1. ALPINE CONVENTION
Common Guidelines for the use of SHP in the Alpine Region
and
Current practices in Alpine Region – some examples
Share final meeting, Session 4 – Integrated water management experiences
24th May 2012, Aosta
Regula Imhof, Vice Secretary General of the Alpine Convention

2. Outline
The framework of the Alpine Convention
- RSA 2
- Biennial water conferences of the Convention
- the platform on water management in the Alps
Some examples of strategic planning in the Alps:
- Strategy „Water use“ of the Canton of Bern; Map of hydropower exploitation categories
- Evaluation and management of the hydroelectric potential of the Canton of Fribourg
- Territorial Plan for the provincial coordination; Water balance plan of the Povince of
Sondrio
- List of criteria – further development of hydropower inTyrol
- Hydropower and public interest, Project of Arge Alp

3. • An international agreement (convention) for the
The Convention protection of the Alps,
• It was signed beginning from 1991 by the eight
countries of the Alpine Arc: Austria, France,
Germany, Italy, Lichtenstein, Monaco, Slovene
and Switzerland and the European Community
• Every two years there is an Alpine Conference in
the country holding the presidency
• Current presidency: Switzerland (2011-2012)
• The Permanent Committee and the competent
administrations are the main institutions
primarily responsible for the Convention
implementation
• Working groups, platforms, committees etc.
support and supervise the implementation of the
Convention: Platform “Watermanagement in
the Alps”

4. Water in the Framework Convention
Article 2: General obligations
2. In order to achieve the objective referred to in paragraph
1, the Contracting Parties shall take appropriate
measures in particular in the following areas:
...
water management the objective is to preserve or
reestablish healthy water systems, in particular by
keeping lakes and rivers free of pollution, by applying
natural hydraulic engineering techniques and by using
water power, which serves the interests of both the
indigenous population and the environment alike;

5. The framework of the Alpine Convention
1. Links to Water as an important issue in several existing protocols (Energy,
tourism,…)
2. “Dialogue” on the topic of water among the Parties of the Convention, the EU,
stakeholders from science, observers and NGO´s:
- Conference “The Water Balance of the Alps”, Innsbruck, 2006
- Follow up Conference, Munich, October, 2008
- Conference, Italy, November 2010
- Next Conference on “Sustainable Hydropower; Strategies for the Alpine
Region” in Munich, 22-24th October 2012
3. Second Report on the State of the Alps; topic “Water and water management
issues”, adopted in Evian, March 2009, X. Alpine Conference
4. Action Plan on Climate Change, adopted in Evian, March 2009, X. Alpine
Conference: Water is identified as an important field of action
5. Decision of the Ministers, Alpine Conference, Evian 2009 to establish the
Platform „Water Management in the Alps“
6. Discussion on a Macro-Region „Alps“ in Europe: Water is a main field of action

6. • Population and culture
•
Main Topics and Protocols Spatial planning
• Air monitoring
• Soil protection
• Water management?
• Nature protection and landscape
conservation
• Mountain agriculture
• Mountain forestry
• Tourism and leisure
• Transports
• Energy
• Waste management
=> Integrated policies and
approaches for the sustainable
development of the Alpine Space

7. Water and hydric resources in the
Action Plan „Climate Change“ of the Alpine Convention
1 – reduce water consumption
2 – improve the use of water
3 – reduce the impact of hydro-electric plants on the
environment :
a. improve the efficiency of existing artificial lakes and
electricity plants
b. decide on common guidelines for the construction of small
power stations

8. The Second Report on the State of the Alps
(RSA) “Water and Water management
issues”
A Introduction
B State of waters in the Alps
C Protection against natural hazards
D Climate Change
E Existing legal framework regarding water
management
F Major Water Management Issues and the main
challenges for the future

9. RSA “Water and Water management issues”
Exploitation for water power
A large and increasing number of
small and micro hydropower
stations

10. RSA “Water and Water management issues”
Consequences on streams
Surge and low-water phase resulting
Water for the ecosystem? from peak power generation

11. RSA “Water and Water management issues”
Adaptation to the consequences of climate change
Foreseen changes:
• Increased risk for natural hazards
• Reinforced appearance of droughts and water scarcity
• Reinforced demand for water and energy, both in summer
and in winter
• Changes in the water regime and in the availability of
water from smaller outflow of glaciers and snow cover,
which will have consequences on the water supply,
production of hydropower….

12. Financial incentive schemes for SHP
the conflict of interest becomes evident
In the Alpine countries, financial incentive schemes are in place
for the promotion of small hydropower plants (SHP)
mostly in the form of guaranteed feed-in-tariffs
caused a „boom“ of applications for new SHP
the conflict of interest becomes evident and there is need for the competent
auhorities to deal with and have guidance for the optimisation job
it‘s time to act!
Mandate to the Platform Water Managment in the Alps
to provide such guidance

13. Common guidelines for the use of small hydropower in the Alpine Region
Challenge for hydro-power use in the Alps: optimisation between two conflicting objectives
Important value of ecosystems
High hydroelectric potential and landscapes
National goals for Rarity of remaining unexploited
renewable energy rivers
Increasing the Minimizing the
production of impairment of the
renewable energy from aquatic ecosystem
hydropower generation and landscape
Conflict of
interest
good reasons and need for achievement of both objectives!
How to strike a balance between these two overriding objectives?

14. Legal framework for Hydropower
RES-e EU-WFD
European Renewables European Water
at EU-level
Directive Framework Directive
Goal: Goals:
to increase share of energy from good ecological status
renewable sources with target of water bodies
figures for 2020 for each MS
MS set national targets + decide on No deterioration of status
strategy; e.g. by targets for HP
analogous goals in
Federal Energy Act Federal Water
Conservation Act
Additionally: International Conventions, multilateral or bi-lateral agreements and coordination (UN-
ECE Convention for the Protection and Use of Transboundary Watercourses and international
Lakes“, Danube Catchment agreement, River Inn agreement, River Rhine agreement etc.)

15. Xth Alpine Conference, Evian 2009
Ministerial mandate for Platform Water Management in the Alps
The development of recommendations for the sustainable and balanced
use of hydropower in the Alpine area, taking carefully into account
existing legislation. In doing so, special consideration has to be paid to
economic and ecological efficiency criteria in particular in connection with
the use of small hydropower.
Ministerial decision on Climate Action Plan
“to set up guidances for the construction, optimisation or refurbishment
of small hydropower plants, in order to lessen the impact on the aquatic
biocenosis and biodiversity.”

16. Platform: „Water Management in the Alps“
Mandate and Work program 2009-2011 and 2011-2012 (Swiss-Austrian
presidency, memebers around 50 experts)
• Expected outcomes 2011:
- Report on small hydropower in the Alps
- Guidelines on small hydropower in the Alps
- Collection of case studies and best practices
- review of the River Basin Management Plans in Alpine Countries with
regard to Alpine-specific issues
- Water conference to present the preliminary results of the work, November
2010, Venice
• Expected outcomes 2012:
- two international workshops on sediment transport (Dec. 2011) and hydro-
peaking (June 2012)
- International Water Conference on the sustainable use of hydropower in
the Alps, Oct. 2012
• Mandate for 2012-2014 in discussion (focus on role of the platform in an
eventual makro region „Alps“)

17. Mandate of the water platform of the Alpine Convention concerning
«Small Hydropower use in the Alps»
Three „products“ (deliverable reports)
Good practice
examples
Common Guidelines
Situation Report
http://www.alpconv.org/en/organization/groups/WGWater/default.html

18. Common guidelines
for the use of
small hydropower
in the Alpine Region

19. Common guidelines - level of detail
As (common Alpine-wide) guidelines they are recommendations
endorsed by the Alpine Conference but not legally binding
Common guidelines
Principles
Recommendations
Outline/concept of a procedure
Pool of criteria
A concrete methodology

20. Outline of a two-level procedure assessing new installations
# 10 two-level procedure
In order to answer the questions about the “where” with respect to the most favorable
sites to reach growth objectives for hydroelectric production and the “how” with respect
to the individual project, a transparent, structured and criteria-based procedure that
combines a regional/strategic point of view with a local, projectspecific assessment
should be applied.
“WHERE” => REGIONAL LEVEL “HOW” => LOCAL LEVEL
determined only by location-specific additionally based on project-specific
criteria (no project-related criteria) criteria (here also technical concepts matter)
• Evaluation of the regional level
• Hydroelectric potential +
• Installation and site specific criteria
• Ecological and Landscape value • Further socio-economic aspects including
impacts on other sectors.
# 11 participative procedure
The development of the regional strategy is a process triggered by the competent
authority. In order to ensure transparency and to find a solution that takes account of
the different interests at stake, the relevant stakeholders’ views must be adequately
involved by means of a participative procedure.
The common guidelines then provide guidance for this two-level procedure,
also suggesting common criteria for that task

21. Regional strategy
Recommendations 12-14; 16:
(12) Strategic planning on a regional level (regional strategy): On a regional
level, a transparent evaluation and classification of the potential
appropriateness of river stretches for hydropower use shall be carried out
(considering their hydro-electric potential, their ecological and landscape
value and areas under special protection).
(13) As part of a regional strategy should be considered the designation of
areas that are deliberately kept free from any exploitation, based on a broad
participation of relevant stakeholders as outlined in Recommendation 11 in
order to avoid irreversible impacts.
(14) Possible ways on how to integrate the elaborated results of the strategic
planning in existing national / regional instruments shall be examined (e.g.
river basin management plans or spatial planning instruments).
(16) Being a prerequisite for the local assessment and decision about an
individual project application, the regional strategy /planning should be
carried out as soon as possible.

22. Where are the favorable sites for new SHP?
#12 Strategic planning on a regional level (regional strategy)
On a regional level, an evaluation and classification of the potential appropriateness of river
stretches for hydropower use shall be carried out (considering their hydro-electric potential, their
ecological and landscape value and areas under special protection).
APPROPRIATE APPROPRIATENESS NOT EXCLUSION
UNCERTAIN APPROPRIATE
Hydroelectrical to be assessed at Strong interest for
exploitation local level weighing for conservation hydropower
possible all pros and cons use
needs to needs to comply only in Protected
comply with with legal exceptional areas where
legal environmental cases SHP
environmental standards plus (e.g. decentral forbidden by
standards additional supply) law
requirements
Determined only by location-specific criteria
Suggestions of criteria for determining:
• the hydro-electrical potential
• the ecological and landscape value

23. Conclusions
Basis for work: Clear committment to respect both main objectives, no
unilateral maximisation but optimisation !
(which means restrictions and limitations for both sides)
Development and promotion of (S)HP to reach the national targets for renewables 2-level
procedure for a „controlled“ increase of production,
based on a smart and transparent „use-and-protection pre-planning“ on a regional scale.
Strategic planning provides „regional maps“ showing the appropriateness of a river
stretch for hydropower use relevant (environmental) legal framework is translated into
information to the potential investor about the chances for building a SHP at a certain place.
• involvement of all stakeholders in the identification of the categories
• identification of suitable areas for new hydropower projects
• assist the authorization process to be reduced and implemented faster

24. Additional mean to steer Hydropower development in the Alps:
River basin management plans –
issues for forthcoming management plans
Hydropower:
• To have a seperate chapter on progress achieved within
this field in forthcoming plans (due to the dynamics in
this sector)
• Acquire knowledge about the biological flow (still lacking
in some rivers)
• To define precisely the impacts of existing hydropower
plants towards the biological state
Ecological status of alpine waters:
• To define the state of small rivers
• To clarify if the status in the Alpine Area differs from the
status outside the Alpine Area

25. Examples of strategic planning in the Alps

26. Strategy „Water use“ of the Canton of Bern;
Map of hydropower exploitation categories
Objectives:
• deliberate and selective granting of concessions
• Prioritization of suitable locations
• Prioritization of larger plants
1. Map: „Map of actual conditions“ (hydropower potential, ecological meaning, importance as fish
water)
2. Map: „Map representing the hydropower exploitation categories“ (green, yellow, red)
Minimum capacity of 300 kW
Map of hydropower exploitation categories
Sheet for the sustainability evaluation
From 12600 km rivers of the Canton, 10600 km are not interesting for hydropower
exploitation, 230 km are already exploited, theoretically another 1800 km would be suitable for
hydropower. Therefrom 570 km are classified as „green“, and 770 km as „yellow“, 440 km as „red“.
December 2010 public consultation

27. Visualization of the regional strategy
Results (classification of river stretches) can be visualized with maps,
serving as “communication tool” (e.g. to potential investors)
the example of
the Canton Bern

28. The actual decision on authorization at the local level
#15 Authorization decision on a local level - For individual applications only
The second level of the proposed evaluation procedure is a local in-depth assessment of
the concrete project application, considering installation- and detailed site-specific
criteria and further socio-economic aspects such that a holistic weighing of all relevant
criteria is being carried out.
The authorization is not just about judging if projects should be allowed in certain areas
or not but also about the way how projects should be realized.
Application to build a SHP
Regional strategy Local level
at a certain location
Need of a local project and site specific
Hydroelectric
potential
assessment, considering all sustainability Decision on
dimensions authorization
• based on the regional pre-planning +
• Installation specific criteria (including the
• further socio-economic aspects specific
Ecological and including impacts on other sectors requirements)
landscape value

29. Evaluation and management of the hydroelectric
potential of the Canton of Fribourg
Assessment and authorization of applicaitons is suspended and an evaluation
method based on exclusion criteria and on a multi-criteria evaluation is
under development:
1. Evaluation of the water bodies (exclusion areas and evaluation of
hydroelectric potential of the remaining water bodies)
2. Preliminary project analysis (feasability): multi-criteria analysis
3. Concession project
4. Decision about the application
Results:
- integrated in the cantonal structure plan (binding for the administration);
- maps indicating river stretches excluded from hydropower use and the
hydroelectric potential for other stretches;
- classification of the projects in favorable, favorable under conditions and
not favorable

30. Territorial Plan for the provincial coordination;
Water balance plan of the Province of Sondrio
Very high water exploitation rate due to presence of large number of hydropower plants
Risk to deteriorate the water bodies quality and protests by the population
Ad-hoc working group to elaborate the plan
All authorities shared the procedure and signed the agreement „for the
sustainability of the uses of water in the Province of Sondrio through the
integration of the planning instruments“, approved 2010:
- set of rules and indicators according WFD
- multicriteria analysis
- „risk map“ – where the different river stretches color represent the risk of
not reaching the good ecological status by 2015 (overlapping of 5 maps:
indexes representing
1 and 2. cumulated withdrawals with respect to the mean annual natural
discharge,
3. mean annual low flow interruption risk (discharges from reservoirs),
4. LIM pollution risk,
5. FFI connectivitiy and the ecologiacal functionality)

31. List of criteria „Kriterienkatalog“ –
further development of hydropower inTyrol
Ministry works out criteria as basis for assessment of
compatibility of new hydropower plants with ecological
requirements (non deterioration)
Development of the criteria for 5 special issues (quantified)
by a mixed group of 15 experts:
- Energy management (25%)
- Water management (18%)
- Spatial planning (12%)
- Water ecology (22%)
- Nature protection (23%)

32. Hydropower and public interest, Project of Arge Alp
• Comparison of different laws related to hydropower in
the Alps
• „European Forum Water Economy“
• Symposium, October 2011, Innsbruck

33. Thank you for your attention!
www.alpconv.org