines, once approved, are an important reference for Member Countries
in identifying and addressing issues of transboundary concern (see MRC, 2023).
21. This document provides guidance to inform design and planning that will have implications
for both the construction and operation stages of a dam development, including
• Some design measures2 mitigate construction stage impacts, and many others mitigate
longer-term operation stage impacts.
• It is important to take into account intended or likely future operational practices when
considering the specifications for, and likely effectiveness of, design features.
• Some risks may be able to be mitigated by operational practices rather than through
design of built infrastructure.

1.5 Structure of this Guidance

22. The eight topics in this Guidance follow a common logical flow, in which the objectives for
each topic inform the identification of risks, potential impacts, mitigation measures, and
mitigation effectiveness. The sub-sections in Sections 2 to 9 are as follows:
• Objectives: This sub-section clearly states the objectives of the Guidance, which reflect
the commitment and principles in the Mekong Agreement framework.
• Risks: This sub-section outlines the types of risks that may prevent achievement of
objectives, and where relevant, highlights interlinkages with other topics. In general,
a comprehensive list of all potential risks has been provided. Not all risks will apply
to every project, and there may be additional risks that require consideration. The
developer will need to undertake studies to prioritize risks and eliminate risks that are

2 For example, design of low-set spillway gates will assist in routing and flushing of sediments.

About this Guidance 11

 not relevant to the particular dam location and layout. Assessment and monitoring of
risk mitigation should be reported through national and regional processes (e.g. the
PNPCA).
• Pre-project monitoring and analyses: This sub-section provides guidance on the data
and analyses that would sufficiently inform and justify the design and operational
choices presented in the PNPCA documentation.
• Design and operational guidance: This sub-section guides the identification and
evaluation of mitigation options, and provides a basis to justify those that are proposed
for implementation. In some cases, more specific outcome targets are presented for
particular mitigation measures. Guidance is included on measures that will enable
future adaptations if shown to be required by the post-project monitoring.
• Project monitoring and adaptive management: This sub-section advises on the
monitoring during project construction and operations that will help show if design
and operational measures have been effective, or whether adaptations should be
implemented.
23. To adequately inform project design, pre-project monitoring and analyses should:
• be conducted by personnel with appropriate qualifications and expertise relevant to
each discipline (see also Clause 31 v);
• provide an accurate, quantitative and qualitative understanding of the pre-project
conditions and trends (the “baseline” conditions), and justify the proposed project
designs and plans in terms of achieving the objectives and mitigating the risks outlined
in Sections 2 to 9 of this Guidance;
• be guided by the implementation of a monitoring network and monitoring programme
that takes into account all topics considered in this Guidance. This network may
consist of new monitoring stations or sampling locations established and managed
by the project developer, plus use of data sources managed by other agencies and
accessible to the project. Locations, timing of sampling, methodologies, and duration
of data collection should be designed to adequately inform on the variability and risks
relevant to the topic, as guided in Sections 2 to 9.
• draw on and supplement existing information and data collection in the Mekong
River and tributaries, which may be under the responsibility of national agencies or
institutions. Tributaries can have an important influence on the mainstream conditions
and should be taken into account;
• draw on the MRC’s monitoring and studies as a basis for interpretation of project-
specific data. The MRC data can be accessed by submitting requests through the
relevant National Mekong Committee Secretariat (NMCS). To ensure the ability to

12 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 achieve a wider basis for project-specific data interpretation, the developer should
tailor local-scale data collection and methodologies to the wider body of data, and
should follow any protocols recommended by the MRC for monitoring throughout the
river system, which may be updated from time to time;
• be of sufficient duration to inform projections of future trends and changes, and to
provide a certain degree of overlap with existing data sources so that the project-
specific data can be extended. Project-specific data collected prior to, and analysed
for, the PNPCA information submission should encompass at least one full annual
cycle, or longer if possible. The monitoring data should continue to be collected
following PNPCA information submission to inform detailed design, and flow on into
the construction and operation stage monitoring programmes (Clause 26).
24. Appropriate analyses, including modelling, should be used to predict impacts. These
should indicate whether particular risks are relevant to the project, their magnitude and
consequence, and the likely effectiveness of various mitigation approaches, as follows:
• Models should be at an appropriate level of detail to inform and justify the design and
operations approach proposed at the PNPCA stage.
• The developer should describe the further modelling that will be undertaken for detailed
design and optimization of operations.
• The developer may consider the use of the Decision Support Framework (DSF)
developed by the MRC as a resource for assessing cumulative and transboundary
impacts in the Mekong River, and for informing the development of Cascade Joint
Operating Rules. The DSF includes basin-scale hydrological, sediment and water quality
models, and relevant input data for these models. Models with equivalent function may
be proposed.
25. The information presented on the extent of project impact for each topic and the likely
effectiveness of the planned mitigation measures should also identify and analyse the
residual impacts that will remain, the communities that will be affected by these residual
impacts, and the consequences of those impacts on river-based livelihoods. This is a
critical input to the analyses that will be undertaken relating to riparian communities and
river-based livelihoods (Section 9).
26. Project monitoring to be undertaken during the detailed design, construction, and operation
stages should be described in the PNPCA information as follows:
• The project monitoring plan should describe what data will be collected, how they will
be analysed, what indicators will be tracked and why, and how the information will be
able to inform timely management responses (see Clause 27).
• The project monitoring plan can serve many uses in addition to ensuring efficacy of

About this Guidance 13

 project design and mitigation measures. If approaches taken to establish the pre-
project condition are continued during project construction and operation, this will
enable post-project comparisons. The project monitoring should also consider how
emerging risks may be detected over time, including those that arise from activities
other than the project but that may pose management problems for the project.
• The project monitoring plan should show how it has considered and planned for the
range of project monitoring purposes and factored in the locations of (and permanent
instrumentation for, if relevant) monitoring stations and ensured access.
• The project monitoring plan should be informed by, and as far as practical align with,
MRC processes for Joint Environmental Monitoring throughout the river system if and
when this is agreed by the Member Countries.
• For data that are not of a commercially sensitive nature, the developer should contribute
to information-sharing mechanisms set up in accordance with the Procedures for Data
and Information Exchange and Sharing (PDIES) (see MRC, 2001). Information sharing
is critical to the effective coordination, harmonized design and operations of the
mainstream hydropower projects.
27. Adaptive management is a principle underpinning this Guidance, as defined in Clause 5. The
following guidance on design features to support future adaptive management is provided
in the sub-section entitled, Design and operational guidance:
• Mitigation measures may be implemented on a trial basis, and design features should
be built into the project to allow for later adaptation if required.
• Uncertainties in aspects of effectiveness of proposed mitigation measures (e.g. for
built structures, operational rules) should be explained, and follow-up monitoring and
review of these areas of uncertainty should be built into the project monitoring plan.
• The project monitoring plan submitted with the PNPCA information should show what
indicators and thresholds will guide decisions to be made on adaptive management,
what adaptations could be made and why, how the project design factors in the ability
to implement these later adaptations, and ensures adequate contingency funding has
been set aside to undertake these possible adaptation steps.
• The project monitoring plan submitted with the PNPCA information should show
that both riverine and impoundment monitoring results will be reviewed annually, and
should identify the decision-making process that will be used to identify and implement
management actions to be taken if risks or impacts are evident from the monitoring
results.
28. Developers should consider the applicability of this Guidance to the unique setting and
features of their project, and make the case for variations to this Guidance if needed, in line

14 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 with Clauses 8 and 20. Activities and structures upstream and downstream of the project
may require special consideration on how to apply this Guidance, as well as the locations
and significance of tributary inflows and influences. The order of project development is an
important consideration, and existing and planned hydropower projects should be taken
into account.
29. Where a development will be part of a cascade, the developer should show in the PNPCA
information how it will follow any Cascade Joint Operating Rules provided by the responsible
Member Countries. In the absence of such rules, the developer should indicate how it will,
through the responsible national agency, liaise with neighbouring projects to develop
Cascade Joint Operating Rules associated with mitigation and operations. Cascade-level
mitigation approaches can be informed by the MRC Hydropower Mitigation Guidelines,
which also include case studies relating to hydropower cascades.

1.6 General requirements

30. The PNPCA Clauses 4.2.1 and 5.2.1 describes the technical data and information to be
provided by the notifying country. Should the MRC Joint Committee or the other Member
Countries request any further data and information or clarifications during the prior
consultation process, the notifying country should employ its best efforts to provide such
information should the data be readily available and not present a risk to national security
or national defence. The information submitted for PNPCA should allow the MRC JC to
evaluate that:
• project developers and the notifying country have made every effort to align the design,
construction and operation of the infrastructure with this Guidance;
• Deviations from the Guidance are motivated based on site-specific information
gathered and risk evaluation;
• the proposed design and planned cascade operations will effectively mitigate the
impacts and risks described in this Guidance;
• information collection, analysis, design, and development of detailed operating rules,
which are required by this Guidance, are proposed to be undertaken after the PNPCA,
are clearly listed and the planned approach documented;
• these additional data are to be made available as part of any agreed post PNPCA
process (Joint Action Plan) and to foster cooperation on improvements and adaptive
management of mainstream hydropower.
31. In addition to the guidance on data and information that may be submitted with PNPCA
documentation outlined in this and the following sections, PNPCA information should
include:

About this Guidance 15

 • Planned Project-Specific Operating Rules, or at a minimum, the operating principles and
objectives, for the impoundment, for downstream discharges, for gates, and for any
mitigation structures;
• Cascade Joint Operating Rules, or at a minimum the cascade joint operating principles
and objectives, where the project is part of a cascade (see Clause 3);
• a set of relevant design drawings with labelling in English;
• clear maps and figures, using an appropriate scale, that are easy to understand,
interpret, and relate to the explanations provided; and
• a list of the experts used for the topics addressed by this Guidance, and their
qualifications.
32. It is recommended that a checklist be submitted with the information for PNPCA technical
review that identifies where each clause of this Guidance is addressed.

1.7 Updates to this Guidance

33. The Guidance, with the support of the Secretariat, shall be updated from time-to-time, based
on:
• the further experience of application of this Guidance on Mekong dam developments;
• the development and application of processes for improved coordination of
developments, including but not limited to, the Transboundary Environmental
Impact Assessment (TbEIA) Guidelines, Cascade Joint Operating Rules, and Joint
Environmental Monitoring.

16 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 2
Hydrology
and Hydraulics

Hydrology and Hydraulics 17

Hydrology and Hydraulics 17
2 HYDROLOGY AND HYDRAULICS

2.1 Objectives

34. The objectives of this guidance on hydrology and hydraulics are to ensure that:
• project developers have a detailed understanding of the hydrological resource
availability and reliability to inform project planning, design, construction, and
operations, taking into account present and potential future trends (e.g. alternative
climate change scenarios);
• mitigation measures and cascade or project operating rules dependent on hydrology
and hydraulics are underpinned by sound hydrological and hydraulic assessments; and
• mainstream developments are able to meet the objectives of the Procedures for
Maintenance of Flows on the Mainstream (PMFM) (see MRC, 2006) and the Procedures
for Water Use Monitoring (PWUM) (see MRC, 2003b) within the Mekong Agreement
framework, which require that every effort is taken to manage and maintain a minimum
flow, and to minimize rapid changes in key river flow indicators to avoid harm to
downstream users and the ecology.
35. Figure 2.1 shows the important locations of hydrology and hydraulic change that occur
due to a mainstream project, and establishes some common terminology that will be used
throughout this Guidance.

“Upstream” – the Mekong River upstream of the backwater of

the future impoundment, to a distance specified in the PDG

“the Impoundment” – the future impounded

area up to the full water supply level

“Backwater” – the most

upstream section of the future
“Tailwater” – the section of river immediately
impounded area, where
downstream of the future dam and associated structures
bedload sediments will start to
settle out (which can fluctuate
depending on impoundment
water levels) “Downstream” – the Mekong
River downstream of the future
dam, to the distance specified in
the PDG (which can fluctuate
depending on dam discharges)
“Tributary confluence” – where a tributary
river meets the mainstream Mekong River

Figure 2.1. Locations of hydrology and hydraulic change arising from a mainstream project

18 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
2.2 Risks

36. Because all parts of the flow regime play a role in sustaining the riverine ecosystem, altering
any part can translate into physical and biological changes. The more the flow, sediment,
navigability, or water quality regimes are changed, the more ecosystem and socio-economic
responses will occur.
37. The main impacts of hydropower projects in the Mekong Basin related to water flows are:
• altered flow regimes in the downstream river due to the project operations, which
may have large-scale influences, depending on the attenuation of these impacts
downstream;
• impoundment and backwater effects upstream of the dam. Direct impacts include
permanently inundated areas, increased water depth, and reduced water velocities;
• loss of connectivity. Longitudinal connectivity along the Mekong River is interrupted
because of the barrier effect of the dam, and lateral connectivity between main channel
and floodplains or secondary channels can be diminished because of changes in flood
hydraulics;
• dam safety related impacts, for both temporary structures during the construction
stage and permanent structures during the operations stage (addressed in Section 7).
38. Risks arising from changes in hydrology and hydraulics should be comprehensively
assessed. Table 2.1 shows the potential consequences of changes to hydrology and
hydraulics on various focal areas covered in this Guidance. Mainstream dams are proposed
to be operated in run-of-river mode, meaning that inflows pass quickly through the
impoundment and are discharged with very little water retention capability. The key risks
for environmental and socio-economic receptors of impact, therefore, mainly arise due to
daily and short-term flow changes to the downstream river with hydropower operations, and
from the impoundment of water behind the dam.

Hydrology and Hydraulics 19

 Table 2.1. Risks arising from changes in hydrology and hydraulics

Risks Focal area of impact

Risks arising due to daily or short-term changes in downstream flows

Riverbank erosion, sediment grain-size changes Sediments and Geomorphology (see Section 3)

Fluctuating water quality, with variable

temperature and nutrients; altered Water Quality (see Section 4)
concentration of downstream discharges

Flow velocity changes causing drift or

stranding; habitat impacts and loss; Aquatic Ecology (see Section 5) and Fish (see
temperature changes causing stress and offset Section 6)
of migration triggers

Fluctuating water flows and water levels,

transient impacts on infrastructure, such as in
Project Infrastructure and Dam Safety (see Section
the tailrace due to load rejection, spillway gate
7)
operation, and dam safety risks due to extreme
floods or maximum hydraulic loads

Public safety and navigation-related risks with

water levels in the tailrace and downstream
river; flood risk in the downstream river due Socio-Economics including Navigation (see Section
to sudden releases from the dam during 8) and Public Safety
floods (e.g. lowering operation level for flood
protection, or for flushing)

Risks arising due to river impoundment

Deposition of sediments in the impoundment;

Sediments and Geomorphology (see Section 3)
bank instability

Stratification; temperature changes; nutrient

Water Quality (see Section 4)
trapping.

20 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risks Focal area of impact

Drowning and sedimentation of deep pools;

Aquatic Ecology (see Section 5) and Fish (see
habitat loss due to inundation; deposition of
Section 6)
drifting eggs/larvae due to low flow velocities

Backwater impacts due to inundation or

backwater fluctuations near areas of social
Socio-Economics including Navigation (see Section
importance; increasing flood levels in time
8) and Public Safety
upstream; navigation risks due to submerged
rocks

39. Cumulative hydrological impacts arise due to multiple hydropower developments, in

particular from projects with the ability to store water and make unseasonal releases. The
following conditions may affect project design:
• When comparing the historical flow series to flows in recent years, it is evident that
flows on an annual/seasonal scale are noticeably impacted by the existing storage
dams in the Upper Mekong (the Lancang) and by tributary schemes (MRC, 2018b).
• Flow releases from upper dams can lead to changed flow and water level fluctuations
that affect the operations of the lower dams. For instance, an impoundment draw-down
and sediment flushing operation at an upper dam can lead to an accumulation of flood
waves created by the sudden gate opening of each consecutive dam.
• A new development cannot be expected to mitigate risks arising from existing projects,
but the developer should recognize and incorporate these potential risks into the
proposal. For example, it should be demonstrated that the project can handle a major
flood created by a Chinese dam opening its gates.
40. Risks for the focal areas covered in this Guidance arise from changes in hydrology and
hydraulics due to hydropower operations. In addition, naturally occurring droughts and
floods may exacerbate impacts arising from dams and should be considered in any scenario
evaluations for risk and how they can be managed.

2.3 Pre-project monitoring and analyses

41. The information submitted for the PNPCA process should demonstrate that the
planning and design of the hydropower project is based on a good understanding of the
hydrological resource availability and variability in the short and long term, as well as the

Hydrology and Hydraulics 21

 hydraulic characteristics in the river near the dam infrastructure. Misunderstanding of the
magnitude, timing, variability and extremes of water inflow patterns can present significant
infrastructure safety risks.
42. Quantification of pre-project conditions and quantitative identification of potential changes
for hydrology and hydraulics should be based on a combined monitoring and modelling
approach. The approach should include:
• monitoring of water levels and discharges at specific sites;
• hydrological modelling to establish time-dependent hydrological conditions at locations
in between monitoring sites;
• hydraulic numerical modelling to quantify flow conditions in the impoundment, in the
impoundment backwater, near the dam infrastructure, the downstream river, and at
major tributary confluences; and
• combined, these approaches should be used to quantify hydrologic and hydraulic
parameters and variability over a range of time-scales (hourly to annual) and spatial
scales to provide an accurate understanding of the conditions at the project site.
43. The spatial extent of monitoring and modelling should be in accordance with Clause 20.
The developer should show the limit of influence and how it was chosen, and the type
and degree of change should be shown at the perimeter of the modelling. This analysis
underpins considerations for many other disciplines and areas of risk.
Guidance for monitoring
44. The monitoring approach for evaluation of hydrology and hydraulics should form the basis
of an overall monitoring framework to which topic-specific monitoring (e.g. for water quality,
sediments, etc.) can be fit. This approach should be shown in the PNPCA information to be
sufficient to inform design, to support modelling for impact prediction, and to help with later
impact evaluation. Clause 23 provides basic principles to guide the design of the overall
monitoring network. The following clauses 45 to 54 can be used as a guide and varied to
suit project-specific conditions, as per Clause 23.
45. A network of hydrological monitoring stations should be developed to support the project
over its full life cycle. Data sources in this network may include those managed by national
agencies accessible to the project. The number and location of monitoring sites should
be determined based on an evaluation of monitoring data needs and existing monitoring
stations (including determination of data accessibility and quality). The MRC hydrometric
sites upstream and downstream of the project should be included in this network to provide
long-term trends.
46. Data to be collected for pre-project hydrological analyses should include:

22 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • Climatic data – rainfall, temperature, evaporation, etc.;
• Topographic data - slopes, river length, topography/bathymetry;
• Stream flow data – water level, discharge, floods;
• Groundwater data – infiltration, seepage if applicable.
47. Monitoring site locations should be carried out:
• at the closest MRC monitoring site located upstream of the project, or if relevant,
downstream of an existing upstream mainstream hydropower project, for connection
of the basin-wide hydrology and for deriving the long-term (>10 year) records;
• upstream of the future impoundment (upstream of the backwater section) to inform on
inflow conditions over the long term;
• directly upstream of the future hydropower dam (within the future impoundment);
• in the future hydropower tailwater (downstream of water release infrastructure); and
• at suitable locations downstream of the dam over the distance where there is a
demonstrated significant effect of the project (as per Clause 20, at intervals that reflect
the reach-specific nature of the river, and accounting for locations of tributaries and
locations of downstream projects).
48. The hydrological monitoring network should include upstream tributary monitoring stations
that contribute to impoundment inflows. Data from tributaries directly downstream of
the future dam should be included where the tributary flows may impact on the tailwater
through backwater influences (e.g. cross-currents that may affect navigation towards the
shipping locks).
49. Water level time series data for planning/design, construction, and operation should be
measured at fixed and temporary gauging stations that are located in stable river reaches
and referenced to mean sea level (MSL). These data should be hourly, particularly in reaches
influenced by upstream hydropower schemes or downstream of the construction site to be
able to register short-term fluctuations.
50. Discharge time series data for planning/design, construction, and operation should involve
repeated measurements taken at different discharge levels (low flows to high flows) at
the water level monitoring sites to establish rating curves. Rating curves should enable
quantification of discharges for periods in between surveys. Correction for hysteresis
effects and backwater influences is recommended. Discharge time series data should also
provide flow velocity and depth measurements that can inform sediment and water quality
modelling, as well as support calibration of hydraulic models.
51. The duration of hydrological data collection should enable coverage of the full annual cycle

Hydrology and Hydraulics 23

 with low and high flows, as well as provide insight into inter-annual variability, which is
substantial in the Mekong and should be factored into project design. The project-specific
field data should be collected for a period of at least one year. These data should be
collected prior to the finalization and submission of PNPCA documentation, and explained
in light of longer-term trends by having the monitoring network include one or more long-
term monitoring sites. The field data collection should continue through the pre-project
period to capture more of the inter-annual variability and be used to inform detailed design.
The length of flow record should allow derivation of a time series of at least ten years
for planning and design purposes. The longer the time series of inflows, the higher the
confidence level and the better the understanding of hydrological risk.
52. It is recommended to follow the guidelines on monitoring and quality management of
hydrological data provided by the World Meteorological Organization (WMO, 2008).
Monitoring data should be validated as being of good quality, and checked for consistency
to identify gaps and non-conformances with typical hydrological patterns.
53. An important resource for long-term meteorological and hydrological monitoring data for
the Mekong mainstream is the MRC hydrology database, along with the existing national
meteorological and hydrological databases.
54. The implementation of a telemetry network for stream gauges may be considered, especially
given the non-rainfall dependence of inflow from China. A further extension to include
rainfall radar and other sources of information, and inclusion of a forecasting module may
improve the lead time for prediction of inflows significantly.
Guidance for modelling and analyses
55. Hydrological and hydraulic models should be used to determine specific conditions between
the monitoring sites and at the dam infrastructure, and to forecast future conditions with
and without the proposed dam. Operation of upstream and downstream dams may also
need to be modelled and analysed. Clause 24 provides some basic considerations related
to modelling and analyses. The following clauses 56 to 60 can be used as a guide and
varied to suit project-specific conditions.
56. Hydrological modelling should be used to assess changes to inflows due to upstream and
downstream projects. Hydrological models should be well-calibrated with multiple, short-
and long-term gauging stations over at least a 12-month period. The Decision Support
Framework (DSF) of the MRC provides validated and calibrated hydrological models that
may be applied for this purpose.
57. Suitable fully dynamic hydraulic modelling should be used together with the hydrological
models to predict and assess water level fluctuations, discharges, and flow velocities due
to the operation of the hydropower project. The following considerations should be taken
into account:

24 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • Hydraulic models should be calibrated and verified using all available monitoring data.
The calibration should be carried out for reproducing the water levels and fluctuations
correctly, and the model should also be able to reproduce flow velocities along the
impoundment and the river.
• Modelling for sediment and geomorphology, water quality, aquatic ecology, and dam
break flows should be integrated with the hydrological and hydraulic modelling.
• Dam break simulations should determine the extent of inundations and hazards in the
downstream reach (see Section 7, Dam Safety).
• Detailed hydraulic models may be used to assess the complex flow at the inlets,
navigation locks, access to the locks, stilling basins, and fish passages.
• Physical models may be needed to assess certain details of three-dimensional turbulent
flows near the dam infrastructure. It should be demonstrated that proper scaling has
been applied.
58. The analyses for hydrology and hydraulics should consider:
• a range of scenarios including very dry (5% probability of exceedance), average and
very wet (5% probability of exceedance) years;
• current and potential future climate conditions (including climate change and sea level
rise);
• the start of operation of large Chinese storage dams in the Lancang cascade (notably
Xiaowan and Nuozhadu hydropower projects) and their impacts on seasonal flows over
the past years;3
• as far as possible, long-term future developments in the river basin upstream and
downstream of the project;
• flow conditions with and without the project, including upstream developments (e.g.
for modified flow regimes) and downstream developments (e.g. for modified tailwater
levels);
• flow conditions and flow alterations during construction and operation;
• gradual geomorphologic changes and their impacts on water levels, such as backwater
sedimentation processes or decreasing flood levels due to downstream channel
incision.
59. Assessment results should be presented in the documentation for the PNPCA review for all
relevant indicators of significance that reflect the risks and vulnerabilities of the system due

3 The MRC may provide information arising from model studies carried out as part of basin scale assessment.

Hydrology and Hydraulics 25

 to flow alterations. The following should be presented:
• Basic hydrologic and hydraulic information for PNCPA submission should include:
impoundment volumes and residence time; inflows; water velocities within the
impoundment; proposed discharge patterns associated with hydropower and gate
operations; and rates of water level change in the impoundment and downstream.
More specific guidance is provided in other sections of this Guidance relating to topic-
specific information needs for hydrologic and hydraulic information.
• The MRC Indicator Framework and the Hydropower Mitigation Guidelines (MRC, 2018a)
can be referred to for further guidance in selection of relevant indicators, accounting for
the linkages between themes. Reference can be made to recent relevant MRC studies
and relevant literature for more detailed indicator frameworks.
60. The analyses of changes, impacts and mitigation options for hydrology and hydraulics
should clearly identify the residual impacts and document where these will occur in the
river, in line with Clauses 7 and 24.

26 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
2.4 Design and operational guidance

61. Mitigation options should be evaluated to determine which ones will best address identified
risks. The modelling and monitoring results should be used to help identify the underlying
hydrological and hydraulics changes that have consequences for environmental and socio-
economic values, and to identify and optimize appropriate mitigation measures. Mitigation
measures should clearly address identified risks. Table 2.2 identifies mitigation measures
that can address the core sources of impact relating to hydrology and hydraulics.
Table 2.2. Mitigation options to address hydrological and hydraulic changes

Hydrological or Hydraulic
Mitigation Options
Changes

▪ Siting of the project so that downstream impacts are reduced due to the
river configuration or by entering tributaries
▪ Cascade Joint Operating Rules to ensure harmonized operations
Daily or short-term ▪ Project-Specific Operating Rules to minimize flow fluctuations
alterations in the downstream of the dam (note the most downstream dam in a cascade
downstream flows can be operated as a re-regulation dam if required during specific
operational activities of the cascade)
▪ Notification and warning systems for spill events or rapid water level
changes

▪ Siting and design to minimize the inundation area

▪ Siting and design to minimize the water residence time
River impoundments ▪ Filling rules to address any flow interruptions following dam closure
▪ Operating rules for the impoundment to minimize water level fluctuations,
and prevent upstream flood damage.

Planning and design stages

62. Siting of the hydropower project at the earliest stages of planning can help to minimize
impacts to sensitive areas from either inundation or downstream flow fluctuations, such as
floodplains with high ecological value or major urban areas. Water level fluctuations may be
most severe immediately downstream of the project, but reduce further downstream due
to flow attenuation.
63. Project-Specific Operating Rules, or at least their principles , should be established at
the feasibility design stage and be included in the project economic/financial evaluation.
Operating rules should take into account:

Hydrology and Hydraulics 27

 • any Cascade Joint Operating Rules aimed at ensuring harmonized operations within a
cascade
• environmental flow objectives downstream of the project;
• any need for maintenance of minimum flows downstream in relation to occasional
interruptions of power station operations;
• ramping rates as per Clause 70; and
• management of downstream risks when turning on or off multiple turbines over a short
period during the dry season.
64. Dam infrastructure, including turbines, bypass valves, gated outlets, and the gated spillway,
should:
• be designed to allow passage of a wide range of flows (including extreme floods); and
• have sufficient capabilities for up-ramping and down-ramping during possible (partial)
emptying or filling of the impoundment, for instance due to flushing operations,
maintenance, calamities with rapid shutdown, electrical or mechanical faults, etc.
65. The impact of possible future development of additional dams in the cascade should be
addressed in the design of the infrastructure4 (e.g. to allow passage of flow pulses from
upstream operations) and with regard to the downstream flows.
Construction stage
66. The developer should demonstrate that issues in relation to flow regimes downstream
of project infrastructure during project construction and impoundment filling have been
identified and assessed, and monitoring enables identification of any emerging issues.
Operation stage
67. Cascade Joint Operating Rules should be established by one or more Member Countries in
which the projects are located, together with project developers and importing countries.
Member Countries, that may be impacted by the operations of the cascade, should be
consulted. The Cascade Operating Rules should provide a framework for Project-Specific
Operating Rules for all projects within the cascade, as per Clauses 3 and 29.
68. Cascade Joint Operating Rules should reflect the important areas that require coordination
to avoid cumulative impacts. These may include, for example: common flood management
rules governing draw-down and opening of gates; coordination of maintenance periods;
common rules for navigation lock operation; and coordinated timing for sediment flushing
actions.

4 The information on these future developments may need to be sourced from the host Member Country or the MRC as part
of national or regional planning.

28 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
69. Project-Specific Operating Rules should be fully aligned with Cascade Joint Operating
Rules, but may also have more specific requirements taking into account local conditions
and needs. These may include, for example, specifications on rates of downstream water
level change, or flow quantity and velocity requirements for operation of the fish passage.
70. Water level ramping rates for the impoundment and downstream releases should seek to
minimize identified risks, which will be project- and discipline-specific. Hydraulic modelling
should be used to assist in identifying risks that are affected by fast draw-down or ramp-
up rates, and to test the benefits of ramping rates for mitigation. Some guidance relating
to the influence of ramping rates for specific disciplines can be found in the Hydropower
Mitigation Guidelines (MRC, 2018a).

2.5 Project monitoring and adaptive management

71. Plans for project monitoring of hydrology and hydraulics should take into account the
guidance in Clause 26. The PNPCA information should demonstrate that plans for hydrology
and hydraulics monitoring information to be collected during construction and operation
will inform:
• developers’ needs regarding operations, including any indicators that may be expressed
in the Project-Specific Operating Rules or Cascade Joint Operating Rules; and
• indicators relating to, or drawing on, data for water levels and flows, for any of the
disciplines covered in Sections 3 to 9, that may signal a need for adaptive management
responses.
72. The monitoring programme described in Section 2.3 should be continued during the
construction and operation stages, and adapted where needed to better inform the
information requirements for management during the construction and operation stage
and to meet the needs of Clause 27.
73. Examples of water level and flow related aspects of project operations that may be able to
be adaptively managed include minimum flow releases, ramping rates, impoundment water
levels and fluctuations, flood rules, and gate operations. Plans for the project monitoring
programme should consider how well it will be able to inform whether the objectives guiding
these different aspects of operations are being met.

Hydrology and Hydraulics 29

 3
Sediment
Transport and
Geomorphology

30 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
3 SEDIMENT TRANSPORT AND GEOMORPHOLOGY

3.1 Objectives

74. The objectives for sediment transport and geomorphology are as follows:
• Maintain the morphological equilibrium of the Mekong River.
• Minimize changes to sediment delivery to the downstream environment with respect
to sediment quantity, the seasonality of sediment delivery, and grain-size composition
of the sediment load.
• Minimize geomorphic impacts arising from changes in sediment transport, including
changes to river banks, river beds and aquatic and riparian habitats.
• Minimize deposition within and downstream of the impoundment to prevent upstream
river changes, and maintain and protect project infrastructure.
75. There are no MRC Procedures that directly relate to sediment transport or geomorphology.
The importance of sediment transport is recognized by the Member Countries cooperating
in the monitoring of sediment movements through the Discharge and Sediment Monitoring
Programme (Koehnken, 2014). In addition, the themes of sediment transport and
geomorphology are included in the former MRC Water Utilisation Programme, the MRC
Initiative for Sustainable Hydropower Studies (MRC, 2014), and in other published MRC
studies.

3.2 Risks

76. Dams interrupt the natural continuity of sediment transport in river systems, inducing
deposition within the impoundment, and altering the sediment quantity and composition in
water released to the downstream river. These changes have a number of implications for
water quality, aquatic ecology, fisheries, navigation, commercial activities and community
uses.
77. Potential sediment transport and geomorphic risks should be comprehensively assessed.
Risks associated with sediment transport and geomorphic risks associated with hydropower
development are summarised in Table 3.1.

Sediment Transport and Geomorphology 31

 Table 3.1. Potential sediment transport and geomorphic risks associated
with mainstream dams

Risk Consequences/Comments

Alteration of morphological balance of the Mekong River

This is the large-scale risk to which each of the following

Dams can fundamentally alter the nature,
components is linked. Avoiding, minimizing this impact is
timing, and dispersal patterns of sediment
the overall aim of sediment management in hydropower
delivery in river systems
projects.

Trapping of sediment within impoundment

Deposition at upstream extent of The degree of trapping is related to the flow regime within
backwater and at tributary entry points the impoundment and the characteristics of the inflowing
can increase the river bed level and the sediment load. The largest sediment loads will typically
risk of flooding upstream, and affect be trapped at the most upstream project in a cascade or
navigation downstream of tributary junctions

Deposition of sediment can impact ▪ Sediment can block gates, damage turbines and reduce
hydropower infrastructure and affect the live storage of impoundments. Sediment deposition
operations can also affect water quality (Section 4).

Reduction in the sediment load downstream of the hydropower project

▪ Erosion changes ecosystems and poses risks to

infrastructure.
▪ Erosion and incision can alter local groundwater levels
Increased erosion downstream, leading affecting bank stability and water availability.
to bed incision and channel widening. ▪ Alluvial river reaches are most prone to erosion.
Erosion will progress downstream as ▪ The greatest risk is downstream of the final hydropower
sediment depletion occurs until a new project in a cascade or where there is a free-flowing
equilibrium is established river reach between projects. Erosion risks are lower if a
project discharges into another impoundment.
▪ Erosion will alter habitats affecting aquatic ecology and
fisheries (Sections 5 and 6).

32 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/Comments

▪ Grain size changes affect geomorphic characteristics

and habitat distribution and availability. Also changes
to dispersal patterns of sediments and nutrients
Change to grain size of sediment
downstream may occur with potential impacts to the
discharged downstream
Tonle Sap and the Delta.
▪ Trapping of sand will exacerbate impacts of sand mining
downstream.

▪ Delta erosion increases risks associated with sea level

Increased erosion risk to delta and coastal
rise and storm surges associated with extreme weather
areas. Reduction of fine-sediment to
events.
mangroves and nutrients to coastal areas
▪ There are synergistic effects with aggregate mining.

Water level fluctuations within the impoundment

Waterlogging and loss of vegetation

on shoreline, leading to increased bank ▪ Linked to geology, soils and valley slope.
erosion and risk of landslides

Water level fluctuations downstream

▪ Higher risks are associated with peaking operations.

▪ The greatest risk of erosion is associated where the
Increased shear stress during rapid water
discharge enters a free-flowing river channel, such as
level fluctuations increases bank erosion
downstream of a final project in a cascade or a free-
and susceptibility to seepage erosion
flowing alluvial river reach.
(piping) processes
▪ Risks are decreased where the discharge enters another
impoundment.

▪ Discharge range is limited resulting in discrete water

Bank scour focussed over a limited water levels associated with turbine discharge, increasing
level range leading to increased bank bank erosion at these levels. This risk is the greatest
erosion where discharge from the final project in a cascade
enters a free-flowing alluvial river reach.

Sediment Transport and Geomorphology 33

Risk Consequences/Comments

Sediment management operations

▪ Operation of low-set spillway gates may be used to

Routing and flushing of sediments cause flush/route sediments trapped in the impoundment.
changes to downstream river morphology Release of these sediments may cause changes in
and water quality river morphology immediately downstream of the
impoundment.

Disconnect between flow and sediment delivery

▪ This affects sediment and nutrient dispersal patterns,

including floodplain deposition.
Seasonal sediment ‘pulse’ lost ▪ It can affect ecological processes (water quality, aquatic
ecology, fisheries), floodplain agriculture, and sediment
balance in the Tonle Sap system.

▪ Erosion and/or deposition at tributary confluences due

Decoupling of tributary and mainstream to tributary rejuvenation.
flows ▪ This can also occur within impoundments or at
confluences in free-flowing river reaches.

Increased sediment generation during construction

Increase in sediment loads can smother ▪ Increased sediments can infill gravel beds and alter
habitats and directly affect aquatic light penetration. This can also occur due to increased
ecology and water quality sediment loads from construction on tributary projects.

▪ Can affect sediment management and mitigation

Increase in sediment loads entering strategies in downstream project and cascade. Can
downstream impoundments also occur due to increased sediment loads from
construction on tributary projects.

Land disturbance during construction

Construction of access roads and

▪ Linked to geology, soils, valley slope and construction
infrastructure can increase risk of
methods
landslides

78. The location of a project within a cascade and the location relative to tributary projects
should be considered when identifying risks. The potential for future mainstream or tributary
developments to alter conditions and risks should also be considered.

34 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
3.3 Pre-project monitoring and analyses

79. The information submitted for the PNPCA process should demonstrate quantification of
pre-project conditions and quantitative identification of potential changes for sediment
transport and geomorphology, based on a combined monitoring and modelling approach.
The information submitted should include:
• site-specific monitoring of sediment transport and geomorphological characteristics at
a spatial scale appropriate to the development;
• a basic numerical sediment transport model integrated with the hydrological and
hydraulic transport model (see Section 2.3). This model should be capable of quantifying
sediment transport and geomorphic changes associated with hydropower operations
over suitable geographic ranges and timescales, including demonstrating potential
transboundary changes. More than one model may be required to adequately capture
the details required near the dam and hydropower infrastructure, and to provide an
indication of geomorphic change over long river reaches;
• the numerical modelling may be supplemented by physical modelling during the
detailed design stages. Any physical model should be designed with application of
relevant scaling laws and assessment and interpretation of relevant hydraulic and
sediment parameters (e.g. Froude number, Reynolds values, Shields parameters).
80. The monitoring and modelling should be used to describe and quantify baseline conditions
in the project reach and potential project operations, providing:
• a quantitative description of the existing environment with respect to sediment
transport and geomorphic characteristics as outlined in Clause 81;
• a basis for identifying and evaluating potential changes to the river due to the
development, as outlined in Clause 82;
• a basis for identifying risks as outlined in Section 3.2, and identifying and optimizing
mitigation measures as outlined in Section 3.4.
81. The description of the existing environment should include, but not be limited to:
• the annual sediment budget divided into seasons, including an indication of sediment
variability and trends associated with other developments (e.g. decreasing sediment
supply over time due to upstream mainstream or tributary dams);
• grain-size distribution on a seasonal basis, using the grain-size definitions and
nomenclature defined in the Definition of Terms;
• existing geomorphic characteristics and patterns of sediment deposition and erosion
in the project area (including the impoundment and downstream);

Sediment Transport and Geomorphology 35

 • a description of the present geomorphic changes occurring associated with existing
developments.
82. The description of potential changes to the existing environment associated with the
project development should include:
• projected changes to sediment transport5 within and downstream of the impoundment
over the life of the project, such as impoundment sedimentation, sediment transport
downstream of the dam, and channel changes downstream of the dam;
• an evaluation of how the impacts from the project are likely to change due to future
planned upstream or downstream developments by developer and host nation with the
support of regional agencies as required, for example, the MRCS;
• a description of the forecast state of impoundment sedimentation, sediment
management infrastructure, and downstream physical geomorphic changes at the end
of the concession period. This will allow the relevant Member Country to include quality
standards, design requirements and operational targets in the Concession Agreement
to ensure the value of the asset at the time of relinquishment;
• A description of how adaptive management will be implemented over the concession
period and the uncertainties associated with the assessment.
Guidance for monitoring
83. The monitoring approach for sediment transport and geomorphology should be shown in
the PNPCA information to be sufficient to inform full feasibility level design, to support
modelling for impact prediction, and to help with later impact evaluation. Clause 23 provides
basic principles to guide design of the overall monitoring network. The following clauses
can be used as a guide, and varied to suit project-specific conditions.
84. Monitoring should be completed over a sufficient geographic range to identify potential
impacts associated with the development, guided by Clause 20. The number and location
of monitoring sites should include:
• the hydrologic monitoring sites described in Section 2.3 such that the pre-project
sediment loads entering and discharged from the project area are accurately quantified;
• at an existing MRC sediment and discharge monitoring site to allow comparison of
sediment transport monitoring results with the existing long-term data set;
• a site located 50% of the distance between the upstream backwater and the dam site
if the impoundment is projected to exceed 40 km in length. Additional monitoring sites

5 The basin-scale information and changes may be investigated through MRC assessments (e.g. through the MRC basin
planning).

36 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 within the future impoundment may be required downstream of the confluence of any
tributaries entering within the impoundment reach contributing more than 2% of the
Mekong average annual flow as measured upstream of that tributary’s confluence;
• at suitable intervals downstream of the dam site reflecting the site-specific nature of
the river reach. Sites upstream of major tributary confluences should be included.
• where the river enters a different hydrogeomorphic zone, if applicable.
85. Monitoring parameters should include:
• river flow and hydraulics, as described in Section 2.3. All sediment transport information
should be linked to the hydrologic and hydraulic conditions at the time of sampling,
including velocity, discharge and depth.
• suspended sediments determined using a depth-integrated isokinetic method or point-
integrated method (Davis, 2005) or equivalent. An equivalent may include the in-situ
measurement of sediment volume and grain size using a laser instrument, provided
that a calibration between physical sampling and the laser instrument is completed and
included in the baseline information.
• grain-size distribution of suspended sediment using either recognized and referenced
laboratory settling techniques, laboratory laser or x-ray techniques, or in-situ
determination using a laser instrument.
• bedload movement estimates using the Acoustic Doppler Current Profiler (ADCP) loop
method (USGS, 2006) or equivalent.
• grain-size distribution of bedload and bed materials using standard sieve sizes
consistent with the grain sizes, as specified in the Definition of Terms.
86. The duration of sediment data collection should enable coverage of the full annual cycle
with low and high flows, as well as provide insight into inter-annual variability, which is
substantial in the Mekong and should be factored into project design. The project-
specific field data should be collected for a period of at least one year. This should occur
immediately prior to finalization and submission of PNPCA documentation, and explained
in light of longer-term trends by having the monitoring network include one or more long-
term monitoring sites. The field data collection should continue through the pre-project
period to capture more of the inter-annual variability and be used to inform detailed design.
87. The frequency of data collection should be linked to the seasonal hydrology. This timing will
enable integration with the MRC sediment monitoring results and enable interpretation of
the data within broader datasets.
• Monitoring for all parameters should be completed on a weekly basis during the wet
season (June to October, inclusive), and fortnightly during the transition seasons (May

Sediment Transport and Geomorphology 37

 and November) as defined for the Mekong (MRC, 2009a). More frequent monitoring
during high flow periods and events is desirable for providing information relevant to
sediment routing and flushing.
• During the dry season (December to April), monthly monitoring of suspended sediment
load only is recommended.
88. Because sediment dynamics at the project site are part of a large-scale and longer-term
process of sediment dynamics in the Mekong River, site-specific data collected by the
developer should be related and compared with the MRC sediment monitoring data set,
and any substantial differences should be investigated and explained.
Guidance for modelling and analyses
89. Sediment modelling should be consistent with Clause 24, and integrated with hydrological
and hydraulic modelling (see Section 2.3). Sediment modelling should include the sediment
loads, sediment grain-size distribution and seasonal variability. The baseline conditions of
the river should be modelled and calibrated using the monitoring results.
90. Scenarios for impoundment sediment deposition and scour should be developed based
on an understanding of factors such as: the extent of the flooded areas of the future
impoundment; their seasonal fluctuations; the presence of bedrock outcrops; and the
influence of tributaries. Scenarios investigating different Project-Specific Operating Rules
related to sediment management, such as minimizing deposition in the impoundment
backwater, sediment flushing, or sediment routing, should be included.
91. The sediment model should demonstrate the influence of the daily and annual operating
pattern of the project on the following:
• the volume and grain-size distribution of deposition in the impoundment, including
headwater deposits. Model runs should include impacts from upstream projects where
applicable;
• the quantity and grain-size characteristics of the sediment load discharged downstream;
• the downstream river channel adjustments attributable to the change in sediment
transport, and the extent of downstream influence of the project operations based on
water level fluctuations. Changes to the river thalweg, channel shape, sand and gravel
bars, and deep pools should be identified. A discussion of model uncertainties and
limitations should be included.
92. The model should be sufficient to evaluate designs to minimize deposition at or near the
spillway gates, and entrainment of sediment through the turbines.
93. The model should be capable of incorporating and demonstrating the efficacy of sediment
mitigation measures over a range of conditions. The types of information derived by

38 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 modelling should include (depending on the mitigation measure being implemented):
• the efficacy of the mitigation measure with respect to limiting sediment deposition in
the impoundment and the provision of an annual sediment discharge into downstream
reaches;
• the maximum sediment concentrations likely to occur downstream during flushing
or sediment routing, and the expected duration of elevated sediment concentrations
associated with mitigation;
• a comparison of mitigation measures when implemented under different flow regimes,
for example, flushing during high flow conditions versus low flow conditions.
94. The analyses of changes, impacts, and mitigation options for sediment transport and
geomorphology should clearly identify the residual impacts and document where these will
occur in the river, in line with Clauses 7 and 25.

3.4 Design and operational guidance

95. Mitigation options should be evaluated to determine which ones will best address identified
risks. The modelling and monitoring results and project information should be used to
evaluate the potential sediment transport and geomorphic risks associated with the project,
and identify and optimize appropriate mitigation measures. Mitigation options should
clearly address the identified risks relevant to the project. Mitigation options to address
potential risks relating to mainstream dams are summarized in Table 3.2. Not all risks
will apply to every project, and there may be additional risks that require consideration.
Additional information is provided in the following clauses.

Sediment Transport and Geomorphology 39

 Table 3.2. Mitigation options for sediment transport and geomorphic risks
for mainstream dams

Risk Mitigation Options

- Site and design the project to minimize disruption of sediment

Alteration of morphological
supply and maximize potential for sediment management and
balance of the Mekong River
passage.

- Size and design the project to minimize retention time and

maximize sediment entrainment and transport.
Trapping of sediment within the
- Include low level outlets to allow the passing of turbidity currents,
impoundment
and implement sediment routing and sediment flushing.
- Include sand trapping and passing facilities near turbines.

- Develop operating procedures to maximize sediment passage

(sediment bypass, routing).
Reduction in sediment load
- Develop annual operating procedures to flush sediments at
downstream due to increased
seasonally appropriate times, targeting high water flows and high
deposition within the
inflowing sediment loads.
impoundment
- Implement physical bank protection where bank erosion poses a
risk to infrastructure or communities.

Water level fluctuations within - Develop operating procedures that will minimize the rate and range
impoundment leading to of water level fluctuations.
erosion and landslides - Implement physical buttressing of banks to protect infrastructure.

- Develop up- and down-ramping rates to minimize bank erosion and

Water level fluctuations
reduce safety issues.
downstream leading to erosion
- Implement physical buttressing of banks to protect infrastructure
and landslides
and land.

- Implement sediment routing or sediment flushing early in the

monsoon to provide a pulse of sediment to the downstream
Disconnect between flow and
environment.
sediment delivery
- Coordinate sediment routing and flushing within a cascade to
maximize downstream sediment transport.

40 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Mitigation Options

- Conduct flushing/routing during high flow periods using low-set

spillway gate with mid-level spillway gates to dilute downstream
Sediment management
concentrations.
operations
- Coordinate sediment routing and flushing within a cascade to
maximize downstream sediment transport.

- Contour access roads and include drains to limit sediment runoff.

Increased sediment generation - Construct access roads, coffer dams and other major earth works
during construction during the dry season.
- Construct and manage sediment traps.

- Minimize land disturbance during the wet season.

- Construct roads along contours using good practice engineering.
- Construct access roads, coffer dams, and other major earth works
Land disturbance and
during the dry season.
landslides during construction
- Construct and manage sediment traps.
- Rehabilitate and revegetation disturbed lands as soon as
practicable.

Siting
96. Developers should consider alternative dam sites at the earliest possible stages of planning,
with modelling used to assist the selection of sites whose natural attributes combined with
the hydraulics of the river flow at the site best facilitate passage of sediment. The potential
for sediment bypass channels should be included in this early planning phase.
97. Particular care should be taken to avoid sediment deposition that poses risks for the safe
working of the flood passage capacity of the dam.
98. Dam layouts, including the location of the turbine intakes, low-level outlets and spillway
gates should be planned to minimize deposition near intakes and maximize the potential
for frequent sediment flushing.
Dam infrastructure
99. Low-head, small impoundment run-of-river projects will trap less sediment than dams with
storage capacity because fine sediment is more readily held in suspension, and routing or
flushing of fine and coarse sediment can be carried out more easily and efficiently.
100. Dams and intake structures should be designed to minimize the deposition and entrainment

Sediment Transport and Geomorphology 41

 of sediment near the dam to ensure long-term safe operation. If applicable, sand passing
facilities should be included near the turbines to allow episodic flushing of sediment from
near turbine intakes or to facilitate sediment flushing in response to adaptive management.
101. Projects in which sediment routing or sediment flushing are the only mitigation options for
passing sediment to the downstream environment should include large, low-level outlets
to allow for sediment routing (pass-through) and drawdown for sediment flushing. Gates
should have the following characteristics:
• The gates should be located at maximum depth within the impoundment to maximize
potential for sediment flushing.
• The height of the sill at the base of the gates above the bed of the river should be
minimized to reduce the volume of sediment required to be deposited prior to enabling
discharge via the low-level outlets.
• Gates and flushing galleries or tunnels should be large enough to accommodate flows
sufficient to entrain and transport coarse sand and gravel in suspension and prevent
clogging.
• Mid-level gates (or spillways) should be included to allow dilution of the highly
concentrated bottom waters that are released.
102. Fail-safe provisions, such as stop logs or additional gates, for dewatering the structures
immediately upstream and immediately downstream of the bottom gates should be
provided to enable cleanout in the event of blockage.
Sediment management and mitigation during construction
103. During the construction stage, sediment management should aim to:
• minimize runoff from the site, using appropriate construction methods and mitigation
measures such as sediment traps. Revegetation of disturbed areas should be
completed as soon as practicable;
• minimize the risk of landslides and land disturbance associated with the construction
of infrastructure and access roads, including to transmission lines or ancillary services.
Sediment management and mitigation during operations
104. During the operation stage, sediment management should aim to:
• minimize sediment deposition within the impoundment or near infrastructure that can
affect operations of the hydropower project;
• maintain a seasonal supply of sediment to the downstream environment, maintaining
sediment loads and sediment grain-size characteristics similar to pre-dam conditions

42 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 as much as practicable;
• manage the impoundment to promote the downstream transport of bedload; and
• minimize water quality and river morphology changes resulting from routing or flushing
operations.
105. Targets for sediment management should include the following:
• The passage of sediment should be promoted during all flood events with low-level
outlets opened in combination with mid-level flood gates.6
• At least 70% of the fine-sediment (grain size < 63 μm) entering an impoundment should
be discharged on an annual basis to downstream of the dam. This is to maintain a
supply of fine-sediment and nutrients to the downstream environment, including the
Tonle Sap and delta. A target of 70% is considered an operationally feasible target that
would provide downstream benefit.
106. Mitigation strategies, including operating rules where applicable, should be developed and
included in the PNPCA reports to address the risks identified under Section 3.2 and achieve
the targets listed in Clause 105. These strategies should include an adaptive management
component demonstrating how operations could adapt to changing conditions. Strategies
should also consider the potential for downstream environmental impact associated with
the release of unnaturally high sediment loads and include precautions to minimize the
degree and extent of downstream impacts. Where applicable, modelling should be used
to determine the extent of downstream impacts and used to notify downstream countries.
Sediment mitigation strategies should also aim to be compatible with fish migration
mitigation strategies with respect to timing and execution (e.g. rate of drawdown), and
minimize water quality impacts. Other possible sediment mitigation strategies are as
follows:
• Sediment bypass: This involves diverting sediment-laden water into a channel or tunnel
from the river channel upstream of the impoundment, bypassing the impoundment,
and delivering the sediment to the channel below the dam. This approach transports
both fine- and coarse-grained sediment, preserves continuity of sediment transport
to downstream reaches, and avoids sedimentation problems in the impoundment.
However, it is possible only in situations where the geometry of the river and
impoundment are favourable.
• Sediment routing: This involves a seasonal draw-down of the impoundment to allow the
passing of suspended sediment through the impoundment to avoid net sedimentation.
Sediment routing should be carried out when sediment concentrations and sediment
transport rates are high, such as early in the flood season.

6 As per clause 101, mid-level gates may also need to be operated simultaneously to dilute flushed sediments.

Sediment Transport and Geomorphology 43

 • Pressure flushing: This is based on opening the low-level outlets but not reducing
the water level in the impoundment to pre-dam levels. This approach has limited
effectiveness because it generally only removes sediments located near the dam wall;
therefore, it is not an efficient method for removing large volumes of sediment from
impoundments.
• Sediment flushing: This involves drawing down the impoundment and allowing
accumulated sediments to be eroded and pass through low-level outlets into the
downstream channel. As with sediment routing, the impoundment temporarily behaves
like a reach of river, transporting sediments through the dam. Unlike sediment routing
or bypassing sediment, flushing releases more concentrated sediment discharges over
shorter time periods, thus changing the temporal pattern of sediment release. Flushing
can only be carried out on impoundments that can be drawn down regularly, and is
most effective when the low-level outlets are large and can pass sediment-transporting
flows without creating backwater conditions. Sediment flushing is also effective at
moving bedload material downstream within an impoundment. The timing and duration
of sediment flushing should consider ecological considerations such as the timing of
fish migration.
107. Operating rules related to sediment flushing should consider the following:
• Sediment flushing during base flow periods should be avoided in order to minimize
downstream impacts associated with the release of very high turbidity levels and
deposition of sediment that will remain in the channel for prolonged periods.
• A maximum downstream sediment target concentration should be established based
on social and ecological considerations and sediment monitoring results. An initial
guide is the natural (pre-Chinese dams) maximum sediment concentrations that
occurred during the flood season.
• The sediment concentration of water released during flushing operations should
be controlled and monitored to prevent negative impacts on downstream ecology.
Monitoring locations should be guided by site-specific conditions, including the
location of downstream settlements and land use as well as important habitats and
ecosystems.
• The operating conditions associated with flushing (rate of drawdown, duration of
drawdown, timing of flushing) should be guided by site-specific conditions, including
sediment inflows, downstream safety, and ecological risks, and be consistent with
and take into consideration fish and water quality management aims and strategies.
Modelling runs of potential flushing regimes should be used to optimize sediment
passage, and sediment flushing strategies should form an integral component of
Cascade Joint Operating Rules.

44 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • A communication strategy should be developed by the operator of individual projects to
inform stakeholders of any atypical operations associated with sediment management.
Where these operations have the potential for transboundary impacts downstream, the
communication strategy should include communication with the downstream Member
Countries.
Mechanical removal of sediment
108. Where hydraulic flushing is not possible, sediments accumulated in the impoundment can
be removed mechanically by dredging or drawing down the impoundment and excavating
dry. Dredging can be carried out using hydraulic suction driven by a pump, siphons, or
mechanical clamshell or bucket ladder dredges. Key considerations include the location of
suitable disposal areas nearby, distances and vertical uphill haul required, and the logistics
of transferring sediment from the impoundment deposit to truck, or in some cases, slurry
pipeline. Mechanical disturbance of sediment may also be implemented during sediment
flushing to increase the mobilization of deposited material.
Management of geomorphic impacts downstream of dams
109. This Guidance includes the most practical approaches for mainstream dams. Other
sediment and geomorphic approaches, such as re-regulation weirs, sediment traps, or
sediment augmentation, may be applicable in some cases.
110. Downstream impacts need to be considered in a catchment context. Other activities
that affect river geomorphology, such as aggregate extraction, should be managed in
conjunction with hydropower operations to reduce synergistic impacts. This would be the
responsibility of national agencies and not the developer.
111. The rate of erosion or deposition downstream of a dam may be reduced through
implementation of Project-Specific Operating Rules that minimize the rate and limit the
magnitude of water level changes (see Clause 70).
112. In place of, or in addition to, operating rules, river bank erosion control may be required at
the expense of the operator to control bank erosion downstream of the project or along the
shore of the impoundment.
Managing sediment in a cascade of dams
113. Sediment management based on the objectives identified in Clause 105 should be planned
and coordinated between projects within a cascade of dams, ideally through Cascade
Joint Operating Rules. This may be achieved through cooperation between developers, the
host nation and, potentially, regional agencies (e.g. the MRCS) if required. Basic numerical
modelling of the cascade should be used to guide management and minimize impacts within
impoundments, and on the downstream environment. A description of how management of
sediments will be coordinated should be included in the PNPCA documentation, taking into

Sediment Transport and Geomorphology 45

 account the state of cascade-level analyses and development of Cascade Joint Operating
Rules. In the absence of established rules, the developer should indicate how project-
specific management measures have taken into consideration the need for coordinated
sediment management within the cascade.
114. The Cascade Joint Operating Rules should include a communication mechanism between
operators within a cascade and the Member Country to enhance the exchange of information
and provide a system for informing the public of hydropower operations such as sediment
flushing, similar to that described in 107. The communication strategy should include a
mechanism for informing downstream Member Countries of any atypical (e.g. sediment
flushing, routing) hydropower operations with potential transboundary impacts.

3.5 Project monitoring and adaptive management

115. Plans for project monitoring of sediments and geomophology should take into account the
guidance in Clause 26. The PNPCA information should demonstrate that plans for sediment
transport and geomorphology monitoring information to be collected during construction
and operation will inform:
• developers’ needs regarding sediment management operations, and in particular
related to sediment flushing;
• indicators that may signal a need for adaptive management responses to sediment or
geomorphology related mitigation measures.
116. The monitoring programme for sediment transport and geomorphology at the construction
and operation stage should recognize the site-specific characteristics of the project and
aim to capture the following aspects where applicable.
• Measurement of sediment inflows and outflows from the impoundment area should be
undertaken, including the determination of sediment grain size. The same monitoring
parameters and monitoring frequency as described in Section 3.3 are recommended.
Other than within the impoundment, monitoring locations should be the same as pre-
project sites, and should include upstream of the backwater to quantify inflow and
downstream of the dam to quantify outflows.
• Survey the bathymety within the impoundment at a resolution and frequency sufficient
to quantify the rates of sediment accumulation or scour.
• Survey cross-sections and bathymetry at the upstream extent of the backwater, at a
resolution and frequency to determine changes that might affect navigation.
• Cross-sections of the river downstream of the dam should be surveyed annually for the
first five years of operations and every two years thereafter. A downstream monitoring

46 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 plan should be developed that takes account of the location of the project, the location of
other projects, and proximity to alluvial river reaches. Monitoring should extend through
the project-affected reach,7 or to the backwater of the next project downstream, with
cross-sections spaced at appropriate8 intervals and targeting alluvial reaches. Cross-
sections should extend above the maximum water level height of the river;
• River banks along the new flood level line of the impoundment should be monitored to
establish rates of erosion.
• Site-specific attributes of the monitoring programme should account for the position
of the project relative to other mainstream and tributary projects and the proximity of
tributaries and national borders.
117. Adaptive management measures should be guided by monitoring results, in accordance
with Clause 27. These measures include, inter alia, the frequency, timing, and duration of
sediment routing or flushing, and ramp-down rates to minimize downstream bank erosion.
Monitoring results can also guide the implementation and management of downstream
infrastructure to minimize bank erosion, such as bank armouring or use of groynes, if
required. Development of the project monitoring programme should consider how well it
will inform whether the objectives guiding these different aspects of operations are being
met.

7 See Clause 20.

8 The distance between cross-sections monitored will depend on the river morphology and the presence of alluvia reaches.

Sediment Transport and Geomorphology 47

 4
Water Quality

48 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
4 WATER QUALITY

4.1 Objectives

118. The objectives for water quality are:

• Reduce the risks that water quality within the impoundment will impact the use of the
impoundment for other purposes, such as fisheries, or will impact human health, or will
cause interference with, and damage to, hydropower infrastructure such as turbines.
• Minimize water quality impacts of the dam on downstream fisheries, aquatic
ecosystems and human health.
• Ensure alignment with the Procedures on Water Quality (see MRC, 2011) under the
Mekong Agreement, which seek to maintain the water quality of the Mekong River
mainstream.
119. Technical Guidelines for the Implementation of the Procedures for Water Quality (MRC,
2016), referred to as the “Technical Guidelines”, have been agreed by the countries and
encompass guidance for the protection of human health, the protection of aquatic life, a
framework for implementation, and water quality emergency response and management.

4.2 Risks

120. Potential water quality risks should be comprehensively assessed. Dams are at risk from,
and may constitute risks to, water quality in rivers. Risks to water quality in dams can arise
from the quality of the water in the river being dammed, which in turn is influenced by
human activities in the catchment upstream of the dam. Forestry, agriculture, urbanization,
and industrialization are all activities that can lead to degradation of water quality in rivers.
Water quality risks for mainstream dams are shown in Table 4.1. Mainstream dams may
experience fewer of these risks because they operate in run-of-river mode with relatively
short water residence times in the impoundment, or they may experience a number of these
risks because of issues caused by surrounding land uses and tributary developments.
All risks should be considered and assessed, including through consideration of atypical
scenarios (e.g. floods, intense storm events, droughts) to see if any may emerge under
particular circumstances.

Water Quality 49
 Table 4.1. Potential water quality risks associated with mainstream dams

Risk Consequences/comments

Risks from construction activities

Local contamination could impact aquatic ecosystems and fish

Spillages of fuel and lubricants
in the vicinity of the construction site

Local contamination could impact aquatic ecosystems and fish

Runoff of turbid water from bare soil
in the vicinity of the construction site

Waste water from accommodation Local contamination could impact aquatic ecosystems and fish
facilities for workers in the vicinity of the construction site

Risks to the impoundment

Increasing nutrient influx from

upstream and the local catchment
Increased algal growth rates
from non-hydropower related
activities

Reduced turbidity and increased light

Increased algal growth rates
penetration

Risks from impoundment stratification

Low dissolved oxygen in hypolimnion Hypolimnion becomes unavailable to fish and most
(bottom water) invertebrates, iron and manganese released from sediments

Low pH causes corrosion of hydropower infrastructure,

Low pH in hypolimnion hypolimnion becomes toxic to biota, and metals and nutrients
are released from sediments.

High concentrations of dissolved iron May cause deposition of iron and manganese on project
and manganese in hypolimnion infrastructure and in the riverbed and downstream.

High concentrations of toxic metals

Toxic metals may be taken up in biota and potentially passed
from natural or anthropogenic
up food chains and contaminate foods for humans
sources (e.g. mercury) in hypolimnion

High concentrations of sulphides May trigger algal blooms when impoundment water turns
(S2-) and nutrients (nitrogen and over when stratification breaks down – probably in December-
phosphorous) in hypolimnion January

Risks downstream of the dam

Rapid flow changes Rapid fluctuations in downstream water quality

50 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Altered water temperature Negative impacts on downstream biota

Reduced turbidity arising from

Increased algal and plant growth, impact on fish behaviour
settling of particulates

Reduced nutrient concentrations

Reduced nutrient availability to instream and floodplain biota
arising from settling of particulates

Gas supersaturation Fish deaths

Risks from impoundment stratification if bottom water is discharged downstream

Low dissolved oxygen arising from

Negative impacts on downstream biota
impoundment stratification

Low pH arising from impoundment

Negative impacts on downstream biota
stratification

High concentrations of reduced

metals (Iron and Manganese) arising Negative impacts on downstream habitat and biota
from impoundment stratification

High concentrations of toxic metals

leaching from impoundment Negative impacts on downstream biota, and potential impacts
sediments as a result of on humans consuming fish and other aquatic animals (OAAs)
impoundment stratification

Risks from sediment flushing

Downstream pulse of sediment Altered downstream sediment composition and concentrations

Downstream biota reduced through avoidance behaviour such

Downstream pulse of high turbidity
as invertebrate drift

Downstream pulse of low dissolved Downstream biota reduced through deaths and avoidance
oxygen behaviour such as invertebrate drift

Downstream biota reduced through deaths and avoidance

Downstream pulse of toxicants
behaviour such as invertebrate drift

121. When water is held in a dam, its condition will change, with potential changes including a
loss of suspended material, increased biological activity, and physico-chemical changes
such as heating by the sun. Some of these changes pose risks to dam operators, as well as
the river downstream.

Water Quality 51
122. Stratification risks are related to the transparency of the water, solar radiation, the
morphology of the impoundment, the inflow-to-storage ratio, location of the intake, and
nature of the catchment. Stratification occurs when cooler water sits below a thermocline
and warmer water forms a layer above it. Oxygen does not diffuse readily across the
thermocline, so the cooler bottom water, the hypolimnion, may become anaerobic, with
a low pH, and high concentrations of dissolved metals, such as iron and manganese, and
even toxic metals such as mercury, which dissolve out of the sediments. The following
should be considered:
• Risks are lower in shallow impoundments with high inflow-to-storage volume ratios,
however can increase in cascade settings where the progressive storage of water can
alter temperature regimes.
• Risks are higher in deep, large volume dams, with low inflow to storage ratios.
• Risks are higher in tropical reservoirs where strong thermal gradients may establish
rapidly.
123. Gas supersaturation is a condition that occurs when the partial pressures of atmospheric
gases in solution exceed their respective partial pressures in the atmosphere. It can occur
when water is exposed to air that is at higher than normal pressure in hydropower turbine
systems or dam spillways. When the sum of the partial pressures of all dissolved gases
exceeds atmospheric pressure, there is potential for gas bubbles to develop in water and in
the aquatic organisms that inhabit the water. This causes a condition known as gas bubble
disease, which can kill fish and invertebrates.

4.3 Pre-project monitoring and analyses

Guidance for monitoring

124. The monitoring approach for water quality should be shown in the PNPCA information to
be sufficient to inform design, to support modelling for impact prediction, and to help with
later impact evaluation. The guidance on monitoring locations and frequency, analytical
methods, quality assurance and assessment and reporting contained within the Technical
Guidelines should be referred to by developers. Clause 23 provides basic principles to guide
design of the overall monitoring network. The following clauses can be used as a guide, and
varied to suit project-specific conditions.
125. An overall design for data collection for evaluation of water quality risks and potential
impacts should be established during the project design stage to match the project site and
particular project data requirements. The following locations should be considered in order
to inform the analyses that are presented with the PNPCA information:
• Water quality monitoring sites should be established upstream of the maximum extent

52 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 of backwater of the impoundment, and at multiple sites downstream of the dam site in
line with the hydrologic monitoring sites (Section 2.3).
• Additional monitoring locations should be established, as applicable, within tributaries
entering the impoundment that provide more than 2% of the annual average Mekong
flow as determined upstream of the confluence.
• Additional monitoring locations should be established, as applicable, upstream and
downstream of the first tributary downstream of the dam that contributes more than
0.5% of the annual average Mekong flow at its confluence, to establish whether impacts
extend as far as the tributary, and the extent to which the tributary flows ameliorate any
impact.
• Additional monitoring locations should be considered upstream and downstream of
any locations on the river in the zone affected by the project (see Clause 20) where
known sub-standard water quality discharges exist, such as due to industrial activities,
so that project-related impacts will be able to be distinguished from other causes of
impact.
126. Project-specific water quality monitoring sites should be positioned so that the data sets
can benefit from interpretation from existing and longer-term water quality monitoring sites.
There is a substantial database on chemical water quality in the Mekong mainstream and
some major tributaries, with information extending back to 1985. Local conditions should
be able to be interpreted within the long-term larger-scale MRC data set.
127. The duration of water quality data collection should enable coverage of the full annual cycle
with low and high flows, as well as provide insight into inter-annual variability, which is
substantial in the Mekong and should be factored into project design. A common approach
to setting targets for water quality parameters is to establish a threshold equivalent to
the 80th percentile of the pre-project condition, which should be informed by two years of
monthly water quality samples. A two-year water quality data set should be submitted with
the PNPCA information so that targets could be set in this manner. This dataset may be
collected through at least one year of monthly site-specific monitoring extended with data
from other monitoring programmes; the MRC data are recommended due to its high quality.
The field data collection should continue through the pre-project period to capture more of
the inter-annual variability and be used to inform detailed design.
128. The parameters currently included in the MRC water quality monitoring programme should
guide those to be monitored during the pre-project stage, and thereafter, as shown in
Table 4.2. Additional parameters should be added, as required, during construction and
operations, as outlined in Section 4.5

Water Quality 53
 Table 4.2. Water quality parameters monitored by MRC Water Quality
Monitoring Network, 2018

Parameters only
Parameters monitored monthly throughout the year monitored between
April and October

Temperature Ammonium (NH4 -N) Calcium (Ca)

pH Nnitrite +nitrate (NO2-3 -N) Magnesium (Mg)

Conductivity (Salinity) Faecal coliforms Sodium (Na)

Alkalinity/acidity Total suspended solids (TSS) Potassium (K)

Dissolved oxygen (DO) Chemical oxygen demand (COD) (KMnO4) Sulphate (SO4)

Total phosphorous (TP) Biiochemical oxygen demand (BOD) Chloride (Cl)

Total nitrogen (TN)

* Selected sites only

129. To set up the water quality monitoring in a manner that will enable statistically significant
comparisons of changes during construction and operation with the pre-project conditions,
at each sampling location, a minimum of five water quality samples would be collected
across the surface of the river to capture variability during the first year. After one year of
sampling. the number of samples should be reviewed and a power analysis conducted to
determine the number of samples necessary to compare impacts post-project development.
Data analysis and impact prediction
130. The analysis of projected water quality impacts from mainstream hydropower projects
should consider the potential direct impacts associated with the proposed hydropower
project and take into account trends in water quality shown by the long-term MRC data.
Forward projections of water quality should be made and should be used to guide mitigation
strategies.
131. Analyses of the potential for stratification and for gas supersaturation should be undertaken,
taking into account considerations identified in clauses 122 and 123. These analyses may
benefit from the use of modelling at a degree of sophistication sufficient to establish if the
risk is prevalent or not.
132. The analyses of changes, impacts, and mitigation options for water quality should clearly
identify the residual impacts and document where these will occur in the river, in line with
Clauses 7 and 25.

54 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
4.4 Design and operational guidance

133. Mitigation options should be evaluated to determine which ones will best address identified
risks. The monitoring and analytical results and project information should be used to
evaluate the potential water quality risks associated with the project, and identify and
optimize appropriate mitigation measures. Mitigation options to address potential water
quality risks relating to mainstream dams are summarized in Table 4.3, together with
appropriate indicators to monitor and assess these risks. A number of these risks may not
apply to the project, and there may be additional risks that require consideration. These
mitigation measures are additional to those identified in the sections on hydrology and
hydraulics (Section 2), and sediment transport and geomorphology (Section 3). Additional
guidance on mitigation in the case that some of the key risks are prevalent is provided in
the clauses following Table 4.3.
Table 4.3. Mitigation options for water quality risks for mainstream dams

Water quality risk Indicator Management/mitigation measures

Construction risks

Sewage and
- Nutrient - Implement appropriate construction
contaminated run-off
concentrations techniques to minimize run-off.
from labour camps,
- faecal coliforms - Implement wastewater treatment for camps.
workshops, etc.

- Ensure that all storage and transfer areas

have appropriately bunding, with clean up
Fuel, oil, and chemical Total petroleum equipment onsite should spillages occur.
spills hydrocarbons Ensure that staff members are trained in
spillage control and appropriate clean-up
procedures.

Within the impoundment

Sewage and - Nutrient - Implement appropriate drainage systems to

contaminated runoff concentrations minimize run-off into the impoundment.
from riparian villages - faecal coliforms - Implement wastewater treatment for villages.

Increasing nutrient Increasing nutrient - Ongoing communication with the responsible

influx from upstream concentrations national agency and work with provincial and
and the local catchment and loads entering national agencies to promote good land and
from non-hydropower- impoundment (TN, TP, wastewater management practice throughout
related activities NH3+, etc.) the basin.

Water Quality 55
 Water quality risk Indicator Management/mitigation measures

Reduced turbidity - Photosynthetically

and increased light Active Radiation - Work with the responsible national agency
penetration, which can (PAR) penetration and catchment management groups to lower
lead to algal blooms nutrient inputs. If severe, treat chemically or
- Turbidity
and/or reservoir aerate to treat surface scums.
stratification - Chlorophyll levels

Risks from impoundment stratification

- Design low volume, high inflow

impoundments with lower risks of
stratification.
- Work with catchment groups and the
responsible national agency to minimize
Low dissolved oxygen organic loading to impoundment.
Water column profiles
in hypolimnion (bottom - Design high dimension turbine intakes to take
of dissolved oxygen
water) water into the power station over a range of
impoundment depths.
- Implement air injection in the turbine if low
dissolved oxygen levels are entering the
power house.
- Incorporate an aeration unit near dam.

Downstream risks

- Site projects upstream of unregulated

tributaries.
- Include intakes that extract water over a
Altered water
Water temperature range of depths.
temperature
- Include multilevel offtakes.
- Release surface water to mix with power
station discharge.

- Water temperature
- Turbidity
Rapid alterations in - Implement operating rules to restrict ramping
- Suspended solids
water quality rates and daily water level changes.
Conductivity
- pH

56 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Water quality risk Indicator Management/mitigation measures

- Maintain clean trash racks to minimize

turbulence and air entrainment at intake.
Gas supersaturation Gas saturation - Site projects in steep reaches to allow
degassing of outflow.
- Include spillway deflectors if risk is high.

Downstream risks from impoundment stratification

- Release water from surface spillways to mix

and dilute.
Low dissolved oxygen Dissolved oxygen
- Site projects in steep reaches to allow
reoxygenation via turbulence.

- Release water from surface spillways to mix

Low pH pH
and dilute and raise oxygen levels.

- Release water from surface spillways to mix,

High iron and
Iron and manganese dilute these elements and raise oxygen levels,
manganese
and to cause metals to precipitate

Risks from sediment flushing

- Limit sediment concentrations during

flushing by managing flows and draw-down
Downstream pulse of Total suspended solid
rates.
high turbidity concentration
- Flush frequently to avoid large sediment
loads being flushed sporadically.

- Release water from surface spillways to mix

Downstream pulse of
Dissolved oxygen and dilute. Implement measures to reduce
low dissolved oxygen
stratification

Downstream pulse of - Release water from surface spillways to mix

Iron and manganese
toxicants and dilute

134. Environmental management plans for the construction period should be developed that
identify the construction water quality control practices to be implemented to reduce
sediment and contaminated water runoff, and the control practices for spillages of
chemicals such as fuels, lubricants, and additives.
135. Management of water quality within the impoundment is important. Water in the
impoundment will provide a potential resource for local people who may relocate to gain

Water Quality 57
 better access. People settling near the reservoir constitute a potential risk to the water
quality and are also at risk if the water quality deteriorates. Particular risk factors are
pathogens in the water and possible parasites arising because of below-standard sanitation
in riparian communities and lack of alternative clean water sources. Below-standard water
quality within the reservoir also constitutes a risk to the river downstream.
136. Identification and management of stratification should be a high priority. If recognized
as a high risk, multi-level offtakes or other infrastructure should be considered, and
appropriate operating rules applied, so that water released is at an appropriate temperature
and chemical composition. If there are uncertainties about the formation of stratification
and its consequent effects, then the design of the project should enable later retrofit of
destratification mitigation approaches.
137. If stratification occurs and is a source of harm, and if multilevel offtakes are unavailable
or cannot be deployed to address the issues, then destratification technologies should be
considered to ensure suitable downstream water quality, as follows:
• It is not usually necessary to destratify the entire impoundment, only the water adjacent
to the outflow sites to ensure that the outflowing water is oxygenated, has circumneutral
pH, and is not enriched with reduced metals.
• There are a number of different destratification technologies that may be suitable,
including pneumatic and hydraulic diffusers that can be installed on the bottom of the
impoundment, propellers that can be installed within the water column, and impellers
and hydraulic jets that may be installed on the impoundment surface.
• In the case of hydropower impoundments, pneumatic bubble plume systems are often
favoured because the complex equipment, the air compressor, is operated from the
surface and thus easy to service, the system is easily installed and relatively cheap,
and power for operation is normally available onsite. The technique is only effective
for dams where the water depth is greater than 5 m, and surface aeration techniques
would be most suitable for shallower water bodies. There are a number of models that
may be used in order to select the most appropriate destratification technique for any
particular impoundment.
138. Rapid flow changes from the impoundment, either resulting from typical or atypical
operations, can result in rapid changes in downstream water quality if the quality of the water
being suddenly released differs from that usually released. This is especially applicable to
water temperature. Rapid changes in water quality may result in deaths or emigration of
aquatic biota from the area affected. In the case of the Mekong dams, virtually all the water
downstream of the dam as far as the next substantial tributary will be water that has passed
through the dam. Mitigation approaches include the following:

58 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • Apply operating rules that limit up- and down-ramping rates as well as water level
fluctuations.
• Site projects so that downstream turbulence will allow rapid equilibration of water
temperature and dissolved oxygen to ambient conditions.
• Under some scenarios, the use of a downstream water retention pondage may be
warranted to allow time for equilibration of the chemical change. Note that the furthest
downstream impoundment in a cascade can be operated as a re-regulation pond if
required.
139. If gas supersaturation is an identified risk for the project, the most practical and effective
mitigation strategy is to design spillways and outflow channels with flow deflectors or “flip
lips”, which divert the spilled water to the surface of the tail water rather than allowing it
to plunge to the bottom of the stilling basin. Other measures applicable where a surface
spillway is absent include:
• maintaining clean trash racks to minimize turbulence and air entrainment in the intake;
and
• siting of projects such that the discharge is subjected to turbulence to allow de-gassing
of the water.
140. Water quality risks associated with sediment flushing (Clause 107) include elevated
concentrations of suspended solids, elevated nutrients, and potentially below-standard
water quality if the impoundment is stratified, or if sediment pore water quality is of low
standard. Water quality considerations and mitigation measures during flushing include:
• Avoid flushing during base flow periods when natural river suspended solids levels are
low and stratification risks are high.
• Implement maximum sediment concentration limits during flushing and releasing
large volumes of surface water during and following sediment flushing to dilute
concentrations and transport material downstream.
• Implement sediment flushing early in the monsoon season so subsequent high flows
continue to transport sediment downstream.
• Consider dredging and land-based disposal if downstream water quality risks outweigh
the benefits of sediment release.

Water Quality 59
4.5 Project monitoring and adaptive management

141. Plans for project monitoring of water quality presented in the PNPCA information should
take into account the guidance in Clause 26. The PNPCA information should demonstrate
that plans for water quality monitoring information to be collected during construction and
operation will inform:
• developers’ needs regarding water quality management; and
• indicators that may signal a need for adaptive management responses to water quality-
related mitigation measures.
142. The monitoring programme described in Section 4.3 should be conducted during the
construction and operation stages, and adapted where needed to better inform construction
and operation stage information requirements for management. Indicators shown in Table
4.3 should be included to assess the particular risks and mitigation options applicable from
that table.
143. Construction stage water quality risks will be highly relevant to all projects, and the
construction stage water quality monitoring should be closely focussed on those risks.
Total petroleum hydrocarbons should be included in the parameter list in relation to fuel,
oil or chemical spills, and nutrient concentrations and faecal coliforms should be used to
indicate sewage or contaminated run-off from the construction site.
144. During the operation stage, water quality monitoring should continue at a monthly
frequency at monitoring sites upstream and downstream of the impoundment, and within
the impoundment. At sites located within the impoundment, water quality samples should
be collected from multiple depths at each monitoring site to identify if stratification is
occurring.
145. Water quality sampling programmes downstream to assess dam impact need to be adaptive,
and an increase in sampling frequency may be warranted if water quality conditions pose
a risk to the ecosystem or local or downstream users. The plans for project water quality
monitoring included with the PNPCA information should consider events, thresholds, and
potential management responses, so that any necessary design considerations can be
incorporated into the project. The following are some examples of events that may warrant
increasing monitoring include:
• stratification of the impoundment resulting in the release of de-oxygenated water to the
downstream river;
• a water quality incident such as a fuel spill that can impact users; and
• the occurrence of a toxic algal bloom.

60 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
146. Results of water quality monitoring should be compared to national standards and also
the water quality targets contained within the TGPWQ. Some specific thresholds that are
recommended for the projects as indicators of the need for management responses are as
follows:
• Temperature of the released water should be no more than 3°C warmer or colder than
the river water upstream of the impoundment.
• The concentration of dissolved gasses, such as oxygen, in the tailrace should not
exceed 110% of saturation at the appropriate temperature and salinity.
• Results exceed the national and/or TGPWQ in 20% or more of monthly samples
collected over a period of two years.
147. Where thresholds are exceeded, plans should show that investigations on the cause of the
issue and potential remedial action would be commenced, and identify the decision-making
process and pathway for action commencement as per Clause 27. These investigations
and actions may require the involvement or be the responsibility of the responsible national
agency if the source of the water quality exceedance is not related to hydropower.
148. The following parameters and locations can be added to the monitoring programme if
needed:
• iron and manganese monitored downstream in order to assess the risk of downstream
release and deposition associated with sediment flushing, and in the case that the
reservoir stratifies;
• chlorophyll monitored monthly to provide an indication of algal growth linked to excess
nutrient inputs, which may be coming from the construction site or from surrounding
land uses. Cyanobacteria (blue-green algae) should also be assessed if chlorophyll
concentrations exceed 5 µg/L;
• faecal coliforms collected on a monthly basis, with more frequent monitoring if levels
exceed World Health Organization (WHO, 2003) guideline values for recreational waters
(95% of enteric bacterial counts < 40). Samples should be collected at the same sites
in the impoundment as chlorophyll, with additional samples collected 3–5 m from the
water’s edge in locations where there are human settlements within 1 km;
• vertical profiles of temperature, conductivity and dissolved oxygen in the impoundment
at least monthly to detect any stratification trends. If stratification is a risk for the
impoundment, profiles should be collected at approximately equidistant locations
along the impoundment length, with one site located close to the dam wall to detect
and document the temporal and spatial extent, and strength of, stratification; and
• A measure of light penetration or water transparency at the surface of each impoundment

Water Quality 61
 monitoring location, preferably using a Photosynthetically Active Radiation (PAR) meter
or a turbidity meter. Turbidity should be determined on samples collected at depth.
149. If significant water quality concerns persist, consideration should be given to the installation
of permanent continuous water quality probes at the inflow to the impoundment and
downstream of the dam site. These could record temperature, conductivity, turbidity and
dissolved oxygen and provide a continuous record of net water quality changes, whilst
management measures could be tested for effectiveness.

62 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 5
Aquatic Ecology

Aquatic Ecology 63
5 AQUATIC ECOLOGY

5.1 Objectives

150. The objectives for aquatic ecology are:

• Protect and conserve aquatic habitats as far as practicable during the development
and operation of mainstream dams.
• Minimize the impacts of the construction and operation of hydropower dams on the
aquatic ecology and ecosystems of the lower Mekong River system.
• Reduce the risks of the proliferation of pests, parasites or diseases within aquatic
ecosystems in hydropower impoundments on the Mekong mainstream.
• Sustain aquatic ecosystems reliant on the flow regimes of the river.

5.2 Risks

151. In the context of this Guidance, aquatic ecology encompasses primarily the biota of
rivers other than fish, and biological processes such as primary production and nutrient
spiralling. Food webs in large rivers such as the Mekong derive most of their energy from
algae floating in the water, and a lesser amount from organic material washed in from the
terrestrial systems. Invertebrates such as insects, snails, mussels and crustaceans feed on
algae and organic material, and invertebrates, in turn, form much of the food for fish and
other large consumers including frogs and turtles. Mekong dolphins in turn feed on the fish.
If the aquatic ecosystem is damaged, the impacts pass through the food web, altering the
numbers and the species of all those organisms.
152. People consume items from every step of the food chain including algae, invertebrates, fish,
frogs and turtles. These organisms comprise the OAAs, or Other Aquatic Animals, which
are included in fisheries catch data. In fact the name OAA is unfortunate, because the algae
consumed by people is also included and is a plant rather than an animal.
153. The Mekong River supports a number of species considered to be of conservation
significance, including species such as the Mekong dolphin (Orcaella brevirostris), the
Asian giant softshell turtle (Pelochelys cantorii) and the Asiatic softshell turtle (Amydia
cartilaginea) which are listed by International Union for Conservation of Nature (IUCN) as
critically endangered, endangered and vulnerable respectively. All the IUCN listed species
have seen population declines arising from a number of factors including habitat degradation
and loss, harvesting and a reduction in food availability. Existing impoundments have

64 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 been one contributing factor, and construction of additional impoundments will add to the
pressure on these species by obstructing movements, reducing key habitats and reducing
the availability of foods such as invertebrates and fish. Because rivers are linear connected
systems it is not possible to designate effective protected areas for riverine species unless
the protected area encompasses an entire catchment or sub-catchment.
154. Potential risks to aquatic ecology should be comprehensively assessed. Table 5.1 provides
a summary of potential risks that can arise to aquatic species and habitats with the
development and operation of mainstream dams. The degree to which any of these may
be experienced depends on project configuration and operations. These risks should be
evaluated to see which may be relevant to any individual project.
Table 5.1. Potential aquatic ecology risks associated with mainstream dams

Risk Consequences/comments

Within the impoundment

Aquatic species and the related eco-systems, that are reliant on

Loss of lotic habitat
flowing water, are degraded.

Occurrence of toxic algal This may occur if nutrient levels, and especially phosphorus levels,
blooms become too high

Infestations of invasive Water hyacinth, Salvinia, and water cabbage all occur in the basin and
plants all have caused major problems in impoundments elsewhere.

Infestations of invasive Golden apple snail and several fish species occur in the basin and
animals have caused problems elsewhere in southeast Asia.

Sand bars in the river are important as breeding habitat for a number
Loss of sand bars
of turtle and bird species.

Malaria and schistosomiasis are not expected to become problems,

Increases in parasite load of
but fascioliasis (liver fluke, lung worm and heart worm) incidence is
local human populations
likely to increase if people consume raw fish.

Deep holes along the Mekong mainstream, if inundated within

an impoundment, will stratify and eventually fill with sediment,
Loss of deep holes
resulting in a loss of habitat to aquatic organisms dependent on the
environmental conditions provided by deep holes..

Downstream of the impoundment

Barrier to movement of Ecosystem food chains are impacted by water downstream that is
nutrients low in nutrients.

Aquatic Ecology 65
 Risk Consequences/comments

Barrier to movement of Ecosystem food chains are impacted by water downstream having
carbon reduced fine particulate carbon.

Migratory turtles, dolphins, crustacea, molluscs and some insects

Barrier to movement of biota
may be unable to colonise upstream reaches.

Benthic community degraded The reasons for benthic community impact are uncertain,
as least as far as the next but probably a cumulative result from changes in riverbed
substantial tributary geomorphology, water quality and flow patterns.

Altered river water This may exceed thermal tolerances of biota and may cause oxygen
temperature downstream of levels to be reduced below the tolerances, both of which will cause
dam biota to die or drift away.

Below-standard water quality This may cause death or drift of biota and deposition of iron or
downstream of dam manganese may render habitat unsuitable to biota for many years.

Channel elements provide habitat on which the biota depend.

Changes to downstream
Changes in the extent of fine sediments, sand bars, cobble bars, and
channel morphology
bedrock will alter the mix of organisms able to live in a stretch of river.

Changes to downstream flows

Increased short-term Littoral fauna may be stranded, and littoral algae have insufficient
variation in river levels time to develop, reducing availability of grazing invertebrates and fish.

This may reduce the reproductive success of biota that breed in the
Increased dry season flow
dry season and decrease the availability of riparian habitat.

This will decrease floodplain contributions (carbon, energy and

Decreased wet season flow
nutrients) to the river, which in turn will impact biota.

This may interfere with the reproduction of species that breed during
Delay to flood season flows
the flood season.

This may interfere with the reproduction of species that breed during
Delay to dry season flows
the dry season.

Downstream geomorphology
(habitat) altered as a The altered habitat, i.e. changes in the proportion of sand, gravel,
consequence of changed cobbles or boulders, will alter the biota present.
flow regime

66 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Changes to floodplains

Reduction in area of riparian

This will reduce the production and reproduction of plants,
and floodplain inundation
invertebrates, and fish in the areas affected.
(including mangroves)

Reduction in period of
This will reduce the production and reproduction of plants,
riparian and floodplain
invertebrates, and fish in affected areas.
inundation

Change in timing of
This may lead to reduced reproduction of plants, invertebrates, and
floodplain and riparian
fish in affected areas.
inundation

Reduction in nutrient load to This will reduce productivity in both floodplain wetlands and seasonal
the floodplain terrestrial systems.

155. In addition to risks from the project development and operations on the existing aquatic
ecology of the Mekong River, some aquatic ecology-related risks may arise during the
operations stage for which the owner/operator of a mainstream dam may need to develop
or contribute to management measures. These risks may influence considerations relating
to project design or planning for operations, hence should be included in a risk assessment:
• Blooms of cyanobacteria (blue-green algae) may occur within the future impoundment
if nutrient levels are high and turbidity low. Many cyanobacteria can produce toxins
which can affect fish, invertebrates and stock or humans that drink the water.
• Three aquatic plants – Eichornia crassipes (water hyacinth), Salvinia molesta (water
fern) and Pistia stratiotes (water cabbage or water lettuce) – are known pest species
that can affect impoundments. Although these are not native to the Mekong basin, are
all known to occur occasionally in dense growths on Mekong basin water bodies. All
three have caused problems in tropical impoundments in other regions, such as Africa
and Australia.
• Increases in parasite loads to human populations may occur in relation to changes in
consumption patterns of fish and other aquatic animals (OAAs).

5.3 Pre-project monitoring and analyses

Guidance on monitoring
156. The monitoring approach for aquatic ecology should be shown in the PNPCA information

Aquatic Ecology 67
 to be sufficient to inform design, to support modelling for impact prediction, and to help
with later impact evaluation. Clause 23 provides basic principles to guide design of the
overall monitoring network. The following clauses can be used as a guide, and varied to suit
project-specific conditions.
157. An overall design for data collection for evaluation of aquatic ecology risks and potential
impacts should be established and described in the PNPCA information. Because aquatic
ecology is an important indicator of river health, which may be a factor influencing trends
for fish and livelihoods, it is important to understand changes that are occurring due to
the project or other influences. The monitoring design should be set up for the pre-project
sampling so that post-development monitoring can make valid comparisons against pre-
project conditions, as well as adequately inform risk identification and mitigation planning.
To have robust comparisons, sufficient pre-project data would need to be collected so that
statistically significant comparisons post-project can be made (see Section 5.5).
158. Monitoring locations for aquatic ecology should be established within the future
impoundment, as well as both upstream and downstream. A good design for pre-project
riverine sampling locations may include:
• two monitoring sites upstream of the future impoundment;
• one monitoring site within the future impoundment;
• an array of at least three monitoring sites downstream of the future dam, extending
over a distance of at least 10 km. The location of sites should seek to coincide with the
general monitoring locations for other disciplines where possible; and
• a site upstream and a site downstream of the confluence with the first tributary
contributing >2% of average annual flow downstream of the dam.
159. The MRC bioassessment protocols and indices (e.g. see MRC, 2010, 2009b) should be used
for biological assessments in the river upstream and downstream of impoundments. These
have been developed specifically for the Mekong system based on several years of sampling
and investigation, they are thoroughly documented, and they are known to be effective. The
bioassessment protocols and indices with equivalent function may be proposed
160. The assessment should include the existing MRC indicators plus some additions as shown
in Table 5.2. Phytoplankton could best be monitored using a fluorometric field instrument,
some of which also allow algal groups (such as cyanobacteria) to be monitored. Appropriate
quality assurance procedures should be put in place, particularly for the invertebrate
identifications.

68 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Table 5.2. Proposed aquatic ecology indicators to be monitored pre-project

Littoral invertebrates

Benthic invertebrates

Zooplankton

Littoral diatoms

Phytoplankton chlorophyll

Algal groups (such as cyanobacteria)

161. The duration of aquatic ecology data collection should cover two years in order to establish
a baseline for later comparison. Two years is important for aquatic ecology data because
only one season is able to be sampled each year (see Clause 162) and to provide insight
into inter-annual variability, which is substantial in the Mekong.
162. Biological sampling should be conducted twice during the low flow period, because of the
following constraints in sampling feasibility under high flow conditions:
• In the Mekong, there is a very large variation in discharge between wet and dry seasons,
which in turn is reflected in the change in water level. For example, the water level at
Vientiane is almost 10 m higher in the wet season than the dry season.
• In the wet season, sampling from a boat would be quite dangerous because of the large
logs and trees being carried downstream. The speed of the current makes it impossible
to lower a grab to the river bed to obtain a sample.
• For edge sampling, the large rise in water level amounts to a change of about 35 cm
per day; i.e. invertebrates in the habitat in the 1-m depth of water at the edge of the river
will only have had up to three days to colonize as water level rises, so samples are more
likely to reflect colonizing ability than responses to habitat and water quality.
• sampling in the low flow season only is possible in the Mekong where temperature
changes between seasons are not significant. This contrasts with temperate regions
where biological monitoring of rivers is normally conducted in multiple seasons. This
is partly because in temperate regions, the life cycles of many of the organisms are
seasonally adapted to the changing temperatures.
163. Comparisons from the pre-project monitoring results should be made with existing data
and index calculations from across the basin. This should include comparisons with the
MRC bioassessment data from the closest MRC monitoring sites to the project.

Aquatic Ecology 69
Impact prediction
164. Pre-project data should be analysed to look at species composition and habitat preferences,
so that projections can be made as to the types of impacts to expect based on the modelled
results for changes to hydrology and hydraulics (see Section 2).
165. Impact predictions regarding flows, water quality and sediments should be used to inform
assessments of the degree of risk to aquatic habitats, species and ecological processes,
and to identify any particularly vulnerable areas. The degree of hydrological change to
downstream flows should be used to inform evaluations of the degree of any risks to
seasonal flow regimes and to floodplains (see further in Clause 169 on application of a
suitable model).
166. Important habitat areas should be identified based on the pre-project surveys, so that the
assessments can evaluate if there are any mitigation measures that could help minimize
impacts.
167. The location of the future impoundment in relation to deep pools in the Mekong River should
be checked on the maps produced by the MRC.
168. The analyses of changes, impacts and mitigation options for aquatic ecology should clearly
identify the residual impacts and document where these will occur in the river, in line with
Clauses 7 and 25.
169. Suitable basin scale models should be used to predict impacts and assess mitigation options.
The developer may apply the Downstream Response to Imposed Flow Transformations
(DRIFT), the ecological systems analysis tool used in the MRC Council Study model for
the lower Mekong mainstream, as was used in the MRC Council Study (MRC, 2018b) to
evaluate cumulative impacts and inform development of Cascade Joint Operating Rules.
An equivalent analytical approach and function may be proposed, as follows:
• The analytical approach should link flows with geomorphology, water quality,
aquatic ecology and fisheries, inter alia, for the eight different zones along the river,
corresponding to geomorphological zones.
• The analysis should test a range of possible operating rules and allow an assessment
of which operating procedures will cause the least impact on the river.
• The analytical approach output should be used to inform decision-makers about
the trade-offs of different dam configurations and operating regimes against the
environmental values considered, and should guide development of Cascade Joint
Operating Rules.

70 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
5.4 Design and operational guidance

170. Mitigation options should be evaluated to determine which ones will best address identified
risks. Table 5.3 identifies mitigation options that should be considered to address risks
relevant to the project These are in addition to the mitigation options identified in the
sections on hydrology and hydraulics (Section 2), sediment transport and geomorphology
(Section 3), and water quality (Section 4). The mitigation approaches for these other
disciplines in many cases will also benefit the aquatic ecology objectives. Not all of these
mitigation measures would be expected to be delivered by the developer; some, such as
catchment protection, would need to be undertaken by National or Provincial Agencies,
and others may require a cooperative approach between the project and other institutions.
Table 5.3. Mitigation options for aquatic ecology risks for mainstream dams

Risk Mitigation options

Ensure that local sources of nutrients, especially phosphorus,

Occurrence of toxic algal
are controlled. Encourage control of upstream nutrient sources,
blooms in the impoundment
destratification may also help control algal blooms

Monitor occurrence of macrophytes and potential pest species

Infestations of invasive plant
within the impoundment to ensure early detection. Physical
and animal species in the
removal, biological control or chemical control are the preferred
impoundment
mitigation strategies in order of preference.

Monitor impoundment for microbial indicators (e.g. faecal

coliforms).
Increases in public health risks
Ensure a good liaison with local health authorities so that the
related to the impoundment
owner/operator will know if public health issues are arising that
are caused or exacerbated by the impoundment.

Avoid locating impoundments on stretches of river containing

Loss of deep hole habitats
deep holes.

Barrier to movement of
Construct an impoundment bypass if possible.
nutrients, carbon and biota

Seek to locate impoundments immediately upstream of

Benthic community degradation
substantial tributaries and to reduce the length of river impacted.

Increased dry season flow,

Apply Cascade Joint Operating Rules and Project-Specific
decreased wet season flow,
Operating Rules, governing impoundment and discharge
and/or delay in timing of
management by the project
seasonal flows

Aquatic Ecology 71
 Apply Cascade Joint Operating Rules and Project-Specific
Reduction in area and/or timing Operating Rules, governing impoundment and discharge
of floodplain inundation, and management by the project.
nutrient loads affecting to In suitable locations, floodplain waterbodies may be managed by
habitats and lifecycle of other providing pumped water or construction of floodways to increase
aquatic animals (OAAs). wet season inundation, or bunds to allow retention of water for
longer periods at the end of the flood season.

171. Even if operations are very well-coordinated to manage downstream flows and floodplain
inundation, a cascade of mainstream dams will cause a larger cumulative impact to the
aquatic ecology of the downstream river than the sum of the individual impacts of a number
of dams, because a much larger proportion of the fluvial habitat will be lost.
172. Project-Specific Operating Rules should be developed in line with the Cascade Joint
Operating Rules, to address more local area aquatic ecological objectives and ensure
operations take into consideration important focal areas for mitigation measures.

5.5 Project monitoring and adaptive management

173. Plans for project monitoring of aquatic ecology should take into account the guidance in
Clause 26. The PNPCA information should demonstrate that plans for aquatic ecology
monitoring information to be collected during construction and operation will inform
indicators that may signal a need for adaptive management responses to aquatic ecology
related mitigation measures.
174. The monitoring programme described in Section 5.3 should be continued during the
construction and operation stages, and adapted where needed to better inform construction
and operation stage information requirements for management.
175. For comparisons of aquatic ecology in the project area of influence with the pre-project
conditions, the following considerations apply:
• Sufficient post-project sampling should be undertaken to enable statistical detection of
changes compared to pre-project.
• The presence and size of impact on the aquatic ecosystems by the project should be
assessed by comparing index values both from pre- and post-construction, and also
from upstream and downstream sites.
• The species list data from sampling should provide a series of multivariate data sets
that can be compared using Multivariate Analysis of Variance (MANOVA) and testing
for the statistical significance of differences in ordination space.

72 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • Examination of the data to assess whether any particular species groups have
markedly altered in presence or abundance may be a valuable way to determine which
operational factors may have been mainly responsible for the changes found.
176. Monitoring within the impoundment during construction and operation may be coordinated
with water quality sampling locations, and should include additional parameters listed
below.
• Chlorophyll - as outlined in Section 4.5, with results should be interpreted by aquatic
ecologists
• Faecal coliforms - as outlined in Section 4.5.
• Macrophyte growth - In impoundments and on impoundment banks should be checked
at least annually and monitored more frequently should they become abundant, and
• Presence of pest animal species - Checks should be conducted at least annually, as for
macrophytes.
177. Monitoring plans submitted with the PNPCA information should show that both riverine
and impoundment monitoring results will be reviewed annually, and should identify the
decision-making process that will be used to identify and implement management actions
to be taken if risks or impacts are evident from the monitoring results, as per Clause 27.

Aquatic Ecology 73
 6
Fish and
Fisheries

74 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
6 FISH AND FISHERIES

6.1 Objectives

178. The objectives for fish and fisheries are:

• Maintain fisheries and other aquatic animal (OAA) yields and fish diversity sufficient to
sustain the food, livelihoods and ecological integrity of the LMB.
• Minimize the impact of dam construction and operation on upstream migration of fish
species through design of appropriate fish passage facilities, where necessary.
• Minimize the impact of dam construction and operation on downstream movement of
fish species through design of appropriate operational regimes, fish passage facilities,
fish guidance systems, and appropriate turbine designs.
• Minimize fish and fisheries impacts arising from changes in the flow regime downstream
of the dam, in the impoundment, and upstream.
• Mitigate impacts of individual and multiple mainstream dams on local and transboundary
fish and fisheries, and OAAs.
179. There are no MRC procedures that relate directly to fisheries or aquatic biodiversity and
management. The importance of fisheries and aquatic ecology is recognized by the
Member Countries cooperating through the Fisheries Abundance and Diversity Monitoring
Programme, and the topics of fisheries and aquatic biodiversity being included as themes
within the MRC Initiative for Sustainable Hydropower Studies (MRC, 2014) and in other
published MRC studies.

6.2 Risks

180. The Mekong supports the world’s largest inland fishery, and mainstream dam developments
pose direct and indirect risks in addition to those already being experienced through
tributary dam developments.
181. Significant impacts from mainstream dam developments on fish populations are highly
likely, including the loss of some species (locally, regionally, or basin-wide). Major declines
in the fisheries could flow on from this, with potential consequences for food security,
nutrition, livelihoods, biodiversity, and ecosystem resilience.
182. In large species-rich systems such as the Mekong, it is difficult to assess the impact of
any major development at the species level, thus the fish species should be classified into

Fish and Fisheries 75

 categories or guilds that have similar habitat needs and migratory behaviours (Welcomme
et al, 2006) (Table 6.1). An additional group – non-native species – should be reported
because it is expected that it will benefit from any degradation of habitat and replace lost
species, possibly to the detriment of wild fisheries. Those guilds that are likely to experience
high to very high impacts from mainstream dams (Guilds 2, 3, 8, and 9) are shaded in Table
6.1. Box 6.1 provides the indicator groups and/or species associated with each guild.
Table 6.1. Mekong fish guilds and migration

Migratory Relative impact of Relative effect of change

Guild and Typical characteristics mainstream dams in flow regime on fish
number on migration production

Little or no impact from

Little or no impact
mainstream dams. However,
from mainstream
1 - Rhithron - Resident in rapids torrents, there may be high impact
dams (but note,
resident rocky areas and pools in the within upland storage dams
potentially high
guild rhithron. due to possible exposure of
in upland storage
riffle areas and inundation of
dams)
habitats upstream.

- Long-distance migrants
spawning in the main channel
(sometimes in upper zone
of the Mekong (Figure 6.1)
upstream of adult feeding
habitat in the main channel.
2 - Migratory
High: flow variation may
main - May migrate to refuges (deep
affect the passability at
channel (and pools) in the main channel
Very high Khone falls and other natural
tributaries) during the dry season.
barriers and delayed flooding
resident - Pelagophilic members have
disrupt migratory cues
guild drifting pelagic egg or larval
stages returning to adult habitat
using backwaters and slacks as
nurseries.
- Adults do not enter floodplain
and may be piscivorous.

76 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Migratory Relative impact of Relative effect of change
Guild and Typical characteristics mainstream dams in flow regime on fish
number on migration production

- Spawn in the main channel,

tributaries, or margins upstream
of floodplain feeding and
3 - Migratory nursery habitat often with Very high: loss of
main pelagic egg or larval stages. connectivity and flooding
channel Very high
- Adults and drifting larvae return of spawning and nursery
spawner
to floodplains to feed. habitat
guild
- May migrate to refuges (deep
pools) in the main channel
during the dry season.

- Migrates from floodplain

feeding and spawning habitat
4 - Migratory to refuges (deep pools) in the
main main channel during the dry High: loss of connectivity
channel season. Medium and flooding of spawning
refuge - Spawning occurs on the and nursery habitat
seeker guild floodplain and main channel
used as refuge during dry
season.

- Limited non-critical migrations

in mainstream.
5- Medium: loss of connectivity
- Highly adaptable, mobile, and
Generalist Little or no impact and reduced flooding of
static elements in their genome
guild floodplain
rendering them highly adaptable
to habitat modification.

- Limited migrations between

6- floodplains pools, river margins,
Floodplain swamps, and inundated Medium: loss of connectivity
resident floodplains. Little or no impact and reduced flooding of
guild - Tolerant to low oxygen floodplain
(Blackfish) concentrations or complete
anoxia.

Fish and Fisheries 77

 Migratory Relative impact of Relative effect of change
Guild and Typical characteristics mainstream dams in flow regime on fish
number on migration production

Little impact (if

dam is upstream
7 - Estuarine - Limited migrations within the of estuary
resident estuary in response to daily and and does not Little or no impact
guild seasonal variations in salinity. influence salinity
dynamics in
estuary).

- Enters fresh/brackish waters

to breed. High (for dams
8 - Anadro- - Enters freshwaters as larvae/ located in river
Little or no impact
mous guild juveniles to use the area as mouths or lower
a nursery, either obligate or potamon).
opportunistic.

- Reproduction, early feeding, and

growth at sea. Very high: loss of
9 - Catadro-
- Juvenile or sub-adult migration Very high connectivity to feeding and
mous guild
to freshwater habitat, often nursery habitat
penetrating far upstream.

10 - Marine - Enters estuaries

Little or no impact Little or no impact
visitor guild opportunistically.

78 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Box 6.1. Indicator groups and/or species for Mekong fish guilds

Guild 1 - Rhithron resident guild: Notopteridae: Chitala blanci (main channel with rocky
only); Cyprinidae: Gara spp., Brachydanio spp., Devario spp., Poropuntius spp., Tor spp.,
Neolissocheilus spp., Osteochilus waandersii, Raiamas guttatus, Opsarius spp., Lobocheiros
spp., Onychostoma spp.(Lao PDR), Scaphidonuchthys acanthopterus (Lao PDR), Mekongina
erythrospila (Stuntreng-3S, Lao PDR), Mystacoleucus spp.; Balitoridae: all species (e.g.
Homaloptera spp., Balitora spp.); Nemacheilidae: all species (eg. Nemacheilus spp., Schistura
spp.); Akysidae: all species (e.g. Akysis spp., Pseudobagarius spp.); Sisoridae: Gryptothorax
spp., Bagarius spp. (main channel); Datnioididae: Datnioides undecimradiatus (main channel
only); Channidae: Channa gachua, Osphronemidae: Osphronemus exodon; Gobiidae:
Rhinogobius mekongianus (above Stuntreng); Tetraodontidae: Pao baileyi (main channel
only), P. turgidus.
Guild 2 - Migratory main channel (and tributaries) resident guild: Cyprinidae: Cirrhinus
microlepis, Cyclocheilos enoplos, Cosmochirus harmandi, Probarbus jullieni; Pangasiidae:
Pangasianodon hypophthalmus (all places), Pangasius larnardii (all places), P. mekongensis,
P. bocourti (except TS system), P. concophilus (except the TS system).
Guild 3 - Migratory main channel spawner guild: Clupeidae: Clupeichthys aesarnensis
(all places), Clupeoides borneensis (all places), Corica laciniata (DT-PP-TS); Cyprinidae:
Cirrhinus prosemion, C. jullieni, Hypsibarbus spp., Puntioplites falcifer (above Kratie), P.
proctozysron (below Kratie tol DT), Labeo chrysophekadion, L. pierrei, Sikukia spp., Incisilabeo
behri, Scaphognathops spp. (above Kratie), Barbichthys laevis, Leptobarbus rubripinna,
Amblyrhynchichthys micracanthus, Botiidae: all species (Syncrossus spp., Yasuhikotakia spp.);
Pangasiidae: Pangasius macronema, Pseudolais pleurotaenia, Helicophagus leptorhynchus,
Siluridae: Walago attu, Phalacronotus spp., Kryptopterus spp.; Bagridae: Hemibagrus spp.;
Cobitidae: Acantopsis spp., Acanthopsoides spp. (prefers sandy bottom); Gyrinocheilidae: all
species; Tetraodontidae: Auriglobus nefastus.
Guild 4 - Migratory main channel refuge seeker guild: Cyprinidae: Barbonymus altus, B.
schwanefeldii , Cyclocheilichthys spp., Rasbora spp., Paralaubuca spp., Parachela spp.,
Thynnichthys thynnoides; Cobitidae: Pangio spp.; Siluridae: Ompok siluroides; Bagridae:
Mystus spp.; Pristolepididae: Pristolepis fasciata; Ambassidae: Parambassis wolfii, P.
apogonoides; Sciaenidae: Boesemania microlepis (d/s Stuntreng common, (above Khone
Falls very rare now); Tetraodontidae: Pao cambodgiensis, P. suvattii (above Khone Falls only)

Fish and Fisheries 79

 Guild 5 - Generalist guild: Notopteridae: Notopterus notopterus, Chitala ornata; Cyprinidae:
Gymnostomus (Henichorynchus) spp., Barbonymus gonionotus, Systomus orphoides,
Crossocheirus spp. Osteochirus vittatus, O. microcephalus, Hampala spp., Labiobarbus
spp., Cyclocheilichthys spp.; Syngnathidae: Doryichthys boaja (below Kratie to DT-TS),
D. deokhatoides (below Kratie to DT-TS), D. contiguus (confirmed between Vientiane-
Ubonratchathani, does not exist below Khone Falls), Mastacembelidae: Mastacembelus spp.
(e.g. M. favus, M. armatus); Ambassidae: Parambassis siamensis; Eleotridae: Oxyeleotris
marmorata.
Guild 6 - Floodplain resident guild (Blackfish): Cyprinidae: Esomus spp.; Cobitidae:
Lepidocephalichthys hasselti; Clariidae: all species (e.g. C. macrocephalus, C. cf batrachus);
Adrianichtyidae: Oryzias siamensis, O. minutillus; Hemiramphidae: Dermogenys siamensis,
Channidae: Channa striata, C. lucius; Anabantidae: Anabas testudineus; Osphronemidae:
Trichopodus spp., Trichopsis spp; Synbranchidae: Monopterus albus; Mastacembelidae:
Macrognathus spp.; Tetraodontidae: Pao cochinchinensis.
Guild 7 - Estuarine resident guild: Plotocidae: Plotosus canius (DT); Ariidae: all species
(DT); Adrianichthidae: Oryzias haugiangensis (DT); Gobiidae: Glossogobius spp. (DT-TS-PP);
Polynemidae: Polynemus spp. (DT-TS-PP); Cynoglossidae: all species (DT-PP-TS); Soleidae:
Brachirus spp. except B. harmandi and B. siamensis
Guild 8 - Anadromous guild: Pangasiidae: Pangasius krempfi, P. elongates (mainstream only);
Ariidae: all species (DT-PP).
Guild 9 - Catadromous guild: Angullidae: Anguilla marmorata, A. bicolor (all nodes);
Ophichthidae: Pisodonophis boro (DT-PP-TS).
Guild 10 - Marine visitor guild: Scombridae: Scomberomorus sinensis (DT-PP), Gerreidae: all
species (DT); Ambassiidae: all species except Parambassis spp. (DT); Terapontidae: Terapon
jarbua; Sciaenidae: all species except Boesemania; Gobiidae: Pseudapocryptes elongatus,
Periophthalmodon schlosseri
Non-native: Cyprinidae: Labeo rohita, Cyprinus carpio, Cirrhinus cirrosus, Cyprinus rubrifuscus;
Serrasalmidae: Piaractus brachypomus; Clariidae: Clarias gariepinus, Loricariidae:
Pterygoplichthys spp.; Cichlidae: Oreochromis spp.
Note: DT = Delta; PP = Phnom Penh; TS = Tonle Sap.

80 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
183. Potential risks to fish and fisheries, including OAAs, should be comprehensively assessed.
Risks to fish and fisheries associated with hydropower development are summarized in
Table 6.2 (see Table 5.2 for risks to OAAs) and are orientated around four major themes:
• Dams are physical barriers across rivers that interrupt fish migrations both upstream
and downstream.
• Dams can change the river hydraulics from a flowing river (lotic) to a still water
(lentic) habitat in the impoundment, which inundates spawning grounds (flowing
water conditions required by many species of Guilds 1, 2, 3, 4, and 8 for egg and larval
development), disrupts larval drift, can eliminate lotic-dependent native fishes (Guilds
1, 2, 3, 4, and 8), and creates a habitat that suits non-native species.
• Dams alter flow regimes (hydrology) in the downstream river, from run-of-river dams
(inflows = outflows) with lesser impact, to storage dams with high impacts by altering
the seasonal timing and volume of flows. In practice, most dams have some capacity
to operate in run-of-river or storage mode, although most mainstream dams will have
very limited storage capacity. Altering flows impacts the capacity of fish to migrate; can
leave fish stranded and eggs exposed to die as a result of daily/hourly hydropeaking;
disrupts the flooding patterns of rivers; and compromises access of floodplain-
spawning species by interrupting lateral connections between the river and floodplains
(Guilds 3, 4, and 6).
• If the dam is associated with development of floodplains for other purposes, such as
an irrigation scheme, or if the floodplain is permanently inundated by the impoundment,
floodplains can completely lose their function in the ecosystem, especially as feeding,
spawning, and nursery areas (affecting Guilds 4, 5, and 6).
Table 6.2. Potential risks to fish and fisheries associated with mainstream dams

Risk Consequences/comments

Direct barrier effects on fish and fisheries

Ultimately may lead to loss of fish species diversity unable

to complete their life cycles (typically fish of Guilds 2, 3, 4,
and 8), usually because they are isolated from their spawning
Dams create a direct barrier to and nursery areas. Occasionally, if spawning conditions are
upstream migration of fish suitable below the dam, the species may survive, but usually at
considerably lower abundance.
The impact is usually greater if major spawning tributaries are
located upstream of the dam or drain into the impounded area.

Fish and Fisheries 81

 Risk Consequences/comments

Impoundments also present problems to downstream migrating

fishes.
Downstream migration involves all life history stages, including
eggs and larvae that drift in the current, juveniles of limited
Dams create a direct barrier to swimming ability, and adult fishes. This varies depending on the
downstream migration of fish species concerned.
Ultimately, disruption of downstream migration may lead to
loss of fish species diversity unable to complete their life cycles
(typically fish of Guilds 2, 3, 4, and 8), usually because they are
isolated from their nursery and feeding areas.

Mortality at hydropower structures

Large numbers of larvae and juvenile fish drift passively

Fish encountering dams while
downstream from spawning grounds upstream, and are
moving downstream will either
drawn either into the intake of generating turbines or over
pass over the spillway, through
the dam’s spillway. Both routes can cause high mortality
specially engineered bypass
with consequences on the recruitment of fish to populations
channels, or be drawn into the
downstream of the dam.
turbine intakes and then through
Adults passing downstream actively seek flowing water and are
the turbines themselves.
drawn to turbine intakes or spillways.

Fish entering the turbines are exposed to a variety of physical

stresses that cause injury and death. These include pressure
changes (barotrauma), shear and hydraulic stress, turbulence,
High mortality or injury in and strikes by the turbine blades. Eggs, larvae, and juvenile
turbines. fish are particularly susceptible to injury and death in turbines.
Turbines labelled as ‘fish-friendly’ may still have a significant
impact on individual fish, resulting in high injury or mortality
rates, often up to several days after passing through the turbine.

82 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Fish moving over a spillway can be injured or killed if the design

of the spillway does not take fish passage into account. If the
flow is too strong, they may not be able to avoid collisions
with energy-dissipating structures or flow detectors; they
suffer abrasion against spillway walls and floor (shear) if the
Mortality and injury in spillways.
water is too shallow; and may suffer ‘gas bubble disease’ and
barotrauma if the plunge pool is too deep (see Section 4.2).
Turbulent flow in the spillway basin can disorientate fish, slowing
their downstream movement, and exposing them to predatory
fish and birds.

Impoundment impacts on fish and fisheries

The impoundment of relatively fast flowing rivers may totally

preclude riverine fishes that are dependent on flowing water
The impoundment inundates conditions for all their ecological requirements, and species that
deep pools and changes the are able to live only in running water are usually eliminated.
hydrodynamics from a complex Riverine fishes will include species that have either drifting eggs
flowing water habitat to a uniform or sticky eggs that adhere to submerged plants, rocks, gravels,
slower flowing habitat. and sand. Both types of eggs in riverine fishes require flowing
water (lotic) habitats, which is important when considering the
effects of an impoundment.

Riverine species generally decline in abundance because of the

Impoundment may drown out
inability to fulfil their life cycle, and are then replaced by species
spawning and nursery habitats of
that are tolerant and able to exploit static water conditions (Guild
migratory species.
5 and non-native species).

Impoundment may drown out Rhithron species (Guild 1) are lost from communities, resulting
habitat riverine species typically in a loss of biodiversity, and are replaced by species that are
found in rapids and glides, i.e. tolerant and able to exploit static water conditions (Guild 6 and
rhithron species (Guild 1). non-native species).

The impoundment becomes a sink for downstream drifting eggs

Reduced flows in the
and larvae that tend to be lost from the system, resulting in a
impoundment compromise
decline in fisheries of valuable migratory species (Guilds 2, 3, 4,
drifting life stages of fishes.
and 8).

Fish and Fisheries 83

 Risk Consequences/comments

Water level fluctuations in the

impoundment impinge on the
Compromises capacity of the impoundment to replace lost
capacity for certain fish species
fisheries production caused by impoundment of the river system.
and OAAs to breed and grow in
the impounded area.

Downstream impacts on fish and fisheries

Depending on the characteristics and operations of the

impoundment, seasonal flooding patterns can be modified,
resulting in the deterioration of downstream habitat and
disruption of longitudinal and lateral migrations. In some cases,
longitudinal migration of fishes are also compromised, because
environmental cues for migration (trigger floods or flow pulses)
Alteration in the timing, magnitude are lost, and passage of fish are disrupted over rapids, falls, and
and duration of hydrological other natural, partial obstructions, for example, Khone Falls. Grey
characteristics in downstream fishes (Guild 4) that rely on floodplain inundation for breeding
river systems. are constrained and do not recruit successfully. Generally, the
downstream fish community structure and population dynamics
are altered, and the fishery moves towards lesser catches of
smaller, non-migratory species of lower economic value or non-
native species. It should be noted that this impact is likely to be
minimal for Mekong mainstream hydropower projects as they
will largely operate in run-of-river mode.

Alteration in the nature, timing, The impoundment may reduce the volume of sediments and
and dispersal patterns of associated nutrients passing downstream, and the productivity
sediment delivery in river of the system declines, especially in the floodplain and delta
systems. areas, and in coastal regions (see Section 3)

If the impoundment stratifies (see Section 4), a reduction in

water temperature occurs due to the release of water from the
Alteration of the thermal regime hypolimnion and suppression of the natural seasonal variation
downstream of impoundments. in temperatures, the latter of which is often a trigger for fish
migration, although less so in tropical rivers. This risk may not be
prevalent in Mekong mainstream dams.

Water quality downstream

Changes in discharge and water quality can affect all fishes
adversely affected by dam
within the riverine section below dams (see Section 4).
infrastructure and operation.

84 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Transboundary impacts

Disruption of the hydrological

The impact of dams in terms of loss of productivity may be
regime and sediment delivery, and
manifest considerable distances from the dam location. This can
a concomitant impact on fisheries
have a considerable impact on rural communities dependent on
may be transmitted considerable
fisheries for food security and livelihoods (see Section 9).
distances downstream.

Dams associated with

development of floodplains for If a floodplain is permanently inundated by an impoundment, the
other purposes such as irrigation floodplain can completely lose its function in the ecosystem and
schemes disrupt floodplain result in lost fisheries-related services.
function.

184. The different ecological guilds of Mekong fishes (Table 6.1) exhibit different levels of
vulnerability to the effects of dams. The most vulnerable guilds are Guilds 2, 3, 4, 8, and 9,
shaded in Table 6.1.
• The species that are most affected by the barrier effects of dams are short- and long-
distance migrators (Guilds 2, 3, and 8).
• The species that are the most vulnerable to change in flooding patterns are: (i) floodplain
spawning species (Guild 4) that move laterally onto floodplains to spawn and use the
nutrient-rich floodplain habitat as a nursery area; and (ii) juvenile life stages of short-
and long-distance migrators (Guilds 2 and 3), whose larvae drift onto the floodplain and
also use this habitat as a nursery area.
• Species with drifting larval stages are mainly the riverine fish of Guilds 2, 3, 4, and 8.
These require a minimum length of flowing water for drift that varies among species
and is presently unknown for Mekong species. However, it is likely that at least 10 km
is required for some short-distance migrants; more than 200 km for medium-distance
migrants (Guilds 3 and 4); and over 1,000 km for long-distance migrants (Guilds
2 and 8). Drifting larvae need suitable nursery habitat to occupy and grow-on in the
downstream course of their migration.
• Species that are only found in steep upland tributaries (Guild 1: rhithron species) will
be unaffected by mainstream dams, but can be at risk from upland storage dams in
tributaries, where there is inundation of habitats upstream and modification of flows
downstream. These species are often endemic (only found in that location or river)
to the region, have high biodiversity value as well as providing an important local
food source. Fishes that only use floodplains (Guild 5: black fishes) are unlikely to be

Fish and Fisheries 85

 impacted unless floodplains are permanently inundated or disconnected and/or used
for agriculture or urban development.
185. Many Mekong species exhibit complex life cycles that involve migration between different
areas of the river (see Figure 6.1), particularly upstream migration to spawning areas,
and downstream to nursery and feeding habitats. The timing of these upstream and
downstream migrations is variable depending on fish life cycles. Spawning of different
species in the Mekong system thus occurs across all seasons, but there are peaks during
the spring (February–March), which is the most important time, followed by the onset of
floods (June–July), and then when the water is receding (November).
186. The general understanding of migration patterns in the Mekong is that there are three
main groupings in the upper, middle and lower LMB (Figure 6.1) with many commercially
valuable species (possibly as many as 30 white fish species [Box 6.1: Guilds 2, 3 and 8])
migrating long distances between these zones. There is spawning along the entire Mekong,
but the middle and lower zones have significant floodplain nursery areas and spawning
areas with major migrations between the two zones (Figure 6.1). Although many species
migrate along the mainstream, they often spawn in tributaries, so the links between these
two habitats are important.
187. The migratory fish resource at risk from dams varies in each of the three major zones of
the river (Box 6.1). An indication of this variation is the commercial catch, which in the
upper Mekong is up to 60,000 tonnes of fish captured per year, while the middle and lower
zones are much higher annual catch rates of over 1.0 million tonnes of fish per year in each
zone. Because of the high biomass of migratory fish in the middle and lower zones and the
movement of fish between spawning and nursery habitats in each of these zones (Figure
6.1), there is much greater risk to fish populations when locating mainstream dams in these
lower zones.
188. Because of the life cycles described above, a cascade of dams with sequential impoundments
will eliminate most riverine fish species that require flowing water (lotic) habitats, even if
fish passage is provided.

6.3 Pre-project monitoring and analyses

189. The monitoring approach for fish and fisheries presented in the PNPCA information should
be sufficient to establish the baseline, to inform design, and to underpin project impact and
mitigation effectiveness evaluations.
190. Key information to be submitted at the PNPCA stage is a fish species list grouped by guild
(guided by Table 6.1 and Box 6.1) together with relative abundance, including those species
observed and those expected to be present in the river system and conservation status of
the species. A baseline needs to be established to identify species, size composition, and

86 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 biomass requiring passage. Available MRC and other research data should be sourced for
this purpose.

KEY

Major river spawning areas

Upper zone Major nursery areas

Major mainstream migration

route

Long distance mainstream

migrants

Mainstem-tributary and
upper zone migrations

Middle zone

Lower zone

Figure 6.1. Generalized migration systems in the Lower Mekong Basin,

modified from Poulsen et al. (2004)

Fish and Fisheries 87

191. The following baseline data should be collated in conjunction with the list of species in
Clause 182. Full use should be made of the MRC fisheries data and associated information
in this assessment:
• the season of movement upstream and any hydrological triggers of migration (e.g.
onset of flooding cycle) for the main species;
• the spatial distribution of spawning, nursery and refuge habitats for each guild within
the region (200 km upstream and downstream of the proposed site, including the lower
50 km of tributaries);
• the scale of fish migration in terms of biomass of fish (based on independent studies
and fish abundance and diversity monitoring) in relation to the seasonal flows, so these
data can inform the design of fish passage facilities;
• the distance (spatial scale) of cyclic migrations of each guild;
• identification of fish species and OAAs that are dependent on flowing water (lotic)
habitats for spawning and larvae drift, and the required minimum distance of larval
drift to ensure successful recruitment;
• the contribution, species composition, and socio-economic value of fish and OAAs
captured upstream and downstream of the dam site over the full flood cycle. These data
enable an assessment of socio-economic impacts on local and regional livelihoods,
food security, and economies, as well as informing biodiversity impacts.
192. Standard methods recommended by the MRC should be used, noting that they will be
developed and updated over time, so that there will be consistent approaches by developers
within the overall monitoring of fisheries in the river.
193. A list of threatened fish species or fish species of high conservation value near the dam and
impoundment site, or potentially affected by the project, should be provided. An assessment
of the potential impact of the development on the threatened fish species survival and
actions to mitigate such impacts should be provided.
194. Drawing on the hydrological and hydraulic assessments9 described in Section 2.3, the
following information should inform selection of suitable fish passage options, develop
concept designs, and assess effects on habitats and fish migration:
• daily and seasonal discharge linked with fish migration data to determine risks and
inform fishway design;
• modelling results of the spillway and powerhouse operation, including sufficient

9 To assess the impact on fish and fish passage design, adequate analysis must be carried out and presented at PNPCA to
allow MRC assessment of the effectiveness of the mitigation. Further detailed hydrological and hydraulic modelling may
be undertaken during in the detailed design phase.

88 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 assessment of potential hourly, daily and seasonal discharge, and upstream and
downstream water levels; and spatial attenuation (distance affected downstream) of
these variations;
• headwater and tailwater rating curves; and
• modelling results of daily and seasonal hydraulics, especially distribution of water
velocity, of the impoundment to determine effects on lotic spawning habitats and larval
drift.
195. Analyses of changes, impacts and mitigation options for fish, fisheries, and OAAs should
identify the residual impacts and document where these will occur in the river, in line with
Clauses 7 and 25.

6.4 Design and operational guidance

196. Mitigation options should be evaluated to determine which ones will best address identified
risks. Table 6.3 provides a summary of mitigation approaches that can be taken to address
the broad categories of risk to fish and fisheries shown in Table 6.2. A holistic set of
mitigation measures should be implemented to address the multiple facets of change
that affect fish and fisheries. Whilst only fish-related mitigation measures are addressed
below, mitigation measures for flows, sediments, water quality and aquatic ecology in this
Guidance are also important influences on outcomes for fish. The clauses following this
table provide more specific guidance.
197. Given the lack of direct and experimental data on Mekong fishway efficacy, and the high
consequence of risks to fish and fisheries, developers should engage the services of
independent and knowledgeable fish passage experts with specific relevant regional and
global experience early in the design process. Developers are encouraged to utilize available
MRCS data, resources, and expertise at an early stage in line with Clause 16.
Table 6.3. Mitigation options for fish and fisheries for mainstream dams

Risk Mitigation options

▪ Upstream and downstream fish passage facilities

▪ Catch-and-release programmes (unsuitable for a river and fisheries at a
Direct barrier effects on
Mekong scale)
fish and fisheries
▪ Hatcheries and restocking programmes (potentially in combination with
other measures); however, note Clause 247.

Fish and Fisheries 89

 Risk Mitigation options

▪ Dedicated design and operational choices for structures such as the

Mortality at hydropower turbine and gates
structures ▪ Use of screens and other barrier technologies (e.g. light, acoustic) to
direct fish away from areas of high mortality risk.

▪ Siting and configuration of the impoundment to minimize inundation

area and important habitats such as deep holes and spawning grounds

Impacts in the ▪ Management of impoundment water levels through Joint Cascade

impoundment on fish Operating Rules and Project-Specific Operating Rules
and fisheries
▪ Protection of impoundment riparian habitats through local works
to protect, enhance, or introduce important habitat areas (e.g. for
spawning and nursery grounds, or shelter and feeding areas).

▪ Management of downstream water levels through Joint Cascade

Operating Rules and Project-Specific Operating Rules
Downstream impacts on
▪ Protection of natural river bank habitats through local works
fish and fisheries
▪ Controls and mitigation relating to potential water quality and sediment
impacts.

198. The following guidance for fish and fisheries is divided into two sections: habitats, which
include planning of dam location and height, and operation; and fish passage, which provides
for migration of fish upstream and downstream.

Habitats
199. As flowing water (lotic) habitats are key spawning areas and are essential for larval drift,
dams should be sited and designed to maximize reaches with continuously flowing water.10
These flowing-water reaches are:

• preferably maintained within the entire impoundment by maintaining a mean channel

velocity of > 0.3 m/s;

• between dams and the impoundment backwater (some species will likely require 10
km reaches, while others will require 200 km); and

• in tributaries.

10 It should be noted that the location of all mainstream dams is already determined based on engineering design
requirements.

90 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
200. Dams should be sited and designed to avoid permanent inundation or disconnection of
floodplains, which are key, usually irreplaceable, spawning and nursery habitats. Productive
fish populations are dependent on the natural inundation and drying patterns of these
habitats.

201. In dam operation, consideration should be given to managing river edge habitats (littoral
zone) of rocks and vegetation downstream of the dam, especially during the onset of the
wet season when many species will be spawning. Rapid water level rises are acceptable
(but see Clause 71), but draw-downs of, for example, greater than 0.5 m per day (to be
determined on a site-specific basis) in the spawning season could expose eggs. Migratory
fish may congregate below a dam with inadequate or no fish passage, and often spawn in
the area downstream of the dam.

202. Fluctuations in water levels in the impoundment can create a barren, unproductive
littoral edge zone in the impoundment. Lagoon systems can be created in bay areas of
the impoundment by installing small weirs, which buffer these fluctuations and maintain
nursery areas in the impoundment during draw-down periods.

203. Fisheries production in impounded water bodies tends to decline 5-7 years after inundation.
Traditionally, the inundated area is cleared of vegetation prior to flooding, but to support
fisheries production in the impoundment, trees should be left unlogged in selected areas to
provide increased surface area for periphyton growth, which acts as a primary food source
for fish.

Fish passage
204. Fish passage facilities for both upstream and downstream migration should be incorporated
into all dams on the Mekong mainstream. If fish passage is not considered viable to sustain
populations (e.g. a cascade of dams is planned that eliminates flowing-water habitats
upstream), then appropriate offset measures should be applied to compensate for potential
ecological (biodiversity), social, food security, nutrition and economic (livelihoods) losses
(MRC, 2018a).

205. Full effective mitigation to allow fish passage through Mekong mainstream hydropower
projects has been shown to be up to 10% of the project capital cost depending on the
project location and scale. This cost needs to be properly considered in the project financial
model and business case.

206. Effective upstream and downstream fish passage should be evaluated using target species.
These species should be based on commercial and livelihoods importance, broad coverage
of ecological guilds, behaviour (e.g. surface, mid-water, bottom dwelling), size (small,
medium, large), biodiversity value, and threatened species status.
207. Effective fish passage is defined in terms of a target percentage for the number of fish within

Fish and Fisheries 91

 each migratory species that approach the dam structure both upstream and downstream.
Sub-samples are commonly used to assess these targets, not the whole population.
Specific targets in this Guidance are based on what is required to meet the objectives stated
in Section 6.1, i.e. continued population sustainability in the Mekong mainstream. They are
not based on what has been proven successful for existing fish passage structures, noting
that many existing tropical facilities globally have design and operational flaws that this
Guidance seeks to address. The following fish passage targets are based on population
modelling and passage rates of Mekong species and hydropower dams (Halls & Kshatriya,
2009)11:

• For long-distance migratory species (i.e. Guilds 2, 3, 4, and 8) at a single dam, large fishes
(>75 cm) require more than 90% passage (of numbers of each species approaching
the dam) and medium-sized (50–75 cm) fish require more than 80% passage. If there
are multiple dams, more than 95% passage at each dam site is required for both size
groups.

• Small, short-distance migratory species (Guild 4) moving between/along the river to

floodplains require more than 60% passage (upstream and downstream) between
spawning and feeding/refuge habitats.

• The above percentage passage requirements may be refined for the particular species
concerned, based on its life history and the number of dams the species has to pass to
complete its life cycle and as additional regional and site-specific information on these
aspects becomes available.

Biological and hydrological criteria for fish passage design

208. Flow range of fishway. The fishway needs to be designed to operate from minimum recorded
flows to the 1-in-1 year annual recurrence interval (ARI) flow (63% annual exceedance
probability). These flows need to consider climate change and flow regulation impacts
from upstream, noting that an overestimate of minimum flows can prevent a fishway from
operating.

209. Proportion of flow in fishway – upstream passage. A primary consideration (Williams et al,
2012) in the design of the hydropower project is ensuring that adequate flows are available

11 Note: the modelling is based on calculated mortality of fish through Kaplan turbines based on fish length, which may
improve with new turbine designs, and also assumes that all larvae drift successfully through the impoundment and pass
unharmed through the turbines.

92 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 to attract fish to fish passage entrances. Adequate flows12 must be directed through the
fish passage to ensure they function effectively in both the high and low flow seasons, and
at all times are sufficient to ensure optimal effectiveness to achieve fish passage targets
in Clause 207. Flow allocation for fish passage should be based on local and international
research (Armstrong et al., 2010; Bell, 1985; Larinier, 2002; Roscoe et al., 2011) with the
basis of flow allocation clearly set out in PNPCA documentation.
210. Proportion of flow in fishway – downstream passage. Dedicated downstream passage
facilities at the powerhouse require 2% of powerhouse flows to pass fish effectively. This
target may be altered if more specific regional or site-specific data become available.
211. Considering the range of species, volume of migrations, and variation in flow conditions
encountered at a dam site, each project should consider a range of different options for fish
passage upstream and downstream. Multiple fishways at a single large site are also likely
to be needed.
212. Unless more specific site/regional data are available, upstream and downstream fish
passage facilities should ideally:
• operate all year as far as practical, within the flow range specified in Clause 208;
• pass migrating fish from 5 cm to 300 cm in length both upstream and downstream, as
well as fish eggs and larvae drifting downstream; and
• pass the migratory biomass of the Mekong River as determined during baseline
monitoring and external assessment activities, noting that this is very high, especially
in the middle and lower zones of the Mekong (i.e. approximately downstream of
Vientiane, Figure 6.1).
Upstream fish passage
213. An upstream fish passage has two separate design components:

12 Research indicates that a primary consideration in the design of a hydropower project is providing sufficient flow at the
fishway entrance to attract fish from the river into the fishway. At low flows (defined as the flow exceeded 95% of the
time, or Q95 of present flows), 10% of the flow is required for effective fish attraction into the fishway. At the upper flow
range for the fishway (1-in-1 year ARI), allocation of 10% of flow for upstream fish passage is desirable, but 2% would be
a minimum. This flow can be a combination of passage flow (along the entire fishway) and auxiliary flow (additional flow)
in the lower section of the fishway, but excludes attraction flow external to the fishway entrances(s). At very high biomass
sites (e.g. downstream of Vientiane), half of the flow allocation is needed for passage flow along the entire fishway. At
large hydropower dams that have effective fish passage, allocating 10% of the minimum river flow for fish upstream
passage is a common standard (although 30% can be used); 5% of maximum turbine discharge has also been used. As
an example, publicly available information states that the Xayaburi Dam fishway on the Mekong River provides a fishway
attraction discharge of 8.6% (86 m3/s) of low flows (Q95); 5% (240 m3/s) of the maximum turbine discharge (5,000 m3/s);
and 2.5% of high flows (10,000 m3/s). Research will test whether these flows are adequate. These targets may be altered if
more specific regional or site-specific data become available. They also do not apply to small streams or tributaries, where
fishways can potentially use 100% of flow.

Fish and Fisheries 93

 • Attraction – in terms of fish approaching the dam and locating the entrance(s); and
• Passage – through the fishways.
Attraction
214. To achieve effective attraction, fish passage design should be integrated into the earliest
project concepts, because it influences the dam axis alignment, dam and powerhouse
configuration and alignment, abutment, and training wall shapes, spillway and gate design,
and stilling basin design.
215. Physical modelling at an appropriate13 scale should be undertaken during detailed design
to accurately predict flow patterns and achieve functional fishway entrance conditions
(see Clause 24). Modelling should include the spillway, powerhouse, fishway entrances
(with auxiliary and attraction flows), and downstream river channel conditions. Separate
models may be needed of different dam components because of size limitations. Modelling
should test the full range of fishway flows, as above, to ensure fish can locate and access
entrances. Fishway entrance design and integrating it with dam design, can occur before
any fishway channel design.
216. 3D computer modelling (Computational Fluid Dynamics, or CFD) is also useful when used
in conjunction with physical modelling.
217. The key design principles in physical/computer modelling to optimize fish attraction are:
• Create continuous paths and refuges of low water velocity and turbulence that lead to
an “upstream limit of migration”, which is delineated by high water velocities without
refuge (e.g. at the toe of spillways) and high turbulence without refuge. Fish are attracted
to the greatest discharge (turbines or spillway), and utilize low water velocities adjacent
to high discharge and high-water velocities to migrate upstream.
• Minimize recirculating flows (horizontally or vertically) and cross-flows, which trap and
delay migrating fish.
218. Multiple entrances should be provided at large dams and at sites with variable discharge.
Migratory fish will be attracted to a wide area, and the “upstream limit of migration” will vary
with discharge.
219. Fishway entrances should accommodate fish species that will use surface, midwater, and
benthic zones and the thalweg (deepest channel). The thalweg needs to lead to the fishway
entrance; the river channel may need reshaping during construction to achieve this.
220. Spillways and discharge gates should be designed and operated so that flows initiate and

13 The appropriate scale will depend on the size and geometry of the dam and river reach. For example, physical modelling
for Xayabury was undertaken at an undistorted linear scale ratio of 1: 120. The scale should allow sufficiently accurate
assessment of fish passage approach hydraulics.

94 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 terminate adjacent to the fishway entrance(s) to maximize attraction to the fishways.
221. All spillway flow can be used for fish passage, noting that fish migrate during all seasons
and under all flow conditions.
Passage
222. Design options for upstream passage at high dams or dams with large discharge include,
but are not limited to:
• Large pool-type fishways
• Large nature-like bypass channels
• Fish locks
• Fish lifts.
223. Within upstream fishways, the following criteria may be used, unless more site-specific data
becomes available:
• Maximum water velocity for short distances (< 0.2 m; e.g. in vena contracta of slot or
orifice) is 1.4 m/s.
• Maximum water velocity in channels is 0.5 m/s.
• The maximum turbulence in a fishway pool is 40 Watts per cubic metre (calculated
using a discharge coefficient of 0.7).
• Minimum depth is 3 m under all flows, or equal to the maximum natural channel depth
(thalweg) at low flows.
• Pool length and width should be at least three times the maximum length of the largest
fish.
224. Fish passage facilities should pass the peak biomass, which requires the appropriate sizing
of fishways, and suitable cycle times of fish locks and fish lifts.
225. Predation within the fishways should be minimized. Adequate shelter for smaller species
while within the confines of the fishways should be considered, and residence time in the
fishways should be minimized.
226. Water quality should be maintained within any holding enclosures to ensure fish health.
Oxygen levels should be maintained within the fishways at >5 ppm (e.g. fish lifts).
227. Fishway designs should be flexible and adaptable, and have redundancy. For example, baffle
shapes may be adjustable or have adjustable inserts, and mechanisms of water release for
fish attraction and passage flows be adjustable over time. Feedback from monitoring and
observation of fish behaviour should lead to optimization of the fishway operation.

Fish and Fisheries 95

228. If cyclic fish passage is used, such as fish lifts or locks, the period of captivity and interruption
to the normal movements of the fish should be as short as possible.
229. Fish exiting upstream fishways should not be drawn back over the spillway during
overtopping. Exit conditions should be sufficient to provide a stimulus for fish to exit the
fishway. The combination of suitable attraction flows, substrate, and protection from
predators is important.
230. Fish exiting fishways both upstream and downstream should be sufficiently healthy to
continue their natural patterns and migration routes. Direct and indirect mortality combined,
as a result of movement through the dam, impoundment, and fishways, should be in line
with the objectives (Clause 207) for the relevant guild.
231. If feasible, navigation locks should be designed for fish passage (see Clause 322).
Specific modifications are required for passing fish, including providing attraction flows
and additional entrance(s) for migratory fish near the upstream limit of attraction. These
aspects affect the design of gates, valves and dissipators.
Downstream fish passage
232. Downstream passage includes:
• larval drift through the impoundment;
• passage at the fish screens/trash racks;
• turbine passage of fish that pass through the fish screen; and
• passage through the spillway gates.
233. A mean channel velocity of > 0.3 m/s for the entire length of the impoundment should be
provided to maintain larval drift through the impoundment for migratory species (Guilds
2, 3, 4, 8). This requirement should be part of the initial scoping investigations and design,
because it is easier to achieve in a narrower river channel or a lower height dam.
234. Fish screens should be designed to guide downstream-moving fish away from turbines and
towards downstream fish passage facilities, which may be a shared facility with upstream
fish passage. Fish that pass through the screen will pass through the turbines; hence, the
internal spacing of fish screens should be linked with the extent that the turbine design
passes fish safely. Coarser mesh screens may be used if the turbine can safely pass larger
fish, while finer mesh screens should be used if the turbines cannot safely pass small fish.
Alternative methods to screening may be used, if these are shown to be effective through
regional or site-specific research.14
235. Fish screens at high discharge sites (e.g. 2,000 to 5,000 m³/s) such as the mainstream

14 Where high debris load or a deep thalweg make suitable screens unfeasible, alternative solutions may be needed to divert
larger fish, which cannot safely pass through turbines, away from the turbine intake.

96 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Mekong may divert large and medium-bodied fish, but are unlikely to divert small fish and
larvae, so turbines should be designed to pass these smaller fish.
236. Screens should be angled at least 45 degrees to the current and have a surface velocity
less than 0.5 m/s to prevent impingement, unless testing shows different criteria or screen
designs that will divert fish safely.
237. Self-cleaning screens should be installed where there are high debris loads.
238. For small/medium fish that pass through the fish screens, turbines should be designed to
have the following criteria, unless more site-specific data becomes available:
• To minimize blade strike, the leading-edge width of the turbine blade should be equal to
the length of the largest fish passing through the screens.
• Shear should be less than 150 cm/s/cm for 99% of exposure paths.
• To minimize impacts from sudden pressure changes (barotrauma), the pressure
change ratio should be < 0.1.
• The turbine design and placement should factor in these needs, because they may
not be met based on considerations solely for hydropower generation. For example,
to achieve a pressure ratio < 0.1, the turbines are likely to need to be deeper in the
tailwater, which requires further excavation than may be planned for only hydropower
generation needs.
239. At detailed design stage, a computational fluid dynamics model should be used to assess
the extent of the above values and the exposure paths of fish through the turbine.
240. Species with a similar size and swim bladder morphology compared with Mekong fish
should be used to assess mortality through turbines.
241. Spillways, aprons, stilling basins, and dissipater design should be designed to minimize fish
injury, noting that total mortality should be less than 5% for many species.
242. If feasible, gates on spillways should be overshot, or designed to be used fully lifted, because
undershot gates have high pressure changes and shear values that kill fish.
Fish passage operation
243. Capture fisheries in the vicinity of the fishways should be managed to ensure that mortality
caused by fishing is not excessive. No fishing should be allowed within 500 m of the fishway
entries or exits, or within the fishways.
244. Where ecological objectives downstream of the dam are to be met through the discharge
operating rules, any releases that do not pass through the turbines should be directed
through the fishway as a first priority, thereby ensuring that fish are attracted to the fishway

Fish and Fisheries 97

 entrance as well as maximizing operating time.
245. Where practical, hydrological conditions should be maintained to ensure that migratory fish
species can access tributaries and floodplains downstream of the dam and floodplains on
the perimeter of the impoundment.
Fish passage during construction
246. Fish passage should be provided during construction, based on an assessment of the
migratory population approaching the site and the proportion of each target species that
passes through. Navigation locks may form part of this solution.
Alternative mitigation measures and fisheries resource management offsets
247. Where fish passage rates are unlikely to be adequate to maintain viable regional fish
stocks, or local fish populations are not maintained, the developers should consider
support measures including offsets for lost fisheries and OAA resources. From a fish
and fisheries perspective, the following technical inputs should be considered in relation
to any alternative measures. The livelihood aspects of support measures and offsets are
addressed in Section 9, as follows:
• Offsets should move beyond traditional approaches of fish farming and stocking fish
and OAAs (mainly prawns), because these rarely replace the loss of fish stocks and
OAAs (and hence catches), and should be used in conjunction with other measures.
• Aquaculture (cage culture) within the impoundment of a mainstream dam would be
reliant on stable water levels and low water velocities at high flows, because fluctuating
water levels and high flows make anchoring and access problematic. Non-native
species (e.g. carp and tilapia) should not be grown in the cages, because there is a high
likelihood of escape and proliferation of non-native species in the wild to the detriment
of native species.
• Stocking of indigenous fish and OAA species in the impoundment would require
continuous stocking through the life of the project. The production from stocking
will not, however, replace the lost wild fisheries and OAA yield due to the decline in
impoundment productivity after 5–7 years. Also, the short retention time of water in the
mainstream dams prevents the build-up of primary productivity.
• Small fishways could be built on wetlands to reconnect nursery areas with river habitats.
• Re-creation of wetland habitats to support recruitment to wild capture fisheries and
OAAs, or creation of new fisheries that have been lost due to the dam and impoundment
could potentially be achieved within the impoundment by creating lagoon wetlands, or
upstream or downstream of the project by reconnecting wetlands or floodplains lost to
agriculture.

98 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
6.5 Project monitoring and adaptive management

248. Plans for project monitoring of fish, fisheries, and OAAs should take into account the
guidance in Clause 26. The PNPCA information should demonstrate that plans for fish,
fisheries and OAA monitoring information to be collected during construction and operation
will inform:
• developers’ needs regarding fish passage management operations; and
• indicators that may signal a need for adaptive management responses to fish, fisheries
and OAA-related mitigation measures.
249. The monitoring programme commenced for the pre-project assessments (Section 6.3)
should be continued during the construction and operation stages, and adapted where
needed to better inform construction and operational stage information requirements for
management. Components of the overall fish and fisheries project monitoring programme
should consider the status of fisheries and biodiversity (including OAAs), fish passage
effectiveness, and fish and OAA habitats.
250. Focal areas for annual review based on quantitative assessments should be:
• For the upstream fish passage: the effectiveness of: fish attraction (locating the
entrance); fish passage (through the fishway); and safe exit. Appropriate scientifically
proven methods to assess the effectiveness fish attraction and safe exit should be
adopted.
• For the downstream fish passage: larval drift in the impoundment; the efficiency of fish
screens and fish bypasses; fish passage through turbines; and fish passage through
gates and spillways. Appropriate scientifically proven methods to assess larval drift
should be adopted.
251. The monitoring plan presented at the PNPCA stage should show how the proportions of
the numbers of fish of each target migratory species (three species of each migratory
guild, preferably including benthic, pelagic and surface-dwelling species), and the total
biomass that are able to pass the dam successfully both upstream and downstream will be
determined and compared to the targets in Clause 207. The proportion of fish represents
fish approaching the dam at the time of sampling, hence, is robust to other changes in fish
populations that may occur due to other catchment impacts. Mortality levels of individual
species should also be estimated, as per Clause 241.
252. If actual percentages passing the dam are lower than the targets, a review of the facilities
and operations against the recommendations in this Guidance should be made, and actions
implemented to improve the fish passage arrangements, as per Clause 27.

Fish and Fisheries 99

253. Monitoring of habitats and spawning activity in littoral zones downstream of the dam should
be included in the overall monitoring plan. Findings can inform any refinements in operating
rules (sediment flushing and flood control) that may then maximize fish recruitment and
populations downstream.
254. In addition to recommendations for overall water quality monitoring for the project (Section
4.5), specific water quality monitoring should be undertaken in the fishways to inform if
there are any water quality-related issues that may have implications for effectiveness.
Parameters should include water temperature and dissolved oxygen.
255. Standard methods as prescribed by the MRC are recommended to be used to ensure robust
data and analysis, and consistent approaches by developers with the overall monitoring in
the river. Opportunities for collaborative approaches among projects on the mainstream
should be considered if possible (e.g. by using the same PIT tag system for detecting
tagged fish).

100 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 7
Dam Safety

Dam Safety 101

7 DAM SAFETY

7.1 Objectives

256. The objectives for dam safety are:

• Ensure that a dam does not violate Article 7 of the Mekong Agreement by causing
harmful damage to the environment (upstream or downstream) through its operation
or in the event of any failure.
• Protect life, property and the environment from the consequences of dam operation or
failure, based on an understanding of the risk imposed by the dam and the consequence
of failure.
• Ensure that current national and international standards are used in design with
preferably a consistent approach to design criteria for cascades of mainstream dams,
specifically for the safe passage of extreme floods and seismic stability.
• Ensure that the design, construction, and operation and maintenance regimes, as well as
institutional arrangements are consistent with national requirements and international
good practice for the safety of dams and related emergency response planning.

7.2 Risks

257. Dam safety is of paramount importance for the individual dams on the mainstream of the
LMB, as well as the safety of any cascade. The safe design, construction, and operation
of dams depend on more than engineering factors. The approach to dam safety should
recognize that failure of a dam is a complex process that can include human error at the
design, construction, operation and maintenance and monitoring stages (ICOLD, 2005).
258. Risk-based design has become standard procedure in many countries worldwide. To fully
understand dam safety, the risks imposed by the dam on the downstream environments
should be fully understood. Risk assessments and failure mode assessments are important
tools in contemporary dam design. Risk assessment processes at various stages throughout
the design are encouraged to ensure that risks and uncertainties are understood by all key
stakeholders and mitigated where possible.
259. Potential dam safety risks should be comprehensively assessed. The key risks associated
with dam safety are summarized in Table 7.1.

102 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Table 7.1. Potential dam safety risks associated with mainstream dams

Risk Consequence/comments

Risk of cascade dam failure releasing a flood wave, which

Failure of upstream dams
overtops and damages the downstream dam

Spillway under design leading to overtopping of the dam and

Uncertainties in flood loading
structural damage sufficient to cause failure of the dam

Uncertainties in the geological and Inadequate treatment of the dam foundations, leading to
geotechnical investigations erosion or failure of the dam foundation and the dam itself

Inadequate assessment of the seismic hazard and loads

Uncertainties in seismic loading leading to structural failure of the dam during an extreme
earthquake or fault movement

Below-standard design of dam and

Risk of dam failure releasing a flood wave downstream
structures

Below-standard construction control Construction flaws leading to structural damage and dam
and quality failure

Failure of the dam during

construction due to undersized or
Risk of significant quantities of water flowing downstream in
blocked diversion works causing
a dam break situation
overtopping of the partially
completed dam

Inadequate operation, maintenance Initiation of failure modes are not detected and can escalate
and dam safety surveillance to a major dam safety risk

7.3 Pre-project monitoring and analyses

260. The developer should provide information in sufficient detail at the PNPCA process to
demonstrate that this Guidance on dam safety will be fully implemented.
261. The most important baseline data related to dam safety are primarily those required for the
hydrological studies to develop the design floods, and the geological information required
for foundation and seismic hazard assessments at the regional and site-specific level.
Seismic
262. The developer should understand the regional seismic geological conditions as well as the
site-specific situation.
263. The following should be considered in developing the seismic design criteria for the

Dam Safety 103

 proposed site:
• International Commission on Large Dams (ICOLD) Bulletin 148 and other relevant
ICOLD Bulletins (e.g. ICOLD, 2001) should be used to determine seismic design criteria.
• A detailed investigation should be undertaken of nearby significant faults, and evidence
provided to show assumptions on activity of the closest faults.
• If there are no nearby active faults, then there should be a review of the regional
seismicity parameters and their uncertainties for inputs to deterministic or probabilistic
approaches.
• Aftershock impacts on the dam should be assessed.
• If investigations indicate the possibility of faults through the dam foundations, then the
risk of fault displacement should be considered and mitigation measures included in
the design.
• Kinematic models of potential tectonic displacement in the dam site should be
completed. These should be updated as the project proceeds to take into account
structural geological features found in the dam foundation during construction.
Floods
264. Section 2 (Hydrology and Hydraulics) of this Guidance should be referenced in relation to
derivation of design floods and determination of both Cascade Joint Operating Rules and
Project-Specific Operating Rules.
265. The check flood should be the probable maximum flood (PMF). Significant damage may be
accepted to the structure and operation of the power station and the flood gates; however,
there should be no catastrophic failure of the dam structure resulting in the release of an
uncontrolled flood. The design flood should result in no structural or operational damage to
the dam or spillway based on the worst-case scenario.
Impact identification
266. The developer should carry out a detailed Potential Failure Modes Assessment (PFMA)
to identify the credible failure modes for the dam and appurtenant structures. The PFMA
should be used to reduce the risk of failure of the dam, and to inform the development of
the Dam Safety Management System (Clause 283) and Emergency Preparedness Plans
(Clauses 286 and 290).
267. The developer should demonstrate the extent of the following key risks posed by the dam
on the upstream and downstream communities and environment.
• Natural floods: These should consider a range of annual exceedance probabilities (AEP)
from the annual flood up to the PMF. These assessments should be carried out both

104 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 with and without the dam, and demonstrate the impact of the proposed operational
rules required to pass these major floods on both the upstream and downstream areas
of the dam.
• Faulty or accidental operation of the dam. These assessments should demonstrate the
impacts of faulty operation of the scheme, in particular, the faulty operation of flood
gates. Faulty operation includes the failure of flood gates to open and the accidental
operation of the flood gates.
• Dam break flood assessments. The dam break flood assessments should demonstrate
the impact of failure of the dam during flood situations, periods of low flow, and
construction. Modes of failure should be investigated (Clause 266), and credible failure
scenarios should be used to derive the dam failure flood hydrographs.
268. The potential impacts listed in Clause 259 should be assessed using detailed hydrodynamic
modelling. Modelled flood extents, with and without the dam, should be superimposed on
maps of the area to identify the people, property, and structures at risk from the project.
Modelling should extend upstream and downstream of the dam to the point at which the
difference between the pre- and post-dam flood depth is less than 10 cm, or to the point at
which it is clear that the additional dam break flood depth no longer poses a risk to people
and property.
269. Where the impacts of the dam affect the operation of other infrastructure upstream or
downstream, the developer should provide mitigation measures to eliminate or minimize
these issues in consultation with the owner of the affected infrastructure and the responsible
national agencies.
270. Details of the impacts, including numbers of people at risk and vulnerable structures or
environmentally sensitive areas, should be identified by the developer. In assessing the
impact of the dam to the upstream and downstream communities, the developer should
take into account itinerant users of the river as well as the fixed communities. These
itinerant users may include boat traffic (tourist, fishing, cargo and others), fishers (in
boats and on the riverbanks), and other riverbank users. This aspect of the assessment
will be important information for the assessment of Riparian Communities and River-Based
Livelihoods (Section 9).
271. Modelling described in Section 2.3 and Clause 268 should be used to develop dam break
and natural flood maps for emergency planning, showing at a minimum: areas at risk; flood
depths; velocity; and flood wave travel times for the inundation areas. These maps should
be developed in cooperation with the local emergency management teams to provide them
with the information they require for emergency planning. These may include hazard maps
(velocity times depth) in addition to the flood depth, velocity, and travel time maps.
272. The dam safety risk management analyses should clearly identify any residual risks and

Dam Safety 105

 document where these will occur in the river, in line with Clauses 7 and 25.

7.4 Design and operational guidance

273. This sub-section defines specific requirements that should be demonstrated during the
development of the concept/feasibility design to be submitted for the PNPCA process.
While full details will be finalized during the detailed design and construction stages,
sufficient details should be submitted for the PNPCA process to provide confidence to the
MRC Joint Committee that the development will be designed, constructed, and operated
safely.
274. Table 7.2 identifies mitigation measures for the risks identified in Table 7.1. The developer
should demonstrate, at the PNPCA process stage, how they intend to mitigate these risks.
Table 7.2. Mitigation measures for dam safety risks for mainstream dams

Risk Mitigation measures

Hydraulic modelling of the impact of failure of the upstream

dams should be carried out and the dam designed to prevent
Failure of upstream dams
catastrophic failure due to overtopping by an upstream dam
failure

Existing dams on the mainstream have been designed to

Uncertainties in flood loading safely pass the probable maximum flood (PMF). All new dams
should use the PMF as the check flood.

Uncertainties in the Detailed geological and geotechnical investigations of

geological and geotechnical the dam site should be carried out before and during the
Design

investigations construction phase.

Experienced designers should be hired.

Adequate quality assurance systems should be included in the
Below-standard design of
design.
dam and structures
Dam Safety Review Panel should be actively involved at all
stages of the project.

Detailed seismic hazard assessment should be carried out as

Uncertainties in seismic
recommended by ICOLD Bulletins 120 and 148 (ICOLD, 2014,
loading
2011).

106 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Mitigation measures

Detailed specifications should be prepared by the designers

and then strictly applied during construction.
Below-standard construction The design and construction should be carried out by
control and quality experienced dam engineers and contractors with all stages
independently reviewed by a competent party from a dam
Construction

safety perspective.

The diversion works should be adequately sized.

Failure of the dam during
construction due to The debris should be actively managed.
undersized or blocked Flood forecasting systems should be implemented during
diversion works causing construction.
overtopping of the partially
Emergency planning and dam safety monitoring should be
completed dam
carried out during construction.

Detailed dam safety management plans, operational and

maintenance plans, and emergency preparedness plans based
on potential failure mode assessments should be prepared by
Operation

Inadequate operation,
the designers and implemented by the developer and owners.
maintenance and dam safety
Operating rules covering extreme flood events should be
surveillance
prepared and include all actions required to ensure that
dam safety risks are mitigated and that potentially affected
communities are consulted.

Design stages (concept, feasibility, detailed)

275. National standards relevant to dam safety of the responsible Member Country should be
met unless this Guidance specifies more stringent criteria in the interest of transboundary
safety, as per Clause 12. Where specific guidance is not provided in this document,
international dam safety good practice should be used, such as documented in the World
Bank Operational Manual and ICOLD Bulletins (ICOLD, 2005, 1987).
276. During the design stage, the structures and systems that are critical to the safety of the
dam should be identified. In particular. where systems such as spillway flood gates rely on
mechanical and electrical control equipment, the system should be designed with back-up
systems to ensure reliability in emergencies. The developer should identify which systems
are critical to dam safety and demonstrate that there is complete redundancy in the system.
277. A Dam Safety Review Panel (similar to those panels required under the World Bank
Operational Policy OP4/37) should be appointed by the developer or the government of the
host nation, and should meet the following criteria:

Dam Safety 107

 • The panel should consist of recognized independent experts in different aspects of
dam safety.
• The experts involved in the review must have no role in the design or operation of the
dam, nor financial nor other interests in the project, and it is accepted that they are
providing an objective view, i.e. they are “independent”.
• The individuals involved in the review must have a high degree of knowledge of dam
and infrastructure safety as a result of a significant experience and training in the
relevant component of the dam that they are reviewing; i.e. they are “experts”.
• The panel should be appointed prior to the PNPCA process and make regular reviews
throughout the investigation, design, construction and operational stages of the dam,
including the first commissioning of the dam and operations.
• The panel members may be appointed under relevant national laws of the notifying
country.15
278. The developer should include an independent review by the review panel (Clause 277)
with the PNPCA information submission. This review should have been undertaken after
the feasibility study has been completed. The information submitted should also identify
the proposed inputs from the review panel during design and construction, the first
commissioning of the dam, and at the start of operations.
279. The developer should include mitigation methods to control floating debris in the
impoundment which could cause damage to flood gates or other plant and systems critical
to dam safety.
280. If the navigational structure is to be used as part of the flood control measures, then this
should be clearly identified in the dam safety documentation.
281. Flood flows through the dam structure should be safely discharged. The developer should
demonstrate that adequate energy dissipation and scour protection is provided to prevent
failure of the dam. This is particularly critical to the design of the spillway, low level outlets,
and the turbine outlets.
282. If overshot flood gates are proposed, then detailed consideration should be given to the
long-term maintenance and reliability of the gates to ensure that they can always satisfy
dam safety requirements.
283. A dam safety management system (DSMS) should be prepared for implementation starting
from design and continuing through the full construction and operation stages, and the
plans for this should be described with the PNPCA information. This system should become

15 For example, Lao Electrical Power Technical Standards 2018 requires the appointment by Ministry of Energy and Mines of
a “chief engineer” to review design and construction.

108 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 progressively more sophisticated as the project moves through the development stages. To
be consistent with international good practice, the DSMS would include the following:
• comprehensive dam safety reviews, involving independent inspections, scheduled
at least once every five years. Dam safety reports should be copied to government,
and follow-up inspections undertaken to confirm that the recommended work was
undertaken. These reviews should be carried out by experienced engineers independent
from the dam owner;
• annual dam safety reviews, including inspections, in order to check for damage and
ensure functionality of critical structures, and to ensure completion of tasks identified
for follow-up from previous reviews;
• details of how to identify and report dam safety issues;
• a surveillance system to identify the initiation of the failure modes, following on from
the assessment described in Clause 266; and
• all dam safety relevant design criteria, monitoring and assessments, management
plans, and review and inspections addressed in this Guidance.
284. The DSMS should include an instrument plan for dam safety monitoring to be incorporated
into the project design. This plan should outline the location and type of instruments to
be installed for monitoring and recording dam behaviour, and for obtaining related hydro-
meteorological, structural, and seismic information over the life of the project. The plan
should include consideration of how the instrumentation will be used to provide early
warning of initiation of any the potential credible dam failure modes.
Construction stage
285. The DSMS should include plans for construction supervision and quality assurance,
to demonstrate how the developer will ensure quality in areas important for dam safety
during the construction period. This should include the organization, staffing qualifications,
procedures, and equipment for the supervision of the construction of a new dam. Experienced
and competent professionals are required to design and supervise construction.
286. A Construction Stage Emergency Preparedness Plan should be provided that demonstrates
the identification of and mitigation measures for risks to the project, project-affected area,
and local communities during the construction period. The plan should include for failure
of the partially completed dam or cofferdams during construction if the diversion works are
overwhelmed.
287. Plans regarding temporary works construction and removal should be included in the
DSMS as they relate to dam safety. Failure to remove all of the temporary works can have
implications on the operation of the permanent works. The developer should demonstrate

Dam Safety 109

 the full methodology for temporary works, which should include the removal of the works.
288. Plans relating to first filling of the impoundment should be included in the DSMS as they
relate to dam safety. These should:
• identify the potential risks to dam safety during first filling and accompanying mitigation
measures;
• include the monitoring and surveillance that will take place during this period in order
to detect initiation of any of the potential failure modes;
• be linked to the Emergency Preparedness Plan; and
• be refined and completed during project implementation, and the final plan should be
completed and accepted by the responsible national agency not less than six months
prior to initial filling of the impoundment.
Operation stage
289. The following operating rules and actions are required to ensure that dam safety risks are
mitigated:
• rules for draw-down of the impoundment ahead of floods, and for the operation of
turbines and flood gates during floods;
• rules for flood gate operation while any gates are out of operation due to maintenance
or upgrade; and
• any controls on impoundment water level or downstream flow ramping rates for public
safety.
290. An Operation Stage Emergency Preparedness Plan (EPP) should be provided that includes:
• the specification of roles and responsibilities of all parties when dam failure is
considered imminent, or when expected operational flow releases threaten downstream
life, property, or economic activities dependent on river flow levels;
• specific reference made to the Cascade Operating Rules as they pertain to extreme
flood management and the consultation with upstream and downstream projects;
• transboundary considerations and consultation and agreed protocols with relevant
agencies in upstream and downstream Member Countries;
• a communication strategy to engage with stakeholders on dam safety issues and
emergency preparedness activities that directly involve or affect them. This should
provide for full and effective consultation with local communities and local government
authorities as well as all concerned organizations and agencies.
• All concerned and affected people, including those in upstream and downstream

110 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 countries who may be affected by dam operations, should be involved in the EPP
preparation, in training and capacity-building for its implementation, and in response to
any issues concerning annual Dam Safety reports;
• inundation maps based on dam break and natural flood scenario modelling (Clause
267) that indicate households and structures at risk that should be on warning or
evacuation contact lists;
• details of the flood warning system;
• communication flow charts and contact lists, including households at risk; and
• Identification of emergency resources.
291. The project Operation and Maintenance (O&M) Plan should include aspects relating to dam
safety, which should be incorporated into the DSMS. These aspects should address:
• the organizational structure, staffing, technical expertise, training, equipment, and
facilities needed to ensure it; and
• O&M procedures, funding and other arrangements for long-term dam maintenance and
safety inspections.

7.5 Project monitoring and adaptive management

292. Plans for project monitoring, inspections and review relating to dam safety should take
into account the Guidance in Clause 26. The PNPCA information should demonstrate that
plans for dam safety related monitoring information to be collected during construction and
operation will inform:
• developers’ needs regarding emerging issues; and
• indicators that may signal a need for adaptive management responses to dam safety
related risk management measures or management plans.
293. For the life of any dam, the owner is responsible for ensuring that all appropriate measures
are taken and sufficient resources provided for the safety of the dam. All management
plans and systems identified in the clauses in Section 7.4 should be reviewed and updated
annually, and training sessions should be implemented to ensure that all stakeholders
are familiar with the plans relevant to them. The DSMS should ensure that all actions and
findings are recorded in a manner that is easily retrievable over time, and provide for follow-
up and continuous improvement.
294. Plans should indicate how and when the DSMS described in Clause 283 will be finalised and
updated to suit the “as constructed” dam within six months of commissioning of the dam.
295. Plans submitted at the PNPCA stage should describe the Flood Forecasting and Warning

Dam Safety 111

 System that will be developed to providing warning for all people within the inundation
areas identified by the flood modelling and mapping (Clause 267). This should include plans
for updates and periodic tests of the operation stage EPP (Clause 289). These plans should
include flood forecasting and warning that may be required for upstream and downstream
Member Countries.

112 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 8
Navigation

Navigation 113
8 NAVIGATION

8.1 Objectives

296. The objectives for navigation are:

• Guarantee continuation of navigation on the Mekong mainstream consistent with
Article 9 of the Mekong Agreement, through provision and management of ship locks
at all mainstream dams.
• Ensure consistent design and operation of ship locks at all mainstream dams.
• Make sure that dam infrastructure does not impede the potential future development
of mainstream navigation16 in terms of cargo transport capacity, passengers transport
capacity, and convoy transport development.
• Ensure safe and efficient lock operations.

8.2 Risks

297. Risks associated with navigation should be comprehensively assessed. The PNPCA
documentation should indicate how the design has dealt with the potential risks associated
with navigation, and in particular with the ship lock, as shown in Table 8.1.
Table 8.1. Potential risks associated with ship locks at mainstream dams

Risk Consequences/comments

Lock approaches upstream and downstream

Lack of a straight-line
approach in upstream and Barges and convoys may hit the bull nose of the guidance wall or enter
downstream channels with the penstocks or spillway of the dam if not properly aligned when
poor visibility approaching approaching.
the lock

Deposition of sediment in
upstream or downstream Vessels may run aground and block the entrance for other vessels.
approach channels

16 Information may be sourced from relevant government or regional authorities (e.g. the MRC).

114 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Strong side currents where

the downstream approach Strong side currents can push barges and convoys off course and
channel merges with the cause collision with oncoming ships or barges.
main river course

Lock chamber and gate design

Emptying and filling

produces heavy turbulence
Barges and boats can be shaken by the turbulence or upward currents
and disturbs the position of
during filling, and damage can be caused to the hull structure.
ships and vessels, especially
small boats

In case mitre gates are used,

sunken debris can get stuck Damage can be caused to the gate (torsion) or to the opening and
between gate and sill, or closing hydraulics, potentially halting navigation for long periods.
inside the gate chamber.

Vessels impacting against

The impact from big barges, vessels or convoys against the concrete
the chamber walls while
walls from the lock chamber can deteriorate and crush the concrete.
entering the lock chamber

Vessels that are not properly berthed after entering the lock chamber
Ships improperly entering
can cause damage to other vessels or lock chamber devices during
the lock chamber and not
lock operations This is specifically the case when ships are berthed at
properly berthed during lock
line-hooks instead of floating bollard, potentially leading to capsizing
operations
of the vessel

Person overboard and/or

This may result in fatal accidents, drowning, and police investigation,
ship in distress in the lock
etc.
area

Ships entering the lock Ships bumping against the mitre gate can damage the structure. Parts
chamber and not stopping of the steel construction may have to be replaced, which can result in
before the gate. long outages.

Smaller vessels unable to Small vessels are more likely to be affected by turbulence in the lock
safety traverse ship lock during filling.

Navigation 115
 Risk Consequences/comments

Culvert design and operation

Cavitation at tainter valves Cavitation is destructive to valves and culvert walls, mostly unseen
and inside culverts from and unnoticed. Repairs are likely to be complicated, expensive and
locks over 25-m lift. time consuming.

Entire lock structure

Earthquakes can provoke unscheduled settlement and small

movements in the lock chambers and lock heads, even disturbing
the normal functioning of the mitre gates and the tainter valves in the
Earthquakes
culverts. Insufficient resistance to earthquakes can result in damage
to the lock heads and gates such that normal operation is no longer
possible.

The same consequences as above are possible. If differential

Differential settlement over settlement leads to malfunctioning of the mitre gates or tainter
the entire lock structure valves, this can lead to damage to the lock heads with potentially high
consequences for navigation.

Seepage with consequential soil erosion can create cavities that

Seepage under the lock
sooner or later are able to collapse entire structures if not sufficient or
structure
inefficient waterproof screens have been established

Impoundment

Excessive sediment deposits

Ships and barges can run aground due to insufficient water depth,
in the impoundment
thereby blocking navigation for other traffic.
backwater

Ships and barges can hit underwater obstacles such as rocks and
reefs that are invisible due to inundation. Currents in the impoundment
Hidden submerged
can be so weak that captains and skippers can no longer “read the
rock outcrops in the
water”. Hitting underwater obstacles (usually rock outcrops) can
impoundment backwater
substantially damage the ship hull and lead to sinking or capsizing of
the vessel.

Water level changes

Any sudden release of water

Berthed small boats downstream of the project can be dislodged and
into the downstream river as
swept farther downstream during dam operations (e.g. spillway gate
a result of operations, such
operations, turbine start/stop).
as sediment flushing

116 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Consequences/comments

Sudden changes in water Improper anchored vessels and/or small boats can be dislodged and
levels in the impoundment risk drifting into project infrastructure.

8.3 Pre-project monitoring and analyses

298. Design of navigation facilities should take account of the design and operation of existing
and planned upstream and downstream projects in a cascade.
299. The design should be informed by current and future proposals for free-flow channel
improvements both upstream and downstream of the dam. A number of projects, studies,
and proposals are under consideration, the most important being the Development Plan on
International Navigation on the Lancang-Mekong River (2014–2025) by the Department of
Transport of the Yunnan Province, August 2014.
300. The design should take into consideration two studies conducted by the MRCS regarding
channel improvements in some dangerous areas for navigation (including reefs, rapids, and
shoals):
• “Condition Survey of Dangerous Areas for Navigation between Luang Prabang and
Pakse in the Lao PDR and Thailand – October 2009”; and
• “Condition Survey of Dangerous Areas for Navigation between Huay Xay and Luang
Prabang in the Lao PDR and Thailand – April 2010”.
301. The developer should base the lock design on a detailed understanding of the geological,
geomorphologic, hydrologic, and hydraulic conditions of the dam site, including seasonal
variations. Application of the hydrological and hydraulic models described in Section 2.3
and the sediment modelling described in Section 3.3, can inform detailed planning for
development and operation of the ship locks and its approaches.
302. Adequate channel clearance should be provided for vessels accessing the ship lock. The
need for dredging or rock clearance to ensure safe access to the lock chamber should be
documented. Adequate visibility of both upstream and downstream lock accesses should
be provided.
303. The analyses of changes, risks, and mitigation options relating to navigation should clearly
identify the residual impacts and document where these will occur in the river, in line with
Clauses 7 and 25.

8.4 Design and operational guidance

304. An essential guide for many of the design aspects for the mainstream Mekong ship locks is

Navigation 117
 the 2009 Permanent International Association of Navigation Congresses (PIANC17 report).
Innovations in Navigation Lock Design; and an essential guide for Mekong navigation is the
PIANC InCom WG report n⁰ 141-2019, Design Guidelines for Inland Waterway Dimensions.
It is the developer’s responsibility to obtain these guidance documents through the PIANC
procedures. This Preliminary Design Guidance (PDG) directs the user to specific sections of
these PIANC reference documents for important design requirements.
305. Mitigation options should be evaluated to determine which ones will best address identified
risks. Table 8.2 sets out mitigation options for the broad areas of risk, with more detailed
guidance provided in the clauses following this table. Developers may propose alternative
mitigation options based on the specific site location and associated risks with appropriate
justification.
Table 8.2. Mitigation options for navigation-related risks for mainstream dams

Risk Mitigation options

Ship locks should be earthquake-resistant (see Section 7 Dam

Safety).
Structural integrity of the ship
The design should take into account the geological and
lock infrastructure
geomorphology conditions of the site and the effects of potential
differential settlement

A straight-line approach channel with good approach visibility

should be provided.
Ensure that the guidance wall, ship lock openings, and ship lock
chamber are designed to be in one straight line.
Navigational hazard management measures should be
Issues arising in the implemented (e.g. initial surveys, clearance, markers for remaining
approaches to the ship lock hazards particularly in the impoundment backwater).
and the impoundment Sediment management measures should be implemented (see
Section 3).
Debris management measures should be implemented (e.g.
regular surveys, underwater jet system in front of the sills, manual
mechanical clearance, adeep hole upstream created to capture
potential hazards)

17 PIANC, which was the Permanent International Association of Navigation Congresses, is now the World Association for
Waterborne Transport Infrastructure (www.pianc.org). Documents are readily available at low cost.

118 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Risk Mitigation options

Dredging of navigation channel in affected backwater reaches

Excessive sediment deposits in
including tributary entry points should be carried out and navigation
the impoundment backwater
aids provided.

Hidden submerged rock

outcrops in the impoundment Navigation aids should be provided for high and low water levels.
backwater

Protective measures for ship impacts should be implemented

(e.g. gate protection; steel sliders or armour devices embedded in
concrete walls).
Issues arising within the lock
Mooring facilities should be provided with floating bits, line hooks
chamber(s)
and fenders.
Camera surveillance, loudspeaker for warnings, emergency stop
facilities and traffic light signals should be provided.

The opening sequence of the filling valves for various types and
sizes of boats/vessels/barges should be reprogrammed.
Emptying and filling produces
The filling orifices should be reshaped or eventually, the entire filling
heavy turbulence affecting
system should be redesigned.
vessels
Locking big barges together with small boats should be avoided, or
the filling programme of the culvert valves should be adapted.

Smaller vessels unable to

Alternative methods (tractor/trailer) should be used to move
safely enter and exit the ship
smaller vessels past the structure.
lock

Navigation 119
 Risk Mitigation options

Locks with a lift over 35 meters should not be constructed as a

single ship lock. The design should opt for tandem locks.
Special attention should be paid to avoid cavitation in locks with
lifts of over 25m; may be designed with water saving basins to
substantially reduce the pressure on the culvert valves (PIANC,
2009).18
Cavitation at tainter valves and
Tainter valves with enlarged (deepened) chambers behind the
inside culverts (in locks with
valves should be considered.
over 25-m lift).
The culvert shape behind the filling and emptying valve should be
optimized.
Aeration of the tainter valve with an air intake system should be
considered.
The resistance of the culvert walls should be increased and
improved against cavitation, e.g. by steel plates.

Alternative ways of transhipping goods, cargo and passengers

should be provided during the construction of the ship lock.
Interruption of existing and Information on construction progress should be provided to
ongoing navigation waterway users, in particular to boat associations from upstream
and downstream ports, and commercial waterway transport
operators.

Cascade Joint Operating Rules and Project-Specific Operating Rules

Any sudden release of water should be applied to control how water levels will fluctuate.
into the downstream river as
Early warning notifications should be provided.
a result of operations such as
sediment flushing Prior safety inspections should be carried out ahead of major water
level changes.

Fish passage during The ship lock should be adapted as the sole fishway during
construction construction in accordance with the guidelines under Clause 231.

Lock dimensions
306. Lock dimensions have been decided for all navigation locks to be constructed along
mainstream dams, following the outcome of the Optimisation Study of the Mekong
Mainstream Hydropower Projects commissioned by the Government of Lao PDR. Ship

18 PIANC-InCom report from working group 29 (Report n⁰ 106-2009): “Innovations in navigation lock design”, Section 4.4.5 (p.
82).

120 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 lock chamber dimensions should be at least 120 m x 12 m x 4 m, which comfortably
accommodates a convoy of two 500-t barges (Chinese design) with pusher vessel.
307. The Mekong/Lancang River upstream of the Khone Falls should be considered as a single
navigation unit using the above ship and lock dimensions. Downstream of the Khone Falls
(Cambodia – Viet Nam), different ship lock dimensions may be applied since this is another
separate navigation unit with potential connection to the sea.
Lockage time and availability
308. Lockage time should be kept to the minimum whilst allowing for safe operations and
safe movement of all vessels in the lock chamber(s) and should be guided by PIANC
recommendations.19
309. The design criterion for hawser forces in all possible directions should be ≤ 1% x water
displacement of the vessel (in tonnes) and should be guided by PIANC recommendations.20
310. The locks should be designed to operate at least 12 hours a day, every day of the year.
311. Each lock complex should be operational for at least 98% of its scheduled operating time
during each year of its service life, excluding planned closures for scheduled maintenance
and unscheduled repairs.
312. Outages related to incidental breakdowns should not exceed 2 percent of the operating
time each year.
313. Service outages for scheduled maintenance should be on nine consecutive days (one
working week and the two weekends) each year, during the same period for all dams on
the Mekong mainstream waterway (upstream of Khone Falls) to avoid traffic disruption.
This period should be established in the Cascade Joint Operating Rules. The official body
in charge of navigation coordination along the Mekong River should be responsible for
specifying the dates for servicing.
Approach infrastructure
314. Approach infrastructure should be designed in accordance with PIANC recommendations.21
Three different berthing areas should be provided, each able to berth one full-sized design
vessel/convoy, and include the following:
• a lay-by area where ships can be ready to immediately enter the ship lock as soon as
the preceding vessel has left it or the green entry light is turned on;
• a waiting area where ships can wait if there are several others ahead of them. The

19 See PIANC (2009), Chapter 4.2.5 Duration of Lock Cycle and Vessel Passage (p. 56).
20 See PIANC (2009), Chapter 5.2.3 Mooring Line/Hawser Forces during Filling and Emptying of Lock Chamber (p. 109).
21 See PIANC (2009), Chapter 5.6 Lock Approach Structures (p. 148).

Navigation 121
 waiting area can be an extension of the lay-by area;
• the overnight area where ships and vessels can spend the night. The overnight area
does not necessarily have to be connected to the lay-by or waiting areas, but all
three areas should have access to land via a catwalk or via floating pontoons. The
overnight area may be developed at a later date if demand is low at the time of project
commissioning, and plans submitted at the PNPCA stage should indicate if this is the
case and how it has been provided for; and
• one of the above three areas may provide facilities such as potable water, clean water,
solid and liquid waste facilities, emergency aid, etc.
Service life
315. Each lock complex should be designed for a functional lifetime of 100 years.
316. Some components of the lock may have a service life shorter than 50 years. These
components are listed below and should be designed to allow for easy replacement.
• Metal structures
• Hydraulic jacks
• Ball bearings, pulleys, joints, valves, etc.
• Cables
• Electrical equipment
• Communication and digital safety equipment, cameras, and TV sets.
317. Sufficient spare parts should be obtained during project implementation for the most vital
mechanical parts of the ship lock. Guidance on life cycle management for locks is provided
in the PIANC reference.22
Future expansion
318. The design of the locks system should allow for future construction of a second line of
locks.
319. The owner/operator should be responsible for the construction of a second line of parallel
locks when the number of lockages per year reaches at least 80 percent of the total
maximum possible yearly lockages over a period of two successive years.

22 See PIANC (2009), Chapter 4.3 Life Cycle Management for Locks (pp. 58–63).

122 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
Further design and operational guidance
320. Lock gates and their ancillary equipment should be protected against fire inside the
chamber.
321. An overhead rolling crane, or other lifting equipment, running the full length of each chamber
may be considered to:
• lift floating or sunken debris caught between the mitre door and the sill or lodged inside
the door chamber;
• assist small vessels in cases of emergencies inside the lock chamber;
• position the stoplogs for each lock-head for maintenance purposes (e.g. mitre door
pintle replacement) and repair/replacement of the tainter or sliding valves in the
culverts; and
• support emergency rescue operations for ships in distress inside the lock chamber.
322. If feasible, the ship lock may also be used as additional fish passage during migration
periods (see Clause 231). This additional fish passage may be the only one during the
construction of the powerhouse and the spillway, in which case it is an essential asset to be
considered in the construction planning and should be operated as a fish passage during
construction.
323. The project should make allowance for the installation of a monitoring system that allows
future networking to other mainstream dams, to provide a real-time monitoring of vessel
and barge movements on the Mekong. This may be the precursor of a fully-fledged River
Information System, in which the real-time movement of vessels and barges is monitored
and communicated to upstream or downstream locks and ports.

8.5 Project monitoring and adaptive management

324. Plans for project monitoring of navigation locks should take into account the guidance in
Clause 26. The PNPCA information should demonstrate that plans for navigation-related
monitoring information to be collected during construction and operation will inform:
• Developers’ needs regarding management of navigation lock operations; and
• Indicators that may signal a need for adaptive management responses to navigation
related management and mitigation measures.
325. The monitoring programme for navigation at the construction and operation stage should
include a focus on operational efficiency, adherence to the minimum lock downtimes,
effectiveness of communications and coordination, and maintenance and replacement of
operating components.

Navigation 123
326. Plans for the monitoring programme should include regular monitoring and inspections by
the navigation lock operator of key navigation infrastructure, electro-mechanical equipment
and keep records of navigation movements and any associated issues arising. Bathymetric
surveys at both access channels and approaches should be conducted in coordination with
related sediment monitoring set out in Section 3.5.

124 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 9
Riparian Communities
and River-Based
Livelihoods

Riparian Communities and River-Based Livelihoods 125

 RIPARIAN COMMUNITIES
9 AND RIVER-BASED LIVELIHOODS

9.1 Objectives

327. The objectives for riparian communities and river-based livelihoods are:
• Engage directly-affected riparian communities in all phases of the projects development
and operation in a participatory manner.
• Ensure that directly affected riparian community livelihoods are better than, or at least
restored to, pre-project levels.
• Implement these support measures, where feasible, within existing institutional
frameworks (e.g. the MRC, the government at various levels, civil society organizations).
• Enhance existing, or create new, transboundary cooperative mechanisms as needed
(e.g. to implement support mechanisms for transboundary riparian communities), such
as through national, bilateral, regional and MRC-related frameworks.
328. The socio-economic dimensions of hydropower development on the Mekong River are
recognized in the 1995 Mekong Agreement and the MRC vision. These general directives
have not been translated into specific MRC policies, procedures or guidelines. Member
Country governments maintain the primary responsibility for managing socio-economic
impacts within their borders, and may enter into bilateral and/or regional agreements to
resolve transboundary issues of mutual interest or concern.23
329. The MRC Indicator Framework includes strategic indicators related to social issues (living
conditions and well-being) and economic issues (livelihoods and employment in MRC
sectors). This section of the Guidance only addresses a subset of these indicators, namely
impacts caused by hydropower-induced changes in the river system associated with river-
based livelihoods. River-related well-being is only addressed regarding community health
and safety aspects, which are covered in Sections 4, 5, and 7. Other social and economic
changes are not within the scope of this Guidance, such as disruption of social networks due
to resettlement, impacts on cultural heritage, changes to livelihoods due to land acquisition,
or impacts on the availability of electricity, whether at the local or national level.
330. Definitions relevant to this section are as follows.
• Residual impacts are impacts that remain after all viable avoidance, minimization, and
mitigation measures have been applied.

23 Note that all developments must first and foremost comply with the laws, policies, and standards of the host country (see
Clause 12).

126 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • Livelihood is defined as the capabilities, assets (stores, resources, claims, and access)
and activities required for a means of living.
• In the Mekong mainstream context, a river-based livelihood may include: harvesting
of fish and OAAs, riverbank and floodplain agriculture, riverine transport, sand-mining,
tourism; service provision in relation to these activities; and/or processing and trading
activities in relation to these activities.
• In the context of Mekong mainstream dam development, a directly affected riparian
community is defined as those communities residing alongside, upstream and
downstream of a hydropower project who have river-based livelihoods that are directly
affected by changes in the river system. For practical purposes, this is a subset24 of the
population within a 15-km corridor on both sides of the river who are considered the
riparian population, based on the precedent set by MRC socio-economic monitoring.
Determination of the longitudinal extent of significant changes in the river system
upstream and downstream is as described under Clause 25 and addressed in Sections
2 to 8.
• Directly affected in this context means that the residual impacts can be shown to
directly impact on river-based livelihoods of the riparian communities. Indirect impacts
(for example, impacts from induced population migration, or changes to prices for fish
or construction materials in urban areas) are not within the scope of this guidance.
• Vulnerability (IHA, 2020) refers to the inability of people, organizations, and societies
to withstand adverse impacts from multiple stressors to which they are exposed.
Vulnerable groups are those people who by virtue of gender, ethnicity, age, physical
or mental disability, economic disadvantage, or social status may be more adversely
affected by project impacts than others and who may be limited in their ability to claim
or take advantage of project assistance and related development benefits. A vulnerable
individual is a person who, by virtue of gender, ethnicity, age, physical or mental ability,
economic disadvantage, or social status, is experiencing hardship and would benefit
from targeted support or assistance. Small adverse changes in their livelihoods
can be enough to cause them to fall under the poverty line. They may be at risk of
discrimination. They will often find it more difficult to adapt to rapid social change, which
disrupts traditional norms and social safety nets. They can be less able to deal with
monetary compensation, and more dependent on in-kind compensation. Vulnerable
households and individuals can benefit from a case-by-case approach to management,
which should involve good cooperation with relevant government agencies. Indigenous
peoples may be among those who are highly vulnerable to project impacts.

24 This subset of population will have both river-based livelihoods [Cl 330 (iii)] and be part of the directly affected riparian
community [Cl 330 (iv)].

Riparian Communities and River-Based Livelihoods 127

331. Since riparian communities along the Mekong mainstream will experience cumulative
impacts from a range of developments, the attribution of impact to a single mainstream
dam development requires careful analysis. Any project developer is responsible for
the additional impact to that already experienced by preceding or concurrent dam
developments, as far as can be attributed to limitations in effectiveness of that project’s
mitigation measures.
332. Attribution of physical and biological changes in the river system to a particular hydropower
project is addressed in Sections 2 to 8. Each of these previous sections has guidance on
clearly identifying the likely residual impacts after proposed mitigation measures have been
implemented. This section addresses attribution of livelihood impacts from these changes
in the river system. Attribution requires isolating and estimating the particular contribution of
a change to a livelihoods outcome. This requires clarity about the causality, and awareness
of the many other factors that may evolve alongside the physical change.25 For example, as
the river changes course, farmers may lose income or food security because their riverbank
fields are eroded. A developer should mitigate or compensate for the value of lost land
and production if the river has shifted because of impacts downstream of the hydropower
project (and not because of natural erosion, or changes related to other projects, gravel
mining etc.).

9.2 Risks

333. The Mekong River plays an important role in the lives of riparian communities as a source of
income, food, water, and materials (e.g. sand for construction purposes), a route for trade
and travel, a cultural asset; however, occasionally, it is a threat in case of flooding.
334. Hydropower projects have multiple impacts, both positive and negative, on river-based
livelihoods of riparian communities. These impacts are influenced by: the siting, design,
construction and operation of the projects; measures to mitigate negative impacts or
risks; and measures to enhance positive impacts or opportunities. This section focuses
on the residual impacts of a dam development on directly affected river-based livelihoods
of riparian communities arising from changes in the river, assuming that the guidance in
Sections 2 to 8 has been followed.
335. Residual risks (and opportunities) for riparian communities are cumulative because
changes in the river system are the result of multiple projects and other developments, with
the strongest contribution often from the project directly upstream and/or downstream.
There may be impacts on riparian communities in the country where the hydropower project
is located, and in other countries along the river; some impacts may dissipate with distance

25 Guidance on attribution can be found, for example, in chapter 4 of Leeuw and Vaessen’s (2009) Impact Evaluations and
Development.

128 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 from the project (MRC, 2018a).
336. Residual risks to river-based livelihoods should be comprehensively assessed. Table 9.1
identifies potential residual risks to river-based livelihoods associated with mainstream
dams.
Table 9.1. Potential residual risks to river-based livelihoods associated
with mainstream dams

Potential residual risk Potential livelihood consequences

Unexpected and extreme water ▪ Large (or consequences of dam break) releases can affect
releases from impoundments (as downstream assets, including infrastructure such as bridges,
described in Sections 2 and 7). river ports, houses, farms and irrigation systems, etc.

▪ Sediment deposits in the impoundment backwater can become

obstacles to navigation.
▪ Erosion downstream of a dam or cascade can affect riverbank
and coastal properties.
Projects can affect sediment
▪ Sediment trapping in an impoundment can reduce the
transport and geomorphology (as
downstream availability of sand and gravel for construction.
described in Section 3).
▪ Downstream incision of the riverbed can affect groundwater
levels and agricultural productivity.
▪ Fish habitats such as spawning grounds can be affected, thus
reducing catch.

▪ Fish populations are affected by river fragmentation, habitat

changes, and water quality changes.
▪ Because of the unusually high dependence of people on fish
and OAAs, this is an area of potentially major consequence
Projects can affect aquatic
(Nam et al., 2015).
ecology and fish populations,
both directly and indirectly (as ▪ While some riparian communities may benefit from increased
described in Sections 3 to 6). fishing opportunities in impoundments and below dams, a
majority are expected to experience reductions in subsistence
and commercial fishing resources. This can affect food
security and incomes, and disrupt socio-economic networks
for fish processing and trading.

Riparian Communities and River-Based Livelihoods 129

 Potential residual risk Potential livelihood consequences

▪ Changes in water levels, flow velocities, sediment transport,

Projects can affect local and and the barrier effect of dams influence the type of craft that
long-distance navigation (as can be used, the cost of river transport, the availability of
described in Section 8). goods, the attractiveness for river tourism, as well as the safety
of navigation.

9.3 Pre-project monitoring and analyses

337. The monitoring and analytical approach for riparian communities and river-based
livelihoods should be described in the PNPCA to provide sufficient information to enable the
understanding of residual risks, and should indicate the locations of directly affected riparian
communities upstream and downstream of the project, and the extent of communities
affected including gender-differentiated impacts. It should also include the identification
and analysis of potential support measures, and should also support further analyses of the
effectiveness of measures taken. Clauses 23 to 25 provide basic principles to guide design
of the overall monitoring system and approach to impact analysis.
338. The pre-project analysis should identify and characterize the geographical extent of directly
affected riparian communities, and their river-based livelihoods, and as per the definitions
provided in Clause 330 and further guidance below. Information should be disaggregated
by relevant characteristics including:
• ethnicity, because ethnic minorities frequently have distinct cultural traditions and
livelihoods;
• gender, because of the different roles of women and men in household livelihood
strategies; and
• vulnerability, because vulnerable individuals, households and communities can be more
exposed to risks and less able to benefit from opportunities, when their environment
changes.
339. Communities should be consulted in a respectful and inclusive manner, ensuring that: they
have access to relevant information; consultations are held in a timely manner to ensure
results can still influence decisions on the design of the project and its mitigation measures;
and community leaders as well as representatives of all relevant sub-groups (especially
vulnerable groups) are heard, where necessary separately. Representatives should be
selected by function (e.g. formal leadership functions), on the basis of statistically valid
representation of all identified sub-groups, and self-selected on the basis of interest in the
project.

130 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
340. For directly affected riparian communities that live a short distance from the project (i.e.
within the area directly required for the reservoir and other infrastructure, within a specified
radius of any project infrastructure, and/or as defined by the relevant national agency),
baseline information to inform assessment of project residual impacts may already be
required under national EIA regulations, and should provide:
• information on the number and location of households in each community, broken
down by relevant characteristics;
• statistics on livelihoods within each community, correlated with demographic
information;
Some data for this baseline information that are available from national statistical services,
while other data must be specifically collected from village and household surveys and
consultations during project preparation. Some Member Countries have issued specific
guidance related to some socio-economic aspects (e.g. Lao PDR is requesting developers
to submit health impact assessments) which may contribute to this baseline information.
The developer should seek as far as practicable to match the detailed baseline information
for these communities with the data that can be obtained from the MRC’s Social Impact
Monitoring and Vulnerability Assessment (SIMVA) and other secondary sources (see
below).
341. From directly affected riparian communities living at a longer distance, i.e. living further
upstream and downstream from the area described above, baseline data can be extracted
from existing sources; the SIMVA regular surveys of households in the 15-km Mekong
corridor are the preferred source. The following are the attributes of the SIMVA information:
• SIMVA data are available from the MRC, which can also provide other socio-economic
information or direct developers to other sources (e.g. national statistics, local
government information, and dedicated studies).
• The SIMVA provides consistent data with a focus on socio-economic dependence on
water resources and resilience to changes in these resources, differentiated by socio-
ecological zones and sub-zones along the lower Mekong mainstream, Tonle Sap and
delta.
• The SIMVA is also set up to identify and track trends over time, which is necessary to
document impacts that result from gradual changes to the river (e.g. geomorphological
changes) and to allow for adaptive management.
• SIMVA parameters are part of the emerging MRC Indicator Framework, which is
expected to guide strategic planning, State of the Basin reporting, and coordinated
national-level monitoring. The SIMVA methodology is updated with each survey, but
may not cover some parameters or locations where impacts are expected.

Riparian Communities and River-Based Livelihoods 131

 • Where available data are insufficient for baseline documentation and impact
assessment, the developer may have to commission additional studies.
• While it is not practical to engage all longer-distance communities in a participatory
manner, representative samples of affected communities as well as relevant experts
and authorities should be consulted. This may include, for example, non-governmental
organisations working at the community level, local and provincial government
agencies, and academic experts.
342. All socio-economic data gathered during project preparation should be analysed and the
results presented in accordance with good practices on social impact assessment (e.g.
Kyam, 2018; Vanclay et al., 2015). Because socio-economic conditions can change rapidly,
data should represent the current status. Data sources, analysis methods, people consulted,
and other relevant information should be provided.
343. The focus of the analysis should be on the identification and, as far as possible, quantitative
prediction of residual impacts, to inform design, operations, mitigation, and compensation
decisions. This requires application of the predictive models used for Sections 2 to 8 to
indicate the likely effectiveness of mitigation measures and the remaining likely residual
impacts. These predictions of residual impact should then be linked to the predicted
consequences on the riparian communities, within the scope defined in Section 9.1.
344. Impact prediction should distinguish between project-specific and cumulative impacts, and
attribute impacts to individual projects wherever possible. Impact prediction should also
distinguish between shorter and longer distance, and local and transboundary impacts.

9.4 Design and operational guidance

345. Guidance on impact avoidance, minimization, and mitigation measures is provided in

Sections 2 to 8. Measures at the project site to address negative impacts on river hydrology
and hydraulics, sediment transport, water quality, aquatic ecology, fish, dam safety, and
navigation will also partially address the induced socio-economic impacts on riparian
communities. This section provides guidance on addressing the residual impacts that
cannot be mitigated.
346. Residual socio-economic impacts on riparian communities will remain, because mitigation
is rarely designed to fully eliminate impacts and may not work as intended, and because
impacts are cumulative, resulting from multiple projects that may or may not be using good
practice mitigation approaches.
347. Options for support measures should be evaluated to determine which ones will best
address residual impacts on riparian communities from the particular project under
consideration. Table 9.2 outlines a number of support measures that may be considered

132 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 to address the residual risks listed in Table 9.1. Proposed support measures should not be
limited to those in Table 9.2 and may encompass others.
Table 9.2. Potential support measures to address residual risks to river-
based livelihoods associated with mainstream dams

Potential residual risk Potential support measures

▪ Measures to increase resiliency of infrastructure to changing

water levels (e.g. through design of bridges, riverbank roads,
Unexpected and extreme water boat ramps and river ports, water intakes for municipal use and
releases from impoundments (as for irrigation, pipelines, and power and communication lines)
described in Sections 2 and 7).
▪ Emergency planning and communications
▪ Replacements of lost assets, including boats, livestock, etc.

▪ Flushing and dredging to support navigation

▪ Strengthening of river banks and dikes (e.g. levees,
embankments) to protect high-value lands such as settlements
▪ Adaptation or replacement of riverside infrastructure where
Projects can affect sediment affected, for example lowering of water intakes in case of
transport and geomorphology (as riverbed deepening
described in Section 3). ▪ Support in case of physical or economic displacement, such
as equivalent replacement land and homes, and livelihood
restitution or alternative livelihoods support (see below)
▪ Access to alternative construction materials to replace reduced
availability of sand and gravel, such as off-stream borrow pits

▪ Offsets to increase fish populations (improvement of fish

passage and habitat in other parts of the river system;
hatcheries and stocking; see Clause 247)
▪ Alternative livelihoods support including training, equipment,
Projects can affect aquatic
credit schemes, job placement, and market development
ecology and fish populations (as
▪ Access to the reservoir, boats and other fishing gear, and
described in Sections 3-6).
facilities for landing, cooling, processing and marketing
▪ Access to alternative food production options and markets,
including high-value options such as fruit trees, aquaculture,
dairy, etc.

Riparian Communities and River-Based Livelihoods 133

 Potential residual risk Potential support measures

▪ Alternative transport if impoundment or dam becomes a

Projects can affect local and barrier (ferries, bridges, bypass roads, bus services etc.)
long-distance transport (as
▪ Safety measures such as marking of submerged rocks
described in Section 8).
▪ Provisions to allow small craft to traverse dam.

348. The developer should show that residual impacts have been identified, the consequences
on riparian communities and river-based livelihoods have been described, and that various
support measures have been analysed against the following criteria:
• Areas of impact should be prioritized in terms of impact magnitude, extent and
consequence, and support measures proposed for priority impact areas.
• Support measures should directly relate to the area of residual impact (e.g. reduction
in fish biomass), and ideally provide benefit for those riparian communities who are
directly affected. It is recognized that timing of experience of impact and of benefit may
be difficult to predict, but linkages between impact recipients and support beneficiaries
should be made as far as practical.
• Support measures should be demonstrably practical and feasible, with an ability to
easily clarify the contribution that should be made by the developer, as well as any other
factors that may affect the success of the support. For this reason, one-time measures
that can be implemented by the developer during project construction and then handed
over to the relevant national agency are generally preferred over a measure that requires
long-term commitment and management by the developer.
• Support measures should be cost-effective, with the proposals oriented towards those
measures with the highest return for funding provided. Funding commitments should
be adequate to fully cover all requirements for the support measures.
• Support measures should aim for sustainable outcomes in the long term. For example,
one-off compensation payments are unlikely to address the core issue of river-based
livelihood impact, whereas provision of a well-selected infrastructure contribution
could provide a long-term benefit.
• Whether the directly affected communities are located at a shorter or longer distance
from the project, and are local or transboundary may have implications for the proximity
of monitoring, the ease of attribution, and the institutional arrangements required and
practicality of different types of support measures. For example, measures that require
continuous involvement by the developer over the lifetime of the project are more
feasible for short-distance than for long-distance, transboundary impacts.

134 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
349. Depending on the results of the residual impact analysis, a number of support measures
such as those listed in Table 9.2 may be warranted in order to adequately address the
nature and degree of residual impact. As far as practical, every effort should be made
to characterize the degree of residual impact and the appropriateness of the proposed
support measure(s). For example, if a fish passage is designed for a certain percentage
of effectiveness, the potential loss of catch can be calculated, and measures can be taken
to compensate the residual impacts of this loss. Clause 247 provides a number of specific
examples of potential offset measures that can be taken to address residual impacts to
fisheries, and provides some technical guidance in relation to these measures.
350. Some support measures can be delivered in the form of river-related community benefits,
for example from usage of the impoundment. These should be considered from an early
stage and in dialogue with relevant national agencies to allow for setting appropriate rules
and providing required facilities (e.g. boat ramps).
351. Developers are not necessarily best placed to practically implement longer-distance and
transboundary measures directly. These measures may be best implemented through an
appropriately funded National or Regional Agency or an alternative governance arrangement.
It would be important for roles and responsibilities in any such arrangements to be tightly
defined so that the funding support is directed in a timely manner to the intended focal area.
352. The most effective local arrangements for implementation and governance of any support
measures should be identified in conjunction with national agencies, while those relating
to cross-border arrangements may be identified in conjunction with the relevant Member
Countries and/or regional agencies such as the MRC. These should be informed by MRC
documents and frameworks such as the Basin Development Strategy. Cross-border support
measures to address residual impacts may require new institutional approaches, including
bilateral or multi-lateral agreements negotiated between Member Country governments
that cover initial implementation and ongoing management responsibilities, such as the
funding arrangements.
353. Additional information on aspects of good socio-economic practices related to hydropower
not directly addressed in this Guidance is readily available (IFC, 2018a, 2018b; IHA, 2020;
Wang, 2012).

9.5 Project monitoring and adaptive management

354. Plans for project monitoring of riparian communities and river-based livelihoods should
take into account the guidance in Clause 26. The PNPCA information should demonstrate
that plans for livelihoods-related monitoring information to be collected during construction
and operation will inform:
• whether avoidance, minimization and mitigation measures as described in Sections 2

Riparian Communities and River-Based Livelihoods 135

 to 8 are sufficient or if residual impacts are greater than anticipated;
• developers’ needs regarding management of any support measures; and
• indicators that may signal a need for adaptive management responses to livelihood-
related support measures.
355. The developer is responsible for monitoring, either by gathering data directly, by using data
from secondary sources, or by ensuring that data are gathered by a third party.
356. The effectiveness of any support measures should be regularly monitored. Depending
on the nature of the measures, this may involve, for example, monitoring of the operation
and maintenance of physical structures (such as fish passages) or of any activities that
could reduce the success of such measures (such as fishing at a passage). If necessary,
corrective action should be undertaken.
357. Additionally, specific socio-economic monitoring should be conducted to capture possible
declines in river-based livelihoods. This should be differentiated by population groups,
tracking key parameters initially identified for baseline studies (see Section 9.3 above).
358. In the shorter-distance riparian communities living alongside the project (see Clause 340),
river-based livelihoods should be monitored under the direct responsibility of the developer.
For the longer-distance riparian communities upstream and downstream (see Clause 341),
monitoring should be conducted primarily through the MRC’s SIMVA surveys and other
monitoring frameworks, as regularly reported under the MRC Indicator Framework and
State of the Basin report, and data extracted and analysed to track project impacts. Updates
to the monitoring frameworks that support improved understanding of impacts over time
should be taken into account while ensuring consistency of data series.
359. Where analysis shows that publicly available socio-economic data are likely to be insufficient
to capture impacts, both in scope (gaps in indicators and parameters) and in temporal and
spatial resolution (surveys not frequent enough or not in the right locations), additional
monitoring should be undertaken. Such additional monitoring may require clarification
of responsibilities between developers and government agencies, and in the case of
transboundary impacts, agreements between upstream or downstream Member Countries.
These agreements may need to cover monitoring responsibilities and methods, as well as
the regional and/or cross-border country for sharing data. To reduce the cost of monitoring
and increase the compatibility of results, it may be undertaken in a cooperative manner with
other developers, or with third parties.
360. If construction or operation stage monitoring detects significant declines of river-based
livelihoods for directly affected riparian communities, which can be attributed to the
project or to a group of projects (instead of to other changes in the river system), adaptive
management options would include:

136 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 • revisions to project-level mitigation measures described in Sections 2 to 8, to remove
the sources of residual impacts as far as possible; and/or
• additional support measures to address the consequences of residual impacts, such
as listed in Table 9.2.

Riparian Communities and River-Based Livelihoods 137

DEFINITION OF TERMS

A structured, iterative process of decision-making towards achievement of

Adaptive objectives in the face of uncertainty. The aims are to reduce uncertainty over time
management via monitoring, and improve achievement of objectives via updated management
responses to the monitoring findings.

Simple, non-flowering, and typically aquatic plant of a large assemblage that

Algae includes the seaweeds and many single-celled forms. Algae contain chlorophyll
but lack true stems, roots, leaves, and vascular tissue.

Anaerobic Without oxygen.

The probability of a flood event occurring in any year, expressed as a percentage.

Annual
For example, a large flood which may be calculated to have a 1% chance to occur
exceedance
in any one year is described as 1% AEP. A flood with an average recurrence
probability
period of 100 years can be expressed as the 1% AEP flood.

Avoid To ensure that any harmful effects will be negligible.

The river reach over which flow velocity is altered due to a dam. The upstream
Backwater extent of the backwater will vary as the water level in the impoundment changes.
Higher water levels will extend the backwater further upstream.

Impacts on fish caused by rapid changes in pressure (mainly decompression),

Barotrauma
commonly experienced in turbines and through undershot spillway gates.

Material that is episodically transported by rolling or hopping along the bed of the
Bedload river, and is typically sand-sized or larger. Bedload transport is greatest during
periods of high flow

The community of organisms living on the bed or bottom of a river, lake or

Benthos
impoundment.

Blade strike The direct impact of a turbine blade on fish.

A constructed retaining wall around a storage area. It is constructed to contain

Bund, bunding any leakage of stored substances that may cause pollution or harm, or to retain
water such as for ecological objectives along a river reach.

138 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 A series of dams with no, or small, free-flowing river segments in between. The
dams in a cascade are placed so that the runoff of the first project is the inflow
to the second project, and so on. In the Mekong mainstream there is an upper
Cascade
and lower Lao cascade; the river in between these two cascades is too long to
consider them connected, and so all dams in the Mekong mainstream are not
one cascade.

Chemical Oxygen A measure of the capacity of water to consume oxygen associated with the
Demand (COD) decomposition of organic matter and the oxidation of inorganic chemicals.

A provision made in recognition of a loss, in this context typically through an

Compensation
“offset” measure.

Confluence Where a tributary river meets the mainstream Mekong River.

Mekong Basin Modelling and Knowledge Base, which comprises a suite of

integrated computer models representing, at basin-scale, the surface water
Decision Support resource system of the Lower Mekong Basin (LMB). It is underpinned by a
Framework (DSF) knowledge base of input and output data, and a range of analytical and reporting
tools to facilitate assessment of potential flow changes on environmental and
social conditions.

The process of devising and specifying a system, physical project component,

or process to meet a stated objective. Design may apply to specifications for the
Design infrastructure to be built, and to procedures and plans that may be implemented.
Design typically develops through concept, feasibility and detail stages, with the
feasibility stage design informing the PNPCA information.

Directly affected Communities residing alongside, upstream and downstream of a hydropower

riparian project who have river-based livelihoods that are directly affected by changes in
community the river system. This is a subset of the riparian population.

The lowering of the impoundment water level, or of the river level downstream of
Draw-down
a hydropower project due to operations.

The downstream passive movement of fish eggs and larvae or aquatic insects in
Drift
the current.

The quality, quantity, and timing of water flows required to maintain the
components, functions, processes, and resilience of aquatic ecosystems,
Environmental
which provide goods and services to people. Environmental flow requirements
flow
reflect the ecological objectives to be achieved, and should be incorporated into
operating rules relevant to the structures that deliver these requirements.

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin 139
 The top layer of water in a stratified lake or impoundment, usually warmer and
Epilimnion
often with higher concentrations of oxygen than the lower layers.

An individual who has a high degree of knowledge in a particular field as a result

Expert
of a high degree of experience and training.

A disease caused by infection with roundworm parasites usually transmitted by

Filariasis mosquitoes. The worms may infect the lymph nodes in humans, causing fluid to
accumulate in the limb drained via the infected node.

A group of fishes that exhibit the same behavioural (typically migratory),

Fish guild
reproductive or trophic characteristics.

A plot that shows the percentage of time that a river flow is likely to equal or
exceed some specified value of interest. For example, it can be used to show the
Flow duration percentage of time that a river flow can be expected to exceed a design flow of
curve some specified value (e.g. 20 m3/s), or to show the discharge of the stream that
occurs or is exceeded some percent of the time (e.g. Q95 is the flow exceeded
95% of the time, Q10 is the flow exceeded 10% of the time).

An operation of a hydropower project for purposes such as sediment discharge,

Flushing in which gates are opened to allow short-term water release that by-passes the
turbines.

A condition that occurs when the partial pressures of atmospheric gases in

solution exceed their respective partial pressures in the atmosphere. Gas
supersaturation can occur when water is exposed to air that is at higher than
Gas normal pressure in hydropower turbine systems or dam spillways. When the
supersaturation sum of the partial pressures of all dissolved gases exceeds atmospheric
pressure, there is potential for gas bubbles to develop in water and in the aquatic
organisms that inhabit the water. This causes a condition known as ‘gas bubble
disease’, which can kill fish and aquatic invertebrates.

The shape and character of the river channel, including the composition of the
Geomorphology
materials in the channel, and the dimensions of the channel (shape, slope).

The exercise of the degree of skill and care, diligence, compliance, prudence, and
foresight that would reasonably and ordinarily be expected from a skilled and
Good practice
experienced developer engaged in any jurisdiction on hydropower projects of a
similar scope and complexity to those that are the subject of this Guidance.

140 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 Information or advice provided as a source of reference. Guidance can be used
as a source of advice in how to address considerations of stakeholder concern
Guidance
or interest, and can be used to encourage common and coordinated approaches
among different parties.

An infrastructure project that enables the generation of electricity from moving

water. Different modes of operation are possible depending on the project
Hydropower scale and configuration, ranging from ‘run-of-river’ (hours to a few days of water
project retention in the impoundment) to ‘storage’ (retainment of water for a period of
weeks to months for later release). This guidance is concerned primarily with the
mainstream ‘run-of-river’ type.

The properties, distribution and circulation of water in the atmosphere and

on land. Hydrology concerns the amount of water (volume) that is reaching a
Hydrology
hydropower project from runoff processes, and that is transferred through the
project.

The details of the motion of water and its practical applications. Hydraulics
Hydraulics concerns water depths, velocities, turbulence, the transfer of flood waves, and
other properties of flow in rivers and impoundments.

The bottom layer of water in a stratified lake or impoundment, usually cooler and
Hypolimnion
often with lower concentrations of oxygen than the upper layers.

Here, any retained body of water behind a built structure, regardless of storage
Impoundment
size, capacity or mode of operation.

Collected in place; in the case of sediment transport, measurements that are

In situ
completed within the river channel (such as velocity, discharge, or grain size).

An individual who has no role in the design or operation of the project, no

Independent financial or other interests in the project, and is accepted as providing an
objective view.

An animal lacking a backbone. Invertebrates include insects, crustaceans,

Invertebrate
worms, and molluscs.

Sampling techniques that collect a sample proportional to the flow at the time of
Isokinetic
sampling, e.g. a larger portion of the sample is derived from areas within the river
sampling
cross-section with higher water velocity.

Joint
Environmental monitoring undertaken in a coordinated programme that
environmental
encompasses more than one hydropower project.
monitoring

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin 141
 Joint operations Operating regimes coordinated amongst hydropower projects within a cascade.

Lentic Non-flowing or standing water, as in a lake or pond.

Littoral zone Shallow marginal areas along the banks of rivers, lakes and impoundments.

The capabilities, assets (stores, resources, claims and access) and activities
Livelihood
required for a means of living.

A parasitic digenean flatworm that can parasitize humans via uncooked fish. The
adult worms commonly colonize the liver or lungs of the host, which is a human
Liver fluke or other mammal. They have a complex life cycle, often involving a freshwater
snail and a freshwater fish, before reaching the human host by burrowing through
the gut wall when the human host eats raw infected fish.

Lotic Flowing water, as in a river or stream.

A tributary in the zone affected by the project (see Clause 20) providing 2% or
Major tributary
more of the flow at its confluence with the mainstream.

The measure, if implemented, would considerably reduce harmful effects or the

Minimize
risk of harmful effects.

The measure, if implemented, would reduce the impact of any residual harmful
Mitigate effects on other users of the Mekong River System, including those in the other
Member States.

A concise expression for what is understood to be a sequential process.

Measures to avoid or prevent negative or adverse impacts are always prioritized.
Mitigation
Where avoidance is not practicable, then minimization of adverse impacts is
hierarchy
sought. In this context, where avoidance and minimization are not practicable,
then mitigation measures are undertaken.

Morphological The river channel and adjoining floodplains remain in a similar state over time,
equilibrium even though there can be high variability over short time-periods.

Multivariate
analysis of
A procedure for comparing multivariate sample means.
variance
(MANOVA)

An action that counteracts something by having an equal and opposite

force or effect. In the context of biodiversity impacts for example, where a
Offset
local biodiversity loss cannot be avoided, a contribution is made to regional
biodiversity objectives by investing in improvements at an alternative location.

142 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 The set of documented instructions that direct the actions taken by a hydropower
project, such as: impoundment management; power station operation;
discharge releases; and management of specific infrastructure such as gates,
Operating rules
the navigation lock, and fish passage facilities. Cascade Joint Operating Rules
(normally set by the notifying country) establish a framework for Project-Specific
Operating Rules.

Other aquatic Aquatic animal groups other than fish that are exploited for human consumption
animals (OAAs) or use, such as molluscs, crustaceans and snakes.

A mode of operation of a hydropower project in which electricity generation

occurs at times of peak demand within a 24-hour period, resulting in varying
Peaking discharges of water to the downstream river. LMB mainstream run-of river
projects may have limited ability to load-follow due to storage and head
constraints.

Specifications of measurable outputs, quality standards, or outcomes such as the

Performance measured effectiveness of fish passage results in sustainable fish populations.
standards Measured seasonal sediment load downstream of impoundment shows effective
transmission of sediments through impoundment.

Plant-like cells of algae and bacteria that float within water in a lake, river, or
Phytoplankton
impoundment, and grow by using sunlight and the nutrients within the water.

Organisms that float in the water of a river, lake, or impoundment. Includes

Plankton
mainly small plants and animals.

The largest flood that could conceivably occur at a particular location, usually
Probable estimated from probable maximum precipitation coupled with the worst flood-
maximum flood producing catchment conditions, and accounting for operations of upstream
dams.

Operations of a hydropower project including: the power station to meet Power

Purchase Agreement (PPA) obligations; spillway gates for flood management
Project operations
or sediment flushing; fish passage infrastructure; navigation locks; and
maintenance needs.

Eukaryotic microscopic organisms that cannot be classified as plants, animals,

Protist
bacteria or viruses.

A mode of operation in which a hydropower project controls the rate of rise

Ramping (up-ramping) or fall (down-ramping) of water level in the impoundment or
downstream discharges.

Ramping rate The rate of change of stage (and/or discharge) per unit time (m/h or cm/h).

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin 143
 A graph of discharge versus stage for a hydrometric monitoring station; the
Rating curve corresponding discharge can be directly read from the graph when a water level
is observed.

The impacts that remain after all viable avoidance, minimization and mitigation
Residual impacts
measures have been applied.

Riparian The population living within a 15-km corridor on both sides of the Mekong River,
population based on the precedent set by the MRC socio-economic monitoring.

Schistosomiasis An illness caused by schistosome parasites.

A trematode flatworm, some of which infect humans where they can live in the
blood vessels of the liver, gut and pelvic region. They have complex life cycles,
Schistosome completing part of their development in freshwater snails, from which larvae are
released, which then can burrow through the skin of people and other mammals
that come into contact with infected water.

The active movement of particulate material through a river system. Sediments

are composed of inorganic and organic matter, and are divided into the following
grain sizes, which should be adopted by developers in documentation presented
as part of the PNPCA.
Grain-size definitions of sediment classes

Name Size (mm)

Large boulder >630
Very coarse sediment Boulder 200 – 630
Cobble 63 – 200

Sediment Coarse gravel 20 – 63

transport Gravel Medium gravel 6.3 – 20
Coarse Fine gravel 2.0 – 6.3
sediment Coarse sand 0.63 – 2.0
Sand Medium sand 0.20 – 0.63
Fine sand 0.063 – 0.20
Coarse silt 0.02 – 0.063
Fine Silt Medium silt 0.0063 – 0.02
sediment Fine silt 0.002 – 0.0063
Clay Clay <0.002

Source: Adapted from ISO14688-1: 2017*

144 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
 The entrainment of soil or sediment particles by water flowing from the river bank
Seepage erosion
to form a zone of seepage undercut, potentially leading to bank failure.

Suspended organic material within the water, including both (living) plankton and
Seston
non-living organic particles.

A force that causes layers or parts to slide upon each other in opposite
directions. It can result from the intersection of two water masses, which causes
Shear stress friction and can injure fish. It is also responsible for the movement of sediment
along the bed of a waterbody. Shear stress is proportional to the surface slope of
the waterbody and increases during periods of up-ramping and down-ramping.

A principle consistent with Mekong Agreement, Article 4, recognizing that the

Member Countries have the sole authority to regulate developments in their
Sovereignty
territories, but should require developers to make every effort to apply this
Guidance consistent with their commitments in the Mekong Agreement.

The state of a waterbody whose layers within the water mass have different
properties (e.g. salinity, temperature, oxygen, density). These layers can act as
Stratification
barriers to water mixing, which may lead to anaerobic conditions in the bottom
layer.

A principle recognizing that dam owners and operators are best placed to
Subsidiarity
optimize mitigation measures based on their own operations.

Sediment that is carried in suspension. During periods of high flow suspended

Suspended
sediment typically includes clay, silt, and sand; during periods of low flow, it is
sediment
typically restricted to clay and silt.

Sediment that is carried in suspension. During periods of high flow suspended

Tailwater sediment typically includes clay, silt, and sand; during periods of low flow, it is
typically restricted to clay and silt.

The section of river immediately downstream of the future dam and associated
Tailwater
structures.

From a longitudinal view, the deepest part of riverbed from the source to the
Thalweg mouth; the line of steepest descent along the streambed or deepest point in any
given cross section.

The boundary between the upper warm water and the lower cooler water in
Thermocline
stratified lakes or impoundments.

Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin 145
 Erosion or deposition at the confluence of a tributary with the mainstream river
Tributary
due to changes in the base level of the mainstream river caused by damming or
rejuvenation
other flow alteration.

Animals, mainly small crustaceans, rotifers, and protists, which float within the
Zooplankton
water of a river, lake or impoundment.

146 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin
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Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin 151
 P.O. Box 6101, 184 Fa Ngoum Road, Unit 18, Ban Sithane Neua,
Sikhottabong District, Vientiane 01000, Lao PDR
T: +856 21 263 263 F: +856 21 263 264
www.mrcmekong.org

152 Preliminary Design Guidance for Proposed Mainstream Dams in the Lower Mekong River Basin