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Environmental and livelihood impacts of dams:
common lessons across development gradients that
challenge sustainability
a
b
Marcus W. Beck , Andrea H. Claassen & Peter J. Hundt
c
a
Conservation Biology Graduate Program, University of Minnesota, 200 Hodson Hall,
1980 Folwell Ave, St. Paul, MN, 55108, USA
b
Conservation Biology Graduate Program, University of Minnesota, 200 Hodson Hall,
1980 Folwell Ave, St. Paul, MN, 55108, USA E-mail:
c
Conservation Biology Graduate Program, University of Minnesota, 115 Ecology, 1987
Upper Buford Circle, St. Paul, MN, 55108, USA E-mail:
Available online: 11 Jan 2012
To cite this article: Marcus W. Beck, Andrea H. Claassen & Peter J. Hundt (2012): Environmental and livelihood impacts
of dams: common lessons across development gradients that challenge sustainability, International Journal of River Basin
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Intl. J. River Basin Management iFirst, 2012, 1 –20
# 2012 International Association for Hydro-Environment Engineering and Research
Research paper
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Environmental and livelihood impacts of dams: common lessons across development
gradients that challenge sustainability
MARCUS W. BECK, Conservation Biology Graduate Program, University of Minnesota, 200 Hodson Hall, 1980
Folwell Ave, St. Paul, MN, 55108, USA. Email: [email protected] (author for correspondence)
ANDREA H. CLAASSEN, Conservation Biology Graduate Program, University of Minnesota, 200 Hodson Hall,
1980 Folwell Ave St. Paul, MN 55108, USA. Email: [email protected]
PETER J. HUNDT, Conservation Biology Graduate Program, University of Minnesota, 115 Ecology, 1987 Upper
Buford Circle St. Paul, MN 55108, USA. Email: [email protected]
ABSTRACT
The economic benefits of dams have been assumed to outweigh the costs, thus providing rationale for construction of dams around the world. However,
the development of these structures can be accompanied by negative biophysical, socio-economic, and geopolitical impacts; often through the loss of
ecosystem services provided by fully functioning aquatic systems. Moreover, impacts of dams can be involuntarily imposed on marginalized peoples
whose livelihoods are dependent on riverine resources. In this review, we examine the impacts of dam projects in regions of the world that are at different
stages of development, using the USA, China, and Southeast Asia to represent a development gradient from developed to developing, respectively. Case
studies for each region illustrate the environmental and livelihood impacts of dams in each region, while also providing a basis to better understand how
environmental degradation is directly related to economic growth. We conclude that a distinct temporal component related to development mediates the
relationship between policies and governance mechanisms and the mitigation of environmental and social costs of dams. The role of affected individuals
to influence the political will behind dam projects and the importance of environmental advocacy is emphasized as a fundamental approach towards
more sustainable development.
Keywords: Dam; environment; livelihood; USA; China; Southeast Asia
1
45,000 large dams (greater than 15 m in height) exist worldwide
(DiFrancesco and Woodruff 2007), that provide water supply,
flood control, waterpower for mills, hydroelectric power,
improved navigation, recreation, and waste disposal (Graf 2002).
The rapid increase in dam projects during the early and middle
twentieth century was driven by socio-economic and political
pressure to increase the quality and quantity of water for production while simultaneously minimizing its destructive potential (i.e. water security). Advances in structural engineering,
such as the use of pre-stressed concrete (Arthur 1977), also contributed to the proliferation of dams. Recently, dam construction
in developed countries has decreased as a majority of economically viable projects have already been pursued. Moreover,
changes in ideology and a growing awareness of the environmental and social impacts of dams have become important
factors that influence valuations of dam projects in developed
Introduction
Rivers have played a major role in shaping the earth’s physical
and ecological landscapes through their unique hydrologic
characteristics, as well as shaping cultural landscapes by providing food, water, and other ecosystem services. With the rise of
ancient civilizations came a rise in building dams and diversions
for water storage, irrigation, transportation, and flood control. As
early as 6500 BC, the Sumerians constructed dams across the
Tigris and Euphrates rivers to provide flood control and irrigation
for crops (McCully 2001). By the first millennium BC, stone and
earthen dams were erected on nearly every continent, enabling
the acquisition of water and food to sustain population growth.
Dam technology advanced slowly until the Industrial Revolution
when larger dams were built in less time and from man-made
materials (DiFrancesco and Woodruff 2007). Today, more than
Received 29 June 2011. Accepted 6 January 2012.
ISSN 1571-5124 print/ISSN 1814-2060 online
http://dx.doi.org/10.1080/15715124.2012.656133
http://www.tandfonline.com
1
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2
Marcus W. Beck et al.
countries (Born et al. 1998, Johnson and Graber 2002). Dams
that no longer function for their intended purposes or that pose
safety hazards have been decommissioned and removed (Katopodis and Aadland 2006). However, the political-ecology dimension of developing countries and the multiple utilitarian benefits
provided by dams continue to favour the proliferation of these
structures in regions where the resources offered by freeflowing rivers provide incentive for industrial and infrastructure
development (Goodland 1997). The potential negative impacts
of dams on the environment and natural resource-based livelihoods of local peoples are often considered by decisionmakers to be acceptable costs relative to the economic benefits
these structures can provide.
1.1
Negative impacts of dams
The impacts of dams on the biological, geophysical, and chemical processes of rivers have been extensively documented (Goldsmith and Hildyard 1984, Petts 1984, Graf 1999, WCD 2000).
Although specific environmental impacts of dams are influenced
by local conditions, as well as the size and type of dam constructed, similar environmental impacts of dams have been documented in various regions of the world, and are generally not
unique to a specific location or ecosystem.
Negative environmental impacts of dams can occur upstream,
downstream, and in reservoirs. In addition to habitat degradation
or destruction, dams induce significant barrier effects by blocking the downstream flow of sediment and nutrients and preventing the migration of fish and other aquatic organisms (Lessard
and Hayes 2003, Meixler et al. 2009). Additionally, altered
flow rates may negatively impact aquatic organisms that
depend on critical thresholds of water level, velocity, or timing
for life history stages (Bunn and Arthington 2002, Dugan et al.
2010). Dams may also negatively impact aquatic organisms by
altering water temperature and dissolved oxygen both within
reservoirs and outflows (Lessard and Hayes 2003). Reservoirs
may also contribute to atmospheric greenhouse gases (e.g.
carbon dioxide and methane) through the decomposition of
flooded biomass and soils (St. Louis et al. 2000, Mäkinen and
Khan 2010).
The creation of a reservoir from damming a river has multiple
social and economic impacts on individuals living near the dam
project. Resettlement and loss of land from reservoir inundation
is the most prominent impact from dam construction. Environmental impacts of dams and consequent reduction in access or
availability of fish and other riverine resources may negatively
impact human livelihoods as well. Reservoir fisheries may be
poor substitutes for river fisheries as a result of lower productivity and the need for periodic restocking of introduced
fish populations that are not self-sustaining (Marmula 2001,
Baran et al. 2007). In many parts of the world, fish and other riverine resources are critical to sustaining human livelihoods by
providing food and financial security (Shoemaker et al. 2001,
DiFrancesco and Woodruff 2007). Indigenous groups pursuing
subsistence lifestyles are often the most heavily impacted by
loss of natural resources from dam construction (McCully
2001). Reservoirs also increase health risks for individuals that
maintain physical connections with aquatic environments.
Reservoirs provide breeding habitat for vectors of water-borne
diseases, such as malaria and schistosomiasis, which otherwise
are found in substantially lower abundances in undammed
rivers (Goldsmith and Hildyard 1984).
Additionally, flood control is a major incentive for building
dams. However, a decreased occurrence of natural flooding
reduces downstream sediment deposition important for restoring
the fertility of riparian areas (Shoemaker et al. 2001, Lebel et al.
2005). Flood control may also give a false sense of security potentially causing more loss of life and property during unusually large
flooding events than if no flood control structures were in place
(Lebel et al. 2005). Many cases exist where dam failure during
construction or ageing was disastrous for local communities
(Baird et al. 2002, Graham 2009). Indeed, safety concerns (followed by environmental concerns) are the leading reasons for
removal of dams in Wisconsin, USA (Born et al. 1998).
Finally, dams have impacted the cultural, aesthetic, and recreational values of natural rivers. Although dams and reservoirs
may also provide some of these benefits (Doyle et al. 2000,
Anderson et al. 2008), river-based recreational activities and
river-front property associated with dam removal may provide
more long-term cultural, aesthetic, and recreational benefits (Sarakinos and Johnson 2002, Provencher et al. 2008). Additionally,
dam projects that displace indigenous populations can greatly
erode social cohesion leading to long-term losses in culture
(Goldsmith and Hildyard 1984, Garrett 2010).
1.2
Sustainability of dams
The global increase in construction of dams during the twentieth
century and the associated negative impacts has brought attention to the need for project managers and financiers to adopt
more sustainable practices in construction, operation, and eventual removal of dams. The World Commission on Dams (WCD)
was established in 1998 to promote more sustainable approaches
to dam development. The WCD report was released in 2000 as
both an assessment of effectiveness of large dams and a proposed
international framework for planning, appraisal, construction,
operation, monitoring, and decommissioning of dams (WCD
2000, Moore et al. 2010). The framework of the WCD is
complex and promotes the use of three global norms, five core
values, five key decision points, seven strategic priorities, 33
associated policy principles, and 26 guidelines in implementation and advocacy of dam-related activities. For example,
core values such as participatory decision-making and equity
have relevance to costs distribution of dam development.
Although the WCD report documented the inadequacies of
many dam projects, the proposed framework was not universally
accepted. Many international governments and financiers considered the guidelines to be overly stringent, such that
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Environmental and livelihood impacts of dams
implementation would discourage further infrastructure development (Fujikura and Nakayama 2009, Moore et al. 2010). A
decade after the release of the WCD report, opinions on the effectiveness of the WCD guidelines for improving sustainability of
dam projects remains contentious (see Moore et al. 2010).
Other international initiatives have gained recognition for
promoting more sustainable development paradigms in dam projects. The most notable precursor to the WCD framework is the
Dublin Principles, established in 1992 at the International Conference on Water and the Environment (ICWE 1992). The
Dublin Principles consist of four recommendations for more sustainable use of water resources, which recognize participatory
approaches to water use and also establish the basis for integrated
approaches to water resource management advocated by international organizations such as the Global Water Partnership
(GWP 2010). However, the Dublin Principles and integrated
water resource management have been criticized for difficulties
in economic valuation of water resources (Savenije and van
der Zaag 2002) and practical applications (Garcia 2008). A
more contemporary approach to sustainable use of rivers is the
2007 Brisbane Declaration established at the 10th International
River Symposium and International Environmental Flows Conference (Brisbane Declaration 2007). The Brisbane Declaration
identified a list of key findings and global action agendas relevant
to the preservation and restoration of environmental flow
regimes. Fundamental to the Brisbane Declaration was the
need to actively engage all stakeholders in decision-making by
considering the full range of human needs and values as a
basis for more effective environmental flow management. The
key findings and global action agendas of the Brisbane Declaration have promoted research efforts in support of environmental
flow assessment and implementation (Arthington et al. 2010),
although the application of these principles to achieve more sustainable development of dams has yet to be shown.
More broadly applicable approaches not specific to dams have
also provided arguments for sustainable development. Ecosystem services are broadly defined as the benefits humans
receive from ecosystems, including provisional, regulating, cultural, and supporting services (MEA 2003). Quantifying ecosystem services is an assertion that normally functioning
environments provide anthropocentric services with intrinsic
worth. As such, ecosystem services provide conceptual linkages
between environmental condition and human well-being, having
tremendous potential for conservation and restoration (Brauman
et al. 2007). The negative environmental and societal impacts of
dam projects have undoubtedly degraded or eliminated many
services provided by ecosystems. The degradation of ecosystem
services caused by dams has been quantified in several studies,
but multiple institutional and economic barriers may prevent
the implementation of safeguards for protecting the environment
(Ebisemiju 1993, Brismar 2002). Additionally, the quantification
of services that have no well-established markets, such as cultural or spiritual values provided by ecosystems, has proved difficult (Hanley et al. 1998).
1.3
3
Objective and approach
Current global trends suggest multiple challenges to sustainable
development still persist despite guidelines promoted by past
efforts such as the WCD, Dublin Principles, Brisbane Declaration,
and valuation of ecosystem services. Holistic assessments of costs
of dam projects are rarely conducted, particularly because many
costs are not easily quantified or political and cultural climates
may provide disincentives for more sustainable approaches.
Although costs can be distributed across many segments of
society, rural and under-represented individuals often share a disproportionate amount, particularly through loss of resource-based
livelihoods (Goldsmith and Hildyard 1984). The objective of this
review is to facilitate a broader discussion of challenges for implementing more sustainable practices in the development, operation,
or removal of dams by emphasising commonalities and trends in
countries at different stages of economic development. We suggest
current practices do not indicate sustainability, particularly
through impacts on the environment and livelihoods of marginalized members of society. The role of affected individuals in political processes has profound implications for improving
infrastructure development paradigms and is emphasized as a preliminary approach towards sustainable development. More importantly, we suggest common themes preventing sustainable
development (defined in WCED 1987) exist regardless of a country’s economic status, although the fundamental drivers of
environmental degradation vary with development.
The consequences of unsustainable dam construction have
been well documented, providing an abundance of examples
for review. As such, we focus on three different regions, each
having a unique history, culture, and development trajectory, to
establish a context of examination for global trends related to
dam projects. First, we discuss the USA, a developed country
with a detailed history in large infrastructure projects. Second,
we discuss the dam industry in China, a moderately developed
country with dramatic economic growth and increasing
demand for resources. Third, we discuss Southeast (SE) Asia,
a developing region that exemplifies the influence of a global
economy on the environment and society. We also discuss key
examples of dam projects in each region that illustrate unique
issues and commonalities of dam projects in a sustainable development context. Emphasis is given to environmental impacts of
dam projects and how loss of resources translates to loss of livelihoods of affected peoples.
2 Regional studies of dam development: USA, China, and
SE Asia
2.1
USA: a developed nation shifting towards dam removal
2.1.1 Brief history of dam construction in the USA and impacts
on Native Americans
The building of infrastructures, such as dams, has been a primary
focus of economic development during the brief history of the
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4
Marcus W. Beck et al.
USA. The construction of single-purpose dams began in the early
1820s during the Industrial Revolution (Billington et al. 2005). In
the early 1930s, multipurpose dams were constructed, such as the
Hoover Dam on the Colorado River (Billington et al. 2005). Construction of dams in the USA peaked between 1955 and 1975
(DiFrancesco and Woodruff 2007). Currently, there are almost
2300 hydropower dams in the USA (Cech 2003), in addition to
several million total dams, with reservoirs that cover approximately three percent of the country’s land surface (DiFrancesco
and Woodruff 2007). While most of these dams are small (less
than 1 m in height), there are estimated to be more than 75,000
dams over 2 m high (Graf 2003), each storing at least 1.2 km3
of water (Graf 2006). Almost all rivers in the conterminous
USA are dammed (DiFrancesco and Woodruff 2007) and nearly
one million kilometres of waterways have been transformed into
reservoirs with a total storage capacity almost equal to the country’s total annual runoff (Graf 2002).
The dams and reservoirs of the USA have had profound
impacts on the geomorphology and hydrology of the country’s
rivers and streams (Graf 1999), with associated negative impacts
on fish (Wunderlich et al. 1994, Lydeard and Mayden 1995, Magnuson et al. 1996, Marmula 2001, Close et al. 2002, Cumming
2004) and those dependent on fish-based resources (Magnuson
et al. 1996, Ulrich 1999). Fish have provided a primary source
of protein for Native Americans of the Pacific Northwest for
over 10,000 years (Suttles 1990, Butler and O’Connor 2004,
DiFrancesco and Woodruff 2007) and also have importance for
traditional rituals and medicines (Swezey and Heizer 1977,
Close et al. 2002). Anadromous salmonids are particularly
impacted by dams as these structures impede movement to spawning grounds, degrade spawning habitat, inhibit migration of juvenile fish to the ocean, change water chemistry and temperatures, and
change quantity and timing of stream flows (Magnuson et al.
1996). Consequently, dams have affected Native Americans of
the Pacific Northwest by contributing to declines in catch,
eroding traditional culture, limiting access to or flooding traditional fishing areas, and causing shifts in diet (Magnuson et al.
1996, Ulrich 1999, Close et al. 2002, DiFrancesco and Woodruff
2007). Many indigenous people have migrated out of the region,
whereas those remaining have used costly litigation measures to
regain or protect rights to harvest protected fish (DiFrancesco
and Woodruff 2007). Many tribes have established livelihoods
by operating large fish hatcheries used to stock salmon runs
(DiFrancesco and Woodruff 2007), although costs of stocking programmes are considerably high (Michael 1999) and long-term
prospects for restoration are bleak in the absence of dam
removal (Lackey 2003).
2.1.2 Slow shift in policy toward dam removal
Most US policies related to dams have focused almost exclusively
on construction (Graf 2002). However, the utility of a dam is
diminished over time through sedimentation of the reservoir and
decreasing structural stability (Pohl 2002), suggesting more
attention should be focused on policies that outline eventual
removal of these structures. Nearly 25% of all dams in the USA
are greater than 50 years old, and by 2020, this number will
grow to more than 85% (McClain et al. 2006). While dam
safety has always been a concern, the structural instability of an
aging dam increases the likelihood of failure and possible loss
of human life. Dams have been responsible for over 3000
deaths in the USA (DiFrancesco and Woodruff 2007). Removal
has also been increasingly viewed as a financially beneficial
option, given the lack of services provided by ageing dams
(Graf 2002). Dam removal is a relatively new concept that
appears antagonistic with the ideology that drives dam construction in newly developing or developed countries. Dams that
were viewed as tools to promote economic growth in the USA
no longer serve their intended purposes, whereas the long-term
viability of these structures in developing countries are rarely
questioned by dam proponents.
A notable concern for dam removals in the USA is a lack of sufficient policies for guiding removal activities. The Federal Water
Power Act of 1920 (later to become the Federal Power Act in
1935) streamlined the process for hydropower development and
created the regulatory precursor to the Federal Energy Regulatory
Commission (FERC) to promote and encourage hydropower
development in the USA (Kosnik 2006). Under the Federal
Power Act, operation of a non-federal dam in the USA requires
a license, which is valid for terms of 50 years or less. Consequently, many dams are currently being considered for removal
because of relicensing issues (Becker 2006). Surprisingly, the
Federal Power Act was devoid of guidance on appropriate
actions for decommissioning, which implicitly assumed that the
operation of a dam would remain in the best interest of the
public (Doyle et al. 2003). A comprehensive decommissioning
policy was issued by FERC in 1994, yet these guidelines have
not been extensively used in practice (Doyle et al. 2003). Moreover, dam relicensing in the absence of removal can be problematic. Although FERC relicensing can require new operating
conditions to address environmental concerns (e.g. increase in
minimum flows), these conditions are established in relation to
the current river condition as a referential baseline. This approach
fails to account for legacy impacts of a dam and implicitly allows
loss of environmental capital over time as a result of historical
cumulative impacts of the structure (Masonis and Bodi 1998).
Dams are also being removed in the USA because of shifts in
public opinion regarding the utility of these structures in environmental or social contexts. As such, policy changes made primarily during the latter part of the twentieth century have slowly
shifted the emphasis of public debate to the negative impacts
of dams. The Wild and Scenic Rivers Act of 1968, National
Environmental Policy Act of 1969, Clean Water Act of 1972,
and Endangered Species Act (ESA) of 1973 have enhanced the
protection of riverine habitats and species. The country’s
environmental legislation emerged as a direct product of the
environmental movement of the 1960s and provides some of
the most powerful examples of legislative approaches for
Environmental and livelihood impacts of dams
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restoring and protecting aquatic resources. For example, the level
of protection granted to imperilled species and their critical
habitat under the ESA is a powerful statement of the political,
and therefore public opinion, towards the environment (e.g.
Czech et al. 1998), following substantial economic development.
Box 1: Dam removal on the Elwha River
The Elwha River in the Pacific Northwest flows from the Olympic
mountains to the Strait of Juan de Fuca in the Pacific ocean.
Construction of the Elwha and Glines Canyon dams in the early
twentieth century has negatively impacted anadromous fish
populations in the river (Pess et al. 2008). Several species have been
listed as threatened or protected under the ESA (Wunderlich et al.
1994). Although little information is available on historic population
sizes, an estimated reduction of 75% of spawning habitat caused by
the dams has likely contributed to decreases in salmonid stocks (Pess
et al. 2008). Growing concerns of declining salmonid populations led
the US congress to enact the Elwha River Ecosystem and Fisheries
Restoration Act of 1992 to restore the river’s ecosystem and allow for
recovery of native anadromous fishes (Duda et al. 2008). The
legislation was also prompted by relicensing issues with the Elwha
Dam more than a decade prior. Relicensing of the Elwha Dam was
contentious for a variety of reasons, such as the need to fulfil federal
fish and wildlife mitigation standards, proximity to a national park,
dam owners’ business decisions, and the cultural, spiritual, and
economic goals of the Elwha Klallam tribe. Eventually, removal of
both dams was considered the only option for restoring native
salmonid populations in the Elwha (Duda et al. 2008).
Arguably, the Elwha Klallam tribe has been most affected by the
reduced salmon populations. Salmon have historically provided the
tribe with protein and also have importance in religious ceremonies,
although declines in stocks were observed as European settlers
inhabited the area. Traditional fishing rights were recognized by
European settlers in 1855 with the signing of the Point No-Point
Treaty. However, construction of the dams effectively negated this
treaty by negatively impacting salmonid populations and fish-based
livelihoods of the tribe for the following 90 years.
The scheduled removal of both dams in 2014 is anticipated to enable the
return of native anadromous fishes to upper reaches of the Elwha
River. Researchers have prepared for the removal by collecting data on
the condition, value, genetic structure of fish populations (Loomis
1996, Brenkman et al. 2008, Winans et al. 2008), and investigating
how to monitor population changes after dam removal (McHenry and
Pess 2008). The removal of the dams is expected to increase biomass
of all salmonids in the region (Wunderlich et al. 1994), having
potential benefits for individuals pursuing resource-based livelihoods.
Evidence from other projects suggests recovery of fish populations can
occur as soon as a few years after removal (Crane 2009). Downs et al.
(2009) present an extreme example where adult salmon were observed
travelling upstream three days after dam removal.
2.1.3
Review and analysis
Box 1 describes a case study that exemplifies common trends in
dam projects of the USA. Construction of the Elwha and Glines
Canyon dams was initiated during a period of economic growth
in the USA, whereas the dams are currently planned for removal
5
in part because the services for which they were built are no
longer provided. The dams have impacted salmonid species that
provide multiple ecosystem services, including economic, cultural, and spiritual benefits. The negative impacts on fisheries
have imposed substantial costs on indigenous peoples, although
removal of the dams are expected to improve fisheries and subsequently restore many of the traditional benefits that salmon
have provided for the Elwha Klallam tribe (Wunderlich et al.
1994, Gowan et al. 2006).
Table 1 illustrates the primary impacts of dam projects in the
USA and highlights many of the issues discussed in Box 1. The
impacts of the Elwha and Glines Canyon dams are certainly not
unique to the Elwha River such that costs and benefits can be
generalized into the categories highlighted in Table 1. For
example, the impacts of the Elwha River dams on anadromous
fish species are discussed by Wunderlich et al. (1994) and Pess
et al. (2008). Similar impacts of dams on anadromous species
in other systems have been reported in the Clearwater River in
Idaho (Wallace and Ball 1978), the Little Salmon River in
New York (Meixler et al. 2009), and multiple reaches of the
Columbia River in the Pacific Northwest (Magnuson et al.
1996, Dauble and Geist 2000). Historical benefits provided by
the Elwha River dams are also similar to those provided by
other dams in the USA (e.g. hydropower). More importantly,
the removal of the Elwha River dams and others in the USA
has been facilitated by the lack of benefits the dams currently
provide. Thus, the benefits listed in Table 1 can, in many
cases, be described in a historical context and do not contribute
significant value to many existing dams in the USA. The
current trend towards dam removal, therefore, exemplifies the
lack of benefits provided by many dams in the USA (Born
et al. 1998, Katopodis and Aadland 2006).
2.2
China: a developed and growing nation
2.2.1 Dam development in China
China’s domestic dam industry is unrivalled at the international
level in a number of projects, financial investment, and
impacts on the environment and society. Almost half of the
world’s 45,000 large dams have been built or are under construction in China (Fuggle and Smith 2000). Additionally, loss of land
and environmental degradation caused by dam projects has
imposed significant costs on the Chinese rural population. Jing
(1997) stated that 10.2 million people living in rural environments had been displaced by hydropower projects by the
1990s. More alarmingly, in his 2007 work report to the National
People’s Congress, Premier Wen Jiaboa reported that 23 million
people have been displaced by dam projects. China’s most recent
five-year plan (2011 – 2015) has proposed an increase in the
number of domestic dam projects by 50% to contribute 130–
140 GW to the country’s energy supply.
Assessments of dam projects in China have indicated that the
industry has significantly expanded in recent years (Shui 1998,
McDonald et al. 2009). The emergence of privately owned
6
Marcus W. Beck et al.
Table 1.
Impacts of dam projects and literature sources for the USA.
Impacts
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Costs
Cost of stocking programmes
Decline of anadromous fish spp.
Dietary changes
Loss of culture and social
disintegration
Reduction of downstream flows
Relocation from affected areas
Safety of dams
Benefits
Electricity generation
Flood control
Irrigation
Recreation
Sourcesa
Type
P
Wernstedt and Paulsen (1995), and Michael (1999)
Wallace and Ball (1978), Magnuson et al. (1996), Dauble and Geist (2000), and Meixler et al.
P, C, S
(2009)
P, C
Watkins (2000) and Close et al. (2002)
C
R, S
C
R, C
Close et al. (2002), Runstrom et al. (2002), and Garrett (2010)
Bunn and Arthington (2002), Magilligan et al. (2003), and Graf (2006)
McDonald and Muldowny (1982) and Ortolano and Cushing (2002)
Born et al. (1998) and DiFrancesco and Woodruff (2007)
P, R
R, S
P, R
C
Billington et al. (2005) and Kosnik (2010)
Billington et al. (2005) and Glenn et al. (2008)
Pisani (2003) and Billington et al. (2005)
Cordell and Bergstrom (1993) and Anderson et al. (2008)
Notes: Impacts are described as costs or benefits and further defined based on the type of ecosystem service that is affected (P, provisional; R, regulating; C, cultural; S,
supporting, from MEA 2003). Both costs and benefits are provided to facilitate qualitative evaluations of projects in each region.
a
Supplementary sources are provided in addition to sources in the main text.
investment firms and the increasing power of local governments
have created a more flexible dam industry that is less constrained
by bureaucratic limitations and under diminishing control by the
central government (McDonald 2007). This decentralization has
been attributed to the emergence of China’s market-based
economy near the turn of the century (Magee 2006, McDonald
2007, Tullos et al. 2010). China’s government has historically
maintained a poor record of transparency in dam development projects, although recent trends indicate a shift towards increasing disclosure, perhaps in acknowledgement of the need to adopt more
sustainable approaches (McDonald et al. 2009, Zhang et al.
2010). However, environmental and societal impacts of dam projects remain prevalent; in addition to the lack of control China’s
government has in a decentralized market.
Understanding the demographics and ethnicity of Chinese
society can also provide insight into initiatives that affect dam
development projects and distribution of wealth. A majority of
the country’s ethnic diversity is contained in the less-developed
interior, as compared to the developed coastal regions. Recent government initiatives such as the Western Development Campaign
have focused on developing infrastructure for resource acquisition
in China’s interior to meet the growing energy demand from developed areas (Magee 2006, Wei and Fang 2006). These initiatives
have profound implications for China’s rural inhabitants as the
majority opinion favours development projects as a means to
bring these individuals ‘into the twenty-first century’ in line with
the country’s broader economic objectives (McDonald 2007).
2.2.2 Challenges to sustainable dam development and
preservation of livelihood
Several challenges have prevented effective implementation of
China’s environmental laws. Two laws affect how hydropower
projects are developed and what mitigation activities are conducted. First, the 1988 Water Law states that China’s water
resources are owned by the people, whereas important decisions
that affect these resources fall under the oversight of government
representatives from multiple agencies. The increasing flexibility
of China’s dam industry has substantially limited the ability of
individuals to participate in decision-making processes implicit
in Water Law (Boxer 2001, McDonald 2007). Second, the 2003
Environmental Impact Assessment (EIA) law established a legal
requirement for dam developers to assess and alleviate negative
impacts of projects. However, EIA law has not been effectively
implemented due to lack of requirements for assessing project
alternatives, lack of formal mechanisms for including individuals
in decision-making, and non-existent provisions for ensuring mitigation measures are met (McDonald 2007). Provisions to improve
EIA law were proposed in recent years to support mechanisms for
public participation in EIA activities (McDonald et al. 2009).
Oversight of dam development projects is vested in multiple
government agencies acting at different levels of organization.
Activities that affect resource development and use are under
the jurisdiction of several state agencies, including the Ministry
of Water Resources, State Environmental Protection Agency, and
State Electricity Regulatory Commission. These agencies
respond directly to the National People’s Congress, whereas
the State Council maintains oversight and also has final authority
for approving ‘large’ projects on ‘important’ rivers (Tullos et al.
2010). For smaller projects, the authority is delegated to lower
resource management agencies that have recently indicated a realignment of mission objectives towards more sustainable
approaches to development, which is reflective of initiatives at
higher levels of government (see Fan 2006). The complex
bureaucratic structure of China’s government may prove
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problematic for accommodating progressive goals that potentially conflict with multiple agency objectives. Additionally,
effective implementation of progressive governance policies
meant to safeguard interests of local communities remains problematic in the context of China’s market-based economy. The
central government also continues to exercise authority over
large projects that are ostensibly justified, based on national
interest (e.g. the Three Gorges Dam (TGD)) regardless of
regional impacts or external criticism (Edmonds 1992).
Box 2: Three Gorges Dam
The TGD on the Yangtze (Chiang Jiang) River is the world’s largest
hydropower plant and one of the most controversial infrastructure
projects undertaken by a single government. Primarily proposed for
energy generation, flood control, and to increase trade routes to
Western China, the TGD became fully operational in 2008,
generating an electric potential of 18,200 MW and providing a
reservoir spanning over 600 km (CTGC 2002). While many of the
negative impacts of the project are not yet apparent, substantial
degradation of the environment has already occurred and has been
compounded by the involuntary resettlement of at least 1.5 million
individuals (Jackson and Sleigh 2000, Kittinger et al. 2009).
Many environmental impacts of the TGD project have been
documented (Ding et al. 2008, Kittinger et al. 2009, Yi et al. 2010).
The Yangtze River Basin supports approximately 350 fish species,
112 of which are endemic and potentially threatened by loss of
habitat caused by the dam (Park et al. 2003). Several notable species,
such as the river sturgeon (Acipenser dabryanus), Chinese sturgeon
(Acipenser sinensis), and Chinese paddlefish (Psephurus gladius),
have become increasingly rare as hydropower projects have
contributed to habitat loss, in addition to declines from overfishing
(Wei et al. 1997, Wu et al. 2004). Mammalian diversity of the
Yangtze has also been impacted. Repeated surveys for the Yangtze
River dolphin (Lipotes vexillifer) have been unsuccessful in locating
a single individual (Turvey et al. 2007). Additional environmental
impacts are anticipated downstream of the TGD as a result of reduced
flows, such as decreased nutrient transport and regression of riparian
wetlands (Lopez-Pujol and Ren 2009). The TGD project has also
negatively affected terrestrial environments, primarily from
inundation of the reservoir. In addition to several rare plant species
that have been impacted by the reservoir (Huang 2001), habitat
fragmentation has occurred through the creation of ‘landbridges’ that
were previously connected to the mainland (Wu et al. 2003).
The reservoir has caused substantial societal impacts by inundating 11
county towns, and 114 townships, in addition to 1350 small villages
where a majority of residents have pursued agrarian or subsistence
lifestyles enabled by the Yangtze’s fertile riparian areas (Jackson and
Sleigh 2000, Jim and Yang 2006). Increased demand for food is
expected with loss of farmland because crops requiring fertile soils
and heavy irrigation are staple foods for the affected peoples (Peng
et al. 2009). The preservation of an agrarian lifestyle has only been
promised to 60% of resettled farmers, although allocated lands for
resettlement have been inadequate to fully support agriculture
(Jackson and Sleigh 2000, Jim and Yang 2006). Downstream
inhabitants will also be disadvantaged by altered geochemical
characteristics of the reduced flow system (Yang et al. 2007). Finally,
increased occurrences of landslides on the slopes of the reservoir
7
following inundation have created numerous safety hazards (Wu
et al. 2001, Liu et al. 2004), particularly for densely populated areas
surrounding the reservoir (Yin et al. 2010).
2.2.3 Review and analysis
Box 2 highlights the prominent impacts of the largest dam
project in the world to date. Despite the unprecedented nature
of the project, the impacts attributed to the TGD are indicative
of broad trends observed for dam projects in China (Table 2).
The negative impacts of dam projects in China are similar to
other regions (e.g. decline of fisheries, relocation from affected
areas, etc.) but differ in the sheer magnitude of the impacts,
given the number of large dams in the country. For example,
current estimates have indicated that as many as 23 million
people have been displaced by large dams in China (see
above). The number of displaced individuals is second only to
India (WCD 2000) and is not only related to the size of dam projects, but also the population densities of affected areas, particularly the Yangtze River Basin. Other unique impacts attributed to
dam projects in China have also been observed. For example, a
unique environmental cost of dam projects that has relevance
to both social and environmental concerns is the potential
impacts large reservoirs have had on geological stability. In
addition to nearshore landslides, large reservoirs have been
associated with tectonic instability (Goldsmith and Hildyard
1984, pp. 104 – 119). Of particular interest is the potential role
the Zipingpu reservoir may have had in the catastrophic 2008
Wenchuan earthquake. Although the specific role remains controversial, studies have not excluded the reservoir as one of
several contributing factors that may have caused the earthquake
(Ge et al. 2009, Lei 2011). Similar concerns have been raised for
the potential effect that the TGD reservoir may have on regional
geological stability (Chen and Talwani 1998).
The benefits described in Table 2 have provided a strong
rationale for the proliferation of dam projects, particularly
because of the country’s rapid economic growth in recent
years. While dams in other regions of the world are constructed
for similar reasons, China’s increasing economic and population
growth have created tremendous demand for energy, water security, and to a lesser extent, flood control. Understandably, dams
have also been advocated by proponents as a means to
improve navigation and trade, particularly by allowing increased
access to interior regions of the country (Peng et al. 2010).
Regardless of whether the claimed benefits provided by dams
are fulfilled, the unique geopolitical climate of China provides
an interesting context within which to analyse the role of dams
in society. The proposed benefits are certainly noteworthy as
one cannot provide an argument, for example, against the loss
of life prevented by damming an unpredictable river. However,
the far-reaching negative impacts of dams balanced with their
proposed benefits bring into question the overall sustainability
of dams in China. Current debates regarding social equity and
8
Marcus W. Beck et al.
Table 2.
Impacts of dam projects and literature sources for China.
Impacts
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Costs
Decline of aquatic organisms
Decline of fisheries
Decline of terrestrial organisms
Geological instability from reservoir
Loss of culture and social
disintegration
Loss of farmlands from inundation
Reduction of downstream flows
Relocation from affected areas
Benefits
Electricity generation
Flood control
Improved navigation and trade
Sourcesa
Type
P, C, S Park et al. (2003), Wu et al. (2004), Wei and Fang (2006), Turvey et al. (2007), and Yi et al. (2010)
P, C
Wei et al. (1997), Jackson and Marmulla (2001), and Kang et al. (2009)
Huang (2001), Ding et al. (2008), Lopez-Pujol and Ren (2009), Fu et al. (2010), and Zhang et al.
P, C, S
(2011)
R, C Chen and Talwani (1998), Wu et al. (2001), Liu et al. (2004), and Yin et al. (2010)
C
P, C
R, S
C
Tan et al. (2005), Wei and Fang (2006), McDonald (2007), and Kittinger et al. (2009)
Jim and Yang (2006) and Jim et al. (2010)
Yang et al. (2007) and Lopez-Pujol and Ren (2009)
Jing (1997), Jackson and Sleigh (2000), Heming et al. (2001), and McDonald et al. (2008)
P, R
R, S
P, C
Huang (1993), Wang (2002), and Magee (2006)
Shu and Finlayson (1993), Wang (2002), and Cheng and Chau (2004)
Wang (2002) and Peng et al. (2010)
Notes: Impacts are described as costs or benefits and further defined based on the type of ecosystem service that is affected (P, provisional; R, regulating; C, cultural; S,
supporting; from MEA 2003). Both costs and benefits are provided to facilitate qualitative evaluations of projects in each region.
a
Supplementary sources are provided in addition to sources in the main text.
economic development have focused on the relative tradeoffs of
large infrastructure projects, with no clear consensus on the most
appropriate methods for achieving sustainable development
(Jackson and Sleigh 2000, Boxer 2001).
2.3 SE Asia: environment, livelihoods, and politics in a
developing region
2.3.1 Brief history of hydropower development in the Mekong
River Basin
Hydropower development was first considered in SE Asia by the
Mekong Committee, an intergovernmental agency established in
1957 to represent the interests of Thailand, Laos, Vietnam, and
Cambodia. The Mekong Committee was backed by the United
Nations with considerable financial and technical support from
the USA (McCully 2001, Molle et al. 2009). Technical advisors
from the US Army Corps and the Bureau of Reclamation advocated hydropower to promote economic growth of the region
(Middleton et al. 2009), and secondarily to pre-empt the
spread of communism through infrastructure development (Middleton et al. 2009, Hirsch 2010). Additionally, the prevailing
technocentric approaches to integrated river basin development
promoted by the United Nations presumably considered infrastructure development as an efficient and effective approach to
alleviating poverty (Saha and Barrow 1981). With the exception
of Thailand, hydropower development halted as a wartime conflict pervaded the region, until the 1990s when a relative level of
stability was regained.
International development banks and private-sector companies have also promoted infrastructure development in SE
Asia. The World Bank and the Asian Development Bank
(ADB) promoted hydropower development in the 1990s to
improve regional infrastructure (IRN 1999, Bourdet 2000),
especially in Laos with its numerous Mekong tributaries and
mountainous topography. Laos’ nominal infrastructure development, mainly rural populace, and low quantifiable economic
capital provided justification for development banks to
promote mandates of poverty reduction through hydropower
development. Although the development banks require some
level of environmental and social review, the effectiveness of
top-down approaches to reduce poverty are questionable in consideration of the secondary environmental and societal impacts
of such projects. More recently, international and regional
private-sector companies have promoted dam construction in
SE Asia. In particular, Thai and Vietnamese companies are
major investors in dam construction both within their respective
countries as well as in Laos and Cambodia (Middleton et al.
2009). With less stringent environmental and social review processes, private-sector companies are often more attractive to
national governments than multilateral development banks. Currently, over 100 hydropower dams in the Mekong River Basin
are operational, under construction, or are proposed to be built
in the near future (Hirsch 2010, ICEM 2010).
2.3.2 Environmental and social impacts of hydropower
development in SE Asia
The Mekong River Basin supports a high level of endemism and
is recognized as a global biodiversity hotspot (CEPF 2007, Koh
and Sodhi 2010). The Mekong River is second only to the
Amazon River in fish species diversity (Woodruff 2010) with
over 700 fish species identified to date, and an estimated 1300
within the entire basin (Baran et al. 2007). The Mekong Basin
also provides critical habitat for a number of endangered
species, including giant Mekong catfish (Pangasianodon
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Environmental and livelihood impacts of dams
gigas), Irawaddy dolphin (Orcaella brevirostris), Cantor’s giant
softshell turtle (Pelochelys cantorii), black-bellied tern (Sterna
acuticauda), greater adjutant (Leptoptilos dubius), and largeantlered muntjac (Muntiacus vuquangensis) (Claassen 2004,
Bezuijen et al. 2008, WCS 2009). Moreover, new species are
routinely discovered in the region (Duckworth et al. 2001,
Dersu and Associates 2007, Bezuijen et al. 2008).
Estimates from the International Rivers Network and United
Nations indicate that the Mekong River Basin is home to 60
million people (IRN 2008, UNESCAP 2011), most of whom are
rural inhabitants that practice a mix of subsistence agriculture,
fishing, livestock husbandry, hunting, and gathering of non-timber
forest products (Shoemaker et al. 2001, CEPA 2007, Blake et al.
2009). Of particular concern for local livelihoods are the potential
impacts of hydropower development on Mekong fisheries. The
Mekong River Basin supports the largest inland fishery in the
world (Sarkulla et al. 2009), with an estimated annual value of US
$2–3 billion (Baran et al. 2007). A third of the human population
in the Mekong Basin is involved in fishing, such that fish comprise
40–80% of people’s daily protein intake, with non-fish aquatic
organisms such as crabs, shrimp, clams, and snails contributing an
additional five percent (Touch and Todd 2001, Hortle 2007).
Several dams in the region have caused significant declines in
fish populations and consequently to people’s livelihoods and
food security. Fish harvest on the Sesan River in Cambodia
has decreased by 30– 60% since construction of the Yali Falls
Dam upstream in Vietnam (Baird and Meach 2005). Degradation
of fish habitat and migration barriers caused by the Pak Mun
Dam in Thailand contributed to significant declines in fish populations, leading to massive protests by the local people. These
protests prompted government restitutions, installation of a fish
ladder, stocking of the reservoir, and opening of the dam gates
for four months each year to allow fish passage (Roberts 2001,
Foran and Manorom 2009). However, 91 of 240 documented
fish species have disappeared in the Mun River since dam construction and only two species have been observed using the
fish ladder (Roberts 2001). No fish ladders in SE Asia have
been successful in allowing passage for more than a few
species (Roberts 2001).
The flood pulse hydrology of the Mekong River Basin plays an
important role in maintaining ecosystem and agricultural productivity (Woodruff 2010). The natural timing of high flow
events is critical to the life histories of many Mekong fishes
(Dudgeon 2000, Shoemaker et al. 2001, Woodruff 2010).
Additionally, flooding provides fertile soil for rice and agriculture
by depositing sediment in the flood plain and delta. Although
flood control is an important justification for dam construction,
inhabitants of the Mekong Basin have adapted their lifestyles to
accommodate annual flooding and are not necessarily negatively
impacted by flooding events. On the contrary, the benefits of
flooding to local livelihoods potentially outweigh the costs associated with occasional crop and property destruction by providing
nutrients for agriculture and maintaining important ecosystems
(Shoemaker et al. 2001, Lebel et al. 2005).
9
Downstream changes to hydrology and sediment transport
and the subsequent environmental and societal impacts caused
by dams have received only cursory attention by dam proponents. An environmental impact study conducted for the Yali
Falls Dam in Vietnam covered only a 7 km stretch downstream
of the dam (Halcrow and Partners 1998), yet negative impacts
to wildlife and human livelihoods were documented hundreds
of kilometres downstream in Cambodia (Claassen 2004, Baird
and Meach 2005). This case highlights the inadequacies in
accounting for the costs of hydropower, as well as issues of transboundary politics. Additionally, most of the affected Cambodians are indigenous minority groups who were not consulted
prior to development and also do not have political leverage to
lobby support from the Cambodian government (Baird et al.
2002, Kim and Tep 2006).
A majority of dams in the Mekong Basin have been built on
tributaries to the mainstream. However, since 2006 there has
been renewed interest in mainstream dams, with 12 dams proposed in SE Asia (10 in Laos and 2 in Cambodia) (Hirsch
2010, ICEM 2010). In 2009, the Mekong River Commission
(MRC), established to foster cooperation in development projects among nations in the Mekong Basin, commissioned an
independent review of the proposed projects. The October
2010 report recommended a 10-year moratorium on building
mainstream dams to allow for more thorough review of potential
costs and benefits (ICEM 2010). The report was also commissioned partly in response to the proposed Xayaburi Dam in
Laos. Opposition to the project from regional and international
non-governmental organizations (NGOs), as well as from the
governments of Cambodia and Vietnam, resulted in a construction delay of the dam until concerns about the project’s environmental and social costs can be better addressed. Although these
recent events indicate a shift towards more sustainable development practices in SE Asia, the future of Mekong mainstream
hydropower development remains uncertain.
Box 3: Nam Theun 2 (NT2)
The NT2 project in Laos is a transbasin diversion project consisting of a
39 m dam on the Theun River and a 450 km2 reservoir flooding about
half of the Nakai Plateau. Water is shunted from the reservoir down a
350 m escarpment into the Xe Bang Fai River via a 27 km long
channel, thus impacting two major rivers in two separate basins.
Conservation priority species that have been impacted by the project
include Asian elephant (Elephas maximus), large-antlered muntjac
(M. vuquangensis), white-winged duck (Cairina scutulata), otter,
and turtle species. At least five new rodent and two fish species were
documented during a pre-inundation survey (Dersu and Associates
2007). Additionally, approximately 6200 people were relocated from
the inundation zone and an additional 120,000 people on the Xe Bang
Fai River suffered livelihood losses (Shoemaker et al. 2001,
Lawrence 2009).
NT2 was touted by the World Bank and ADB as exemplary in its
treatment of environmental and social concerns. However, several
mitigation measures for the NT2 hydropower project were
inappropriate, unrealistic, or poorly implemented (Dersu and
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10
Marcus W. Beck et al.
Associates 2006, Lawrence 2009). For example, a wildlife
conservation area was created in the Theun River watershed to offset
potential environmental impacts of the project. Although the
conservation area will expand protection for upland habitats and
species, the benefits have likely not exceeded losses of potentially
more valuable aquatic habitats destroyed by the project (WWF 2003,
Dersu and Associates 2006). Another mitigation measure was the
proposed creation of up to 100 permanent wetlands near the reservoir
boundary (K. Berkmüller, personal communication, July 2007).
However, according to project consultants, only about 30 wetlands
had been constructed as of early 2011.
Social mitigation measures have also been inadequate. Although
affected individuals were promised monetary compensation prior to
the commencement of the project, funds were not distributed until
several years after project initiation. Additionally, an alternative
livelihood development plan was implemented because of shortages
in replacement lands and impacts to fisheries, which included training
and support for upland rice and cash crop cultivation. However, the
International Rivers Network has reported that the poor quality of
resettled lands has prevented the cultivation of crops and the nonexistence of local markets for selling cash crops has prevented
individuals from obtaining sufficient income (IRN 2008). On the Xe
Bang Fai River, a micro-credit fund was created for affected
individuals to invest in alternative livelihood developments.
Although the fund has provided monetary support for affected
individuals, high interest rates and the need to repay loans when
alternative livelihood ventures were unsuccessful has created a
disincentive for borrowing (IRN 2008, Lawrence 2009).
2.3.3 Review and analysis
Inadequate environmental, social, and economic assessments
have contributed to the lack of sustainability of many hydropower
projects in SE Asia. Benefits from hydropower have also been
exaggerated, such as for the Pak Mun Dam, which had an
Table 3.
estimated electricity generation potential that was nearly five
times greater than the actual amount (Roberts 2001, Foran and
Manorom 2009). Transboundary impacts of river development
also pose challenges as upstream countries often do not account
for downstream impacts. National governments, the MRC, multilateral lending agencies, and private-sector companies have also
inadequately addressed damages to the environment and local
livelihoods (Shoemaker 1998, IRN 1999, Baird et al. 2002,
Sneddon and Fox 2007). Additionally, lack of transparency and
poor participatory processes have caused difficulties for damaffected people to have a meaningful dialogue with decisionmakers regarding hydropower development (IRN 1999, Baird
et al. 2002, Sneddon and Fox 2007). Corruption by multilateral
donor agencies, national, provincial and local government
agencies, and private-sector dam consultants and construction
companies have also presented obstacles to more sustainable
development (IRN 1999, McCully 2001, IRN 2008). Finally,
mitigation measures against hydropower projects have often
been inappropriate, unrealistic or poorly executed (Box 3).
The NT2 project represents a progressive initiative to account
for the full costs of hydropower development and suggests a
greater awareness by development firms of the need to account
for social and environmental externalities (Table 3). Box 3 highlights some of the initiatives undertaken to mitigate the environmental and social impacts of the NT2 project. However, the
success of these initiatives in achieving sustainable development
remains questionable, particularly in light of the challenges that
have been encountered in their implementation. The underlying
causes that create challenges to sustainable development in developing countries (e.g. balancing poverty alleviation with economic
growth) have not been effectively addressed. For example, the
implementation of alternative livelihood plans has been insufficient for ensuring affected individuals are not adversely
Impacts of dam projects and literature sources for SE Asia.
Impacts
Costs
Decline of aquatic organisms
Decline of fisheries
Decline of terrestrial organisms
Loss of culture and social
disintegration
Reduction of downstream flows
Relocation from affected areas
Transboundary impacts
Benefits
Electricity generation
Flood control
Poverty alleviation
Type
P, C, S
P, C
P, C, S
C
R, S
C
P, C, R, S
P, R
R, S
C
Sourcesa
Dudgeon (2000), Roberts (2001), Dudgeon (2005), and Jutagate et al. (2010)
Baird and Meach (2005), Khoa et al. (2005), and Dugan et al. (2010)
Duckworth et al. (1998), Claassen (2004), Dersu and Associates (2007), and Ahlering et al.
(2011)
Shoemaker (1998), Choy (2004), Hirsch and Wyatt (2004), and Keong (2005)
Baird et al. (2002), Claassen (2004), and Baird and Meach (2005)
Shoemaker (1998) and Lawrence (2009)
Wyatt and Baird (2007), Kloepper (2008), and Trandem (2008)
Hirsch (2010), ICEM (2010), and Kosa et al. (2011)
Lebel et al. (2005) and Richaud et al. (2011)
Kloepper (2008) and Lawrence (2009)
Notes: Impacts are described as costs or benefits and further defined based on the type of ecosystem service that is affected (P, provisional; R, regulating; C, cultural; S,
supporting; from MEA 2003). Both costs and benefits are provided to facilitate qualitative evaluations of projects in each region.
a
Supplementary sources are provided in addition to sources in the main text.
Environmental and livelihood impacts of dams
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impacted. Resettlement lands have been in short supply and
alternative livelihood ventures have been ineffective because of
the lack of congruency with traditional means of livelihood.
Moreover, the lack of transparency and accountability exhibited
by private development firms highlights the fundamental disparity between traditional economic approaches to development
and progressive approaches that seek to achieve sustainability.
Many of the costs and benefits of dams in SE Asia that apply to
NT2 can also be extended to other projects (Table 3), and
perhaps have not been effectively addressed because of difficulty
of their valuations in traditional economic paradigms.
3
3.1
Discussion
Understanding the development gradient
The fundamental challenges to more accurate and holistic cost –
benefit analyses are not unique to examples in this review.
Additionally, our analysis indicates that costs and benefits are
similar for each region (Tables 1 – 3). Dams have severely
degraded aquatic systems and imposed considerable social
costs, regardless of region. What information is, therefore,
gained by examining dam projects in the USA, China, and SE
Asia? How can this information be used to develop a broader
understanding of how and why these projects continue to
persist at different levels of economic development? To
address these questions, the relationship of economic growth,
the environment, and society must first be examined. Our
review illustrates a distinct temporal component of economic
development that dictates policies and governance mechanisms
to mitigate environmental and social costs of infrastructure projects. That is, sufficient policies and governance mechanisms for
environmental protection are often not implemented until after a
country is developed. Indeed, economic indicators, such as gross
11
domestic product, can predict effects of development on the
environment such that the relationship can be described by an
inverted-U or environmental Kuznets curve (Selden and Song
1994). Environmental degradation increases with economic
growth until a maximum point is reached, after which degradation decreases with further growth as substantial institutions
for environmental protection are established (e.g. multijurisdictional resource management agencies or effective legislation).
While the environmental Kuznets curve has been applied to
many scenarios describing the relationship between economic
development and environmental degradation (e.g. emissions,
Selden and Song 1994, Dinda 2004), to our knowledge, the
curve has not been applied to the case of dams. Examples from
the three regions in the context of the environmental Kuznets
curve are indicated in Figure 1.
To better understand the relationship of economic development with environmental degradation in the context of dams,
slight modifications to the environmental Kuznets curve can be
made so the curve follows a bell-shape rather than an
‘inverted-U’. That is, environmental degradation caused by
dams increases at an increasing rate as a country progresses in
development status away from point 1, and decreases at a
decreasing rate as a country approaches developed and moves
towards point 3. The relationship between the two axes in
Figure 1 can be modelled using the probability density function
for the standard normal distribution (note the equation represents
the shape, not a probability distribution):
2
1
−x
,
(1)
f (x) = √ · exp
2
2p
where f (x) represents environmental degradation as a function of an economic development indicator, x. Figure 2 provides
an alternative depiction of the relationship between economic
development and environmental degradation, using a slight
Figure 1. Theoretical relationship of economic development and environmental degradation from Eq. (1). Economic development is measured using
an indicator (e.g. per capita gross domestic product) and environmental degradation is measured by loss of ecosystem services and livelihoods. The
illustrated relationships represent ideal scenarios, such that SE Asia, China, and the USA exemplify broad trends consistent with the general
relationship.
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12
Marcus W. Beck et al.
Figure 2. Theoretical relationship of economic development with environmental capital and policy effectiveness from Eq. (2). The curve emphasizes
the rate of environmental degradation as well as the loss of environmental capital at different stages of development. The illustrated relationships represent ideal scenarios, such that SE Asia, China, and the USA exemplify broad trends consistent with the general relationship.
modification to Eq. (1). Suppose an additional variable is
defined, ‘environmental capital’, which is inversely related to
environmental degradation and can also be described as a function of economic development. The relationship between
environmental capital and economic development can be
described by taking the integral of Eq. (1) and multiplying by
negative one:
g(x) = −1 · f (x) dx
2
1
−x
√
· exp
dx,
= −1 ·
2
2p
(2)
where g(x) represents environmental capital as a function of
the same economic development indicator, x, used in Eq. (1).
Figure 2 illustrates this relationship and provides an alternative
depiction of Figure 1, whereby the rate of environmental degradation is increasing for developing countries (point 1, SE Asia),
maximized at moderate levels of development (point 2, China),
and decreasing for developed countries (point 3, USA). Environmental capital also decreases across the development gradient
and partly explains current trends in development in the three
regions. For example, dams are currently advocated in SE Asia
due to high environmental capital, whereas dam projects in the
USA are not a current focus of development as a majority of
viable projects have already been pursued (i.e. low environmental capital). The integration used to produce Figure 2 can
also be described as the cumulative loss of environmental
capital across the development gradient. As a country progresses
from undeveloped to developed, the environmental capital of
domestic resources is cumulatively depleted as economic
growth progresses, until insufficient resources are available to
sustain continued growth. The current trend towards dam
removal in the USA suggests the cumulative loss of environmental capital is approaching 100% (in the context of
damming rivers) and removal of dams can restore environmental
capital or ecosystem services. Finally, Figure 2 illustrates the
inverse relationship of environmental capital and policy effectiveness, such that as economic development increases, environmental capital is diminished whereas policy effectiveness
becomes maximized.
In summary, Figures 1 and 2 illustrate the theoretical relationships of economic growth with environmental degradation,
capital, and policy effectiveness in three distinct phases of development. First, SE Asian countries are developing and have nonexistent or ineffective mechanisms in place to enforce environmental standards (although multilateral banks advocate use of
such standards). The potential environmental capital is also
maximized such that vast quantities of unused resources continue
to promote development. Second, China has a transitional
economy such that the country has experienced increasing development as a result of recent economic reforms. This development
is mirrored by the rate at which domestic dam projects are being
pursued by local governments and private development firms.
Indications at upper levels of the Chinese government have
suggested recognition of the need to consider full costs of development projects, although sustainability has yet to be achieved
(i.e. emerging policy effectiveness in Figure 1). Third, the
USA is developed and has arguably the most effective policies
and governance mechanisms among the regions for ensuring
environmental protection (e.g. ESA, Clean Water Act, etc.).
However, the lack of environmental capital that is available for
resource acquisition through dam projects has contributed to
the increasing number of dams that have been removed or are
scheduled for removal.
Environmental and livelihood impacts of dams
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3.2
Drivers of dam projects
The relationship of economic development and environmental
protection illustrated by Figures 1 and 2 facilitates an understanding of development paradigms in each of the three
regions. However, this relationship is superficially correlative
and warrants a more detailed assessment of the fundamental
drivers that influence development paradigms. The complexities
of the political-ecology dimension (i.e. political environments in
which decisions have ecological consequences) have profound
influences on infrastructure projects, which has relevance in
the context of a region’s economic development status. Indeed,
the fundamental drivers of dam projects, either for construction
or removal, are largely the product of prevailing attitudes regarding the perceived benefits or costs of such projects, regardless of
actual empirical evidence for or against a project (Rigg 1991,
Johnson and Graber 2002). This suggests that even more accurate cost – benefits analyses, although a fundamental first step
towards more sustainable development, will carry little weight
in combating the political will behind a project. The political
pressure that proponents of dam projects have on decisions can
be substantially disproportionate to the critics, particularly in
developing countries when international financiers are involved
(Middleton et al. 2009). Proponents of dams in developing
countries carry strong arguments that dams will provide electricity, agricultural irrigation, and prevent loss of life from flooding.
Critics that argue projects are environmentally or socially
harmful are therefore easily dismissed, for example, as individuals that would ‘deny their fellow men the fruits of progress
for the sake of a few wild animals’ (Goldsmith and Hildyard
1984, p. 55). Despite these strong arguments, many of the
benefits claimed by project proponents are also not fulfilled or
are grossly exaggerated. For example, electricity potential of
hydropower dams is often stated as being higher than actual
amounts after project completion (Foran and Manorom 2009),
reservoir fisheries claimed to benefit local populations fail to
become established (Kittinger et al. 2009), or the increased production of crops from irrigation by dams fails to alleviate local
hunger (Goldsmith and Hildyard 1984). The political will
behind infrastructure development projects often fails to consider
these past lessons; projects are initiated with the assumption that
they will be completed regardless of fallbacks, thus providing
strong deterrents against abandoning a project on the grounds
of pre-emptive cost – benefit analyses.
The prevailing attitudes and political will for promoting dam
projects in developed countries, either for construction or
removal, is drastically different from those in developing
countries. The relationship between drivers of projects and the
political-ecology dimension can in part explain the emergence
of environmental and social protection measures with economic
development illustrated in Figure 2. However, an important point
is that large infrastructure projects were historically promoted in
developed countries for many of the same reasons that proponents continue to advocate dams in developing countries.
13
Therefore, recognition that many dams in developed countries
no longer serve purposes for which they were built or failed to
provide claimed benefits is fundamental to understanding the
political will for discouraging additional projects or removing
defunct dams. Common social problems that are used to garner
support of dams in developing countries (i.e. flood control, electricity generation, etc.) no longer provide sufficient justification
for the continued construction of infrastructure in developed
countries. Additionally, the US environmental movement facilitated a shift in public opinion that viewed the industrial complex
as environmentally exploitational and realized the limits of
human activity (Dunlap 1991). This paradigm shift in ideology
towards more environmentally-oriented opinions is arguably
related to the basic requirements of society and individual
well-being, fulfilled in part by the historical contributions of
infrastructure projects, such as dams. Gradual shifts in opinion
regarding matters of importance, such as a recognition of an individual’s relationship with the environment (Leiserowitz et al.
2006), was facilitated by comparatively high standards of
living. This is not to suggest individuals in developing countries
who follow subsistence lifestyles have little value for the
environment, rather the evolution of societal opinion in favour
of the natural environment often follows post-industrialization.
The influence of these opinions on environmental matters in
the USA, particularly regarding dam removal, has taken the forefront in debates of societal use of natural resources (Born et al.
1998, Johnson and Graber 2002).
3.3
Methods of change
The engenderment of a political atmosphere in favour of environmental and social protection suggests degradation of the natural
resource base is a necessary prerequisite of economic development that facilitates shifts in opinion regarding the efficacy of
dam projects. The externalities imposed on the environment
and marginalized segments of society by large infrastructure projects, therefore, appear to be inevitable consequences of economic development. However, an assessment of the limited
examples of dam projects that have been cancelled or re-evaluated for sustainability can provide insight into how these projects
can be prevented, if costs exceed benefits or improved to more
adequately mitigate externalities, respectively. The political
power of affected individuals in developing countries has been
shown to be paramount in the process for addressing externalities
of dam projects. For example, Rigg (1991) assesses the emergence of an environmental movement in Thailand and the potential role in preventing construction of the Nam Choan Dam. Rigg
(1991) suggests that the indoctrination and organization of local
populations is perhaps the most effective means of mitigating the
effects of dam projects. This does not suggest that projects
should be adamantly opposed by affected parties, but rather the
negative externalities should be priority mitigation activities
addressed by developers, made possible by providing an active
political voice to affected peoples. A potentially useful indicator
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14
Marcus W. Beck et al.
of the political will of historically under-represented individuals
is the rise of NGOs. McDonald (2007) suggests that the rise of
NGOs and the will of local peoples have created an effective
means of stalling efforts to dam the Nu River in China. While
the lobbying power of NGOs in China is not without limits,
the increasing role NGOs have had in the discussion of current
dam projects suggests an emergence of more proactive environmental protection measures. This emergence is necessary to
more sustainably develop the country’s resources, having implications for development activities elsewhere.
A more empirical approach to account for the negative externalities of dam projects is their explicit valuation as services provided by ecosystems. Regardless of the potential challenges
associated with the use of ecosystem services (e.g. institutional barriers and accurate quantification), our analysis contributes to the
growing body of literature that advocates ecosystem services as a
useful approach for more holistic evaluation of costs and benefits.
A recent study conducted by Brown et al. (2009) illustrated the
development of the Integrated Dam Assessment Modelling
(IDAM) tool as an approach to holistically evaluate dam projects
in a multidisciplinary perspective. The IDAM allows for the integration of biophysical, socio-economic, and geopolitical perspectives into a single cost–benefit analysis, accounting for both
objective and subjective measures. Therefore, the IDAM could
be particularly useful in the comparison of ecosystem services
because it combines subjective measures of valuation with more
tangible costs or benefits. To date, the IDAM has not been fully
implemented as a tool for more holistic cost–benefit evaluations
(but see Tullos et al. 2010) because of its recent introduction.
However, other researchers have recently advocated the use of
similar multidisciplinary approaches as a means to more accurately
assess costs and benefits of dam projects. Kittinger et al. (2009)
recently conducted a holistic evaluation of the TGD project with
an emphasis on linking ecological change and human wellbeing. The approach, therefore, relies heavily on the basic principles of ecosystem services and provides a more detailed understanding of how development affects human livelihoods through
ecosystem degradation. Our analyses contribute to the growing
body of literature illustrated by Brown et al. (2009) and Kittinger
et al. (2009) that promote more holistic evaluation of costs and
benefits, primarily through the quantification of ecosystem services. For example, Tables 1–3 describe broad impacts of dam projects on ecosystem services for each region, which are also
amenable for more detailed analyses, such as the approach illustrated by the IDAM. Accurate comparisons of costs and benefits
are a necessary first step towards more sustainable development.
3.4
Conclusion
Assessments of dam projects in the USA, China, and SE Asia
have illustrated problems for effective environmental protection
and maintenance of livelihoods for affected peoples. These
regions were chosen to exemplify societal and political challenges to sustainability in the context of different development
trajectories. Furthermore, our assessment of dam projects indicates a need to adopt more sustainable approaches to development that have been advocated by several authors (Goodland
et al. 1993, McDonald 2007, Brown et al. 2009, Kittinger
et al. 2009). A general conclusion can be made that suggests,
in addition to more holistic cost – benefit analyses, dam developers and financiers need to establish more accountability and
transparency. Explicit mechanisms also need to be in place to
allow affected individuals and stakeholders an active voice in
decisions for projects, including both dam construction and
removal. The relationship between economic development and
environmental degradation illustrated in Figures 1 and 2
should provide a context within which to frame development
paradigms that consider the potentially conflicting roles of
policy implementation and environmental capital.
The implementation of more thorough cost–benefit analyses
conducted at the onset of project development could improve protection of the environment and local livelihoods. Cost–benefit analyses should accurately reflect costs of dam projects throughout a
dam’s entire lifespan, as well as include multiple spatial and temporal contexts. The most apparent need to improve cost–benefit
analyses is to provide an explicit link between development and
loss of livelihood through degradation of the environment. Such
an approach could rely heavily on principles of ecosystem services,
especially those that quantify the loss of services from altered
flows. Although not a comprehensive list, these costs should consider losses associated with reduced agriculture from floodplain
regression, loss of marine fisheries at river outflows, loss of fisheries upstream, and loss of water supply. Additionally, project
assessments need to consider costs from operation and eventual
dam removal. Adequate assessment of compensation costs for displaced individuals is also necessary for cost–benefit analyses
aimed at sustainable development (Jackson and Sleigh 2000, Jim
and Yang 2006). Although our suggestions for more holistic
cost–benefit analyses only briefly address a finite number of
specific needs, a greater recognition of the costs of dam projects
could contribute to more environmentally sustainable approaches
to infrastructure development. As indicated above, broader involvement of affected individuals in decision-making processes,
facilitated in part by the emergence of a political atmosphere in
favour of environmental and social protection, will ensure that
dam projects are more equitably implemented.
Acknowledgements
We thank Nick Jordan, Robert Sterner, Loren Miller, and Ingrid
Schneider for constructive feedback during the preparation of
this manuscript. We also thank an anonymous reviewer for suggestions that have greatly improved the manuscript content.
Finally, we thank the Conservation Biology graduate programme
at the University of Minnesota for contributions and funding in
support of the manuscript. All authors have contributed equally
to the manuscript content.
Environmental and livelihood impacts of dams
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