IMPACT ASSESSMENT CASE STUDIES FROM SOUTHERN AFRICA

Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority (for the EMP) SAIEA Southern African Institute for Environmental Assessment ... working for a better Africa THE BERG WATER PROJECT: CHARTING THE FUTURE FOR LARGE DAMS Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Aims of the Project Brief description of the development & alternatives considered

The Berg Water Project (BWP), consisting of the The BWP is the culmination of a 14-year strategic should be studied further with a view to Berg River Dam and supplement scheme (i.e. a integrated planning process by the Department of implementation. Interested and affected parties, diversion weir and balancing dam), is designed Water Affairs and Forestry (DWAF) to identify the public and representatives of government were to augment raw bulk water supply to the greater appropriate measures to address the water shortage involved in the evaluation process which took metropolitan area in the in the Western Cape. The planning process was place from 1995 to 1996. region of . initiated in 1989 and was called the Western Cape Systems Analysis (WCSA). Its purpose was to A shortlist of 11 schemes to be studied further The BWP was one out of a number of options to reconcile the water demand and water supply for was agreed upon. The options included water improve water security for over three million the Western Cape region. It was a democratic demand management, re-use of sewage effluent, people served by the integrated Western Cape strategy process and was supported by technical removal of water-consuming alien vegetation, Water Supply System, in which combined demand and scientific assessment to aid decision-making. desalination of sea water and the construction of from urban and agriculture users will exceed the The water situation assessment conducted as part the Berg Water Project. water yield available from the areaÕs conventional of the WCSA determined that Cape Town would water resources before 2020. be the first metropolitan area in South Africa The following course of action was identified: where water demand would exceed the available The purpose of the BWP is to capture and store water supply. The WCSA provided a list of ¥ Water demand management was accorded winter runoff from the mountainous upper reaches projects that could be implemented to increase the highest priority but its implementation of the Berg River catchment and transfer it to the the water supply. was hampered by the large number of existing Western Cape Water Supply System. local authorities. About 24 possible supply options and alternatives The BWP will contribute 81 million cubic metres in the region were examined. A short list of ¥ Desalination was not economically feasible of water, equivalent to 18% of the total bulk water options was compiled on the basis of technical, in the short term due to its very high cost. storage. financial, environmental and social factors. Several public meetings were held, but consensus ¥ The Berg Water Project would be studied could not be achieved on the priority of future at feasibility level as it provided much needed schemes. Accordingly a public process was storage in the System. developed to obtain input as to which schemes

© SAIEA 2009 1 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Brief description of the development & alternatives considered

¥ The City of Cape Town (CCT) would study tributaries downstream of the dam) into an off- with provision for a peak release of up to 200 options such as the use of local groundwater channel balancing dam, from where the water will m3/s, making it the first dam in South Africa in and re-use of sewage effluent. be pumped back into the Berg River Dam. The which provision is made for flood releases for outlet works of the Berg River Dam have been environmental purposes. DWAF initiated the EIA process and the EIA designed to release both low flows and high flows report was produced for decision-making in 1996. The Department of Environmental Affairs and Tourism issued the Record of Decision in 1999. In April 2002 Cabinet approved the construction of the Berg River Dam on condition that the CCT reduces the demand for water by 20% by the year 2020. The BWP is the first bulk water resource development project in South Africa that is directly linked to water demand management.

The BWP comprises the 65 m high Berg River Dam and the Supplement Scheme situated approximately 12 km downstream (Figures 1, 2, 3). The Supplement Scheme consists of a 1.6 m high diversion weir that will divert a portion of the winter high flows (from the stream flows from the three Figure 1: The Berg River Dam is located in the south west of South Africa, near the town of .

© SAIEA 2009 2 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Brief description of the development & alternatives considered

Figure 2: The Berg River Dam Figure 3: The supplement scheme consisting of the diversion weir and balancing dam

© SAIEA 2009 3 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Environmental setting EIA process followed

Biophysical environment: of workers in formal employment rely on seasonal There were two concurrent and parallel processes. labour on farms. The scenic beauty of Franschhoek One was the Western Cape Systems Analysis The natural vegetation within the dam inundation with its surrounding winelands makes it a popular (WCSA), which was a catchment-wide strategic area has been severely disturbed by decades of tourist destination, so employment is aligned to options analysis process. The other process was forestry and agriculture, with the result that there the tourism and agricultural sectors. Franschhoek the Berg River Dam Integrated Environmental are no substantial areas of intact natural vegetation is also home to a significant percentage of affluent Management (IEM) process, which consisted of worthy of conservation. Forestry plantations, residents. the EIA process and implementation of the together with invasion of the floodplain and river Environmental Management Plan (EMP). channel by exotic vegetation, have significantly modified the natural river morphology. Due to Public participation formed an important element river habitat degradation and the introduction of in all of the planning activities. The evaluation alien fish two of the indigenous fish species from of options was the first attempt in South Africa the Berg River are now on the IUCN Red Data to include a full range of stakeholders in decisions list. The upper reaches of the catchment are affecting water demand and supply. The process considered critical in terms of fish conservation. involved over 1,100 people and organisations.

Socio-economic environment: The Western Cape System Analysis process involved five public workshops held in various The population of Franschhoek, which is located towns in the Western Cape, which were attended close to the dam, was estimated at 16,000 in 2001 by a broad range of representatives. These but now stands at about 40,000. The local workshops led up to a Conference to define criteria communities range widely in terms of their socio- for evaluating the various water supply options economic profile. Under 5% of the population presented in the WCSA and to make have no income, while 65.8% have an income of recommendations as to the favoured options for less than US$6,500 per annum. According to a implementation. household survey conducted as part of the Berg River Dam social-monitoring programme, 34% Prior to 1997 there was no legal requirement to

© SAIEA 2009 4 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

EIA process followed

undertake EIAs. However an EIA for the Berg requirements (IFR) they would find acceptable. libraries in the Upper Berg River area, as well as River Dam was undertaken on a voluntary basis Although the workshop did not conclude the selected libraries in the Lower Berg River area. in terms of best international practice. discussion on the desired future state of the river, Environmental and social studies were initially it provided a useful opportunity to explore the An independent review was undertaken to ensure broad-based, but became increasingly detailed in methodology used, and put the debate on the IFR compliance with the Integrated Environmental alignment with the technical and engineering for the river into perspective. Management (IEM) guidelines put out by the components of the studies. These covered the South African Department of Environmental disciplines of archaeology, botany, tourism, fluvial A crucial aspect of the planning stage of the IEM Affairs, and to ensure that public issues and geomorphology, social aspects, economics, process was the preparation and dissemination of concerns had been addressed. The EIA concluded instream flow requirements and forestry. information on the proposed dam. In this respect, that there were no impacts so significant that the media coverage was sought in local daily and dam should not be built. The main issues were: A letter of invitation was sent to all interested weekly newspapers, and a pamphlet on the Dam and affected parties (I&APs) to participate in a Scheme and the Western Cape System Analysis ¥ Impact on forestry operations: workshop on the desired future state of the Berg Evaluation (WCSA) was prepared and widely Some commercial pine plantations in the River, but there was very little response. disseminated. Some 600 interested and affected reservoir basin would be lost. Subsequently Consequently, a select group was directly invited parties were identified and invited to participate forestry from the entire catchment has been to participate in a planning workshop. Participants in the public meetings, where the IEM and WCSA withdrawn from production due to the were drawn from local authorities and business, Evaluation processes were explained to the public marginal economy of the forestry operations. agricultural, community-based and recreational and their views invited. The meetings provided groups with a direct involvement and interest in an opportunity for I&APs to identify issues of ¥ Impacts on local communities: the Berg River, environmental NGOs, and concern which could be taken further in the IEM Construction activities were predicted to representatives of relevant national and provincial Process. All relevant documentation generated in impact on the farming community and tourism, government departments. The workshop was the process was disseminated to those who but with proper management the impacts could innovative in that it set a precedent in the planning attended public events, or to appropriate parties be minimized. The project would offer of water schemes within South Africa by involving on the mailing list. benefits by providing infrastructure (housing, the public in identifying the desired future state roads, etc.) and employment opportunities. for the river and defining the instream flow In addition, documents were placed in all local Most of the land to be inundated belongs to

© SAIEA 2009 5 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

EIA process followed Decision-making process

the Government and only about 38 ha ¥ Social issues: The decision-making process was a lengthy one belonged to two private owners. There was Possible immigration of unemployed people as it happened during an era of major political thus a small resettlement and compensation to the Franschhoek area in search of work change in the country from 1994 and subsequent requirement. during the construction phase may increase profound change in water and environmental social tensions and exacerbate the existing legislation, policy and institutional setting. ¥ Disturbance to the river: unemployment and housing situation. It was predicted that the dam would affect Some major decision-making points in the process downstream flows. A 10 km section ¥ Positive and negative impacts are: immediately downstream of the dam was in of flooding regulation: relatively good condition and was considered A decrease in small and moderate floods ¥ September 1997: to be of high conservation value. Provision would benefit downstream landowners whose Minister announces that preparation for the was made for annual ecological releases land would be flooded less frequently. project may proceed, but timing of totalling 43 million m3 during normal years However, less frequent flooding of the land implementation to be reviewed and depends and 19 million m3 during drought years. These next to the river is likely to encourage urban on progress with water savings. releases should ensure that the river is kept and agricultural development. This will in a healthy condition and will be adjusted in increase the amount of damage caused by ¥ May 1999: accordance with monitoring results, social naturally occurring large floods, which are Environmental approvals for the needs and relative priorities. not affected by the dam. BWP received.

¥ Impact on the Berg River Estuary: ¥ Positive impact - ¥ May 1999: The estuary some 180 km downstream of the Augmentation of water supply: Minister states that a satisfactory start had dam has a high conservation importance. The The project would secure water both for basic been made with demand management and the environmental studies concluded that it is human needs and for the regional economy. BWP will proceed, but subject to further unlikely that problems will be experienced as progress on water demand management. a result of the project, but the situation will ¥ Positive impact - Potential to develop re- be monitored. creation and tourism associated with the dam.

© SAIEA 2009 6 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Decision-making process Implementation of the EMP & compliance auditing ¥ December 2001: ¥ Establishment of an Environmental Minister reviews BWP planning process with Monitoring Committee (EMC) and appoint- The implementing agency, TCTA, undertook the guidelines of the World Commission on Dams, ment of an Environmental Control Officer. measures outlined in the environmental approval, is satisfied with demand management progress namely establishing the Environmental Monitoring and makes final decision to submit the matter ¥ A number of aspects related to the Ecological Committee (EMC), and developing the to Cabinet. Reserve, provision for flood releases, the Environmental Management Plan. The EMP monitoring of the river and estuary and the informed the project design process and was ¥ April 2002: revision of the instream flow requirement if incorporated into contract documentation. South African Cabinet approves BWP required. Its implementation was closely monitored by implementation and its funding mechanism. the EMC.

¥ May 2002: The EMP made provision for: Trans-Caledon Tunnel Authority (TCTA) appointed to implement and fund the BWP. ¥ Environmental specifications during construction ¥ April 2003: Formal Agreements between the Department ¥ Social planning strategy of Water Affairs and Forestry, City of Cape Town and TCTA signed. ¥ Water quality monitoring during construction

The environmental authorisation granted by the ¥ River monitoring programme DEAT in 1999 was subject to various conditions, the most important being: ¥ Public participation programme

¥ Compilation of an Environmental Management Plan (EMP) and its approval by the environmental authorities.

© SAIEA 2009 7 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Implementation of the EMP & compliance auditing

Discrete activities to enhance social and governance body on which interested and initial fears of the local communities and environmental performance included affected parties are represented; interested and affected parties did not materialise. This was due in large part to strict environmental ¥ Franschhoek First Policy (FFP) - a policy ¥ Social Monitoring Programme initiated as and social control measures that were included commitment to maximize local training, local part of the EMP with the purpose of in the construction contracts. In addition vigilance procurement of services for the BWP, and developing strategies to mitigate construction was promoted because of the external compliance local employment; related negative impacts and maximise social auditing undertaken by the Environmental Control benefits. It gave special attention to issues Officer and monitoring and review by the EMC. ¥ Water Quality Monitoring Programme set out like the impact of in-migration and in the EMP to monitor the water quality effectiveness of skills training; impacts impact of construction related activities and of skilled migrant workers and the nature to ensure compliance with the specified water and scale of womenÕs empowerment on quality standards; the project;

¥ River Monitoring Programme set out in the ¥ Environmental and Social Panel of Experts EMP to establish a baseline of the functioning (POE), an independent peer review body of the river prior to impoundment. During the consisting of three respected experts to operation of the dam, the monitoring provide an additional mechanism for quality programme will be used to determine the assurance and independent evaluation of the impact of the dam on the river and estuarine social and water quality monitoring activities functioning and ecological status; and the validity of data.

¥ Environment Compliance Audit - a biannual All the recommendations and mitigation measures audit by an independent Environmental contained in the EIA were included in the EMP Control Officer, mainly concerned with EMP and were applied as specified. In general the compliance. The Officer is paid by TCTA but significant negative environmental and social reports in parallel to the EMC, the independent impacts that were predicted in the EIA and the

© SAIEA 2009 8 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Main elements of excellence in this EIA

The aspects of the BWP which are exceptional 3. The development and implementation of Africa required consideration of in-stream include: a social sustainability model for monitoring, flow requirement releases from dams. mitigation and community development. The IFR requirement was captured in the 1. The high level of compliance to the conditions The social sustainability model focused on Record of Decision that DEAT issued in 1999. set out in the Record of Decision and the EMP three kinds of capital: social, productive and It was then reflected in detailed design and requirements. The project incrementally human. It was used to guide the social operating procedures of the project. A unique increased its EMP compliance from 82% (at monitoring programme to provide an feature of the Berg River Dam is the unusually the start of construction) to 96% (at the end understanding of how the project was large, 63m high intake tower connected to the of the construction period). intervening in the social environment. outlet works. This is designed to cater for two distinct flow release systems, i.e. small and 2. Innovative Project Risk Management. 4. The experience of the BWP Environmental large releases. Small releases (0,3 to 12 m3/s) The BWP implemented an integrated risk Monitoring Committee resulted in the occur continually and are adjusted in management approach that included Department of Environmental Affairs and magnitude as required by the Ecological Ôrecognition of rightsÕ and Ôassessment of Tourism requesting TCTA to capture its Reserve and depending on the inflow into the risksÕ (particularly rights at risk), which experience in the form of one of its IEM Berg River Dam. The system for large releases formed the basis for an effective participatory Information Documents. The BWP EMC uses the radial arm gate for releases up to processes, starting with needs and options experience has since become the standard 200 m3/s, which mimic natural flood events. assessment in up-front planning. The Ôrights against which other EMCs are structured and This is purely as a requirement of the at riskÕ formulation has practical relevance their roles defined. Ecological Reserve. where laws recognize rights as a reference for decisions on water allocation and public 5. Implementation of the Ecological Reserve. 6. The BWP is unique among large infrastructure service provision, as they do in South Africa. It is the first dam internationally where projects in that it was subjected to high level Environmental and social risks and mitigation Ecological Reserve requirements have independent review and scrutiny. An strategies were included in the integrated risk influenced the engineering design and dam environmental and social panel of experts management plan. operational guidelines. Environmental flow was established so that TCTA could assessments for the dam actually started in confidently show that the project could stand the late 1980s, well before legislation in South up to scientific and even judicial scrutiny.

© SAIEA 2009 9 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Main elements of excellence in this EIA

7. The project has an innovative approach to construction into the operational phase. The ¥ Handover of construction housing land use planning after the completion of the second recognises the need to plan and construction phase. A Sustainable Utilisation implement measures that pre-empt possible ¥ Sustainable Utilization Plan Plan (SUP) has been prepared and is currently negative social impacts. The third and linked being implemented. This is a planning dimension is the element of promoting 9. EIA follow-up is included as part of the framework that will guide the long term learning and knowledge management as part closure reporting for the BWP. The aim of management and land use of the Berg River of project implementation. this exercise is to make a South African Dam water body and surrounding land. contribution to international EIA practice The range of initiatives and projects that were through: The SUP will provide guidance on: implemented for the Exit Strategy include: ¥ Communicating the results of this follow- ¥ Recreational and sporting use of the dam ¥ Appreciative Inquiry up study; water body; ¥ Holistic health and well-being ¥ Learning from the experience of verifying ¥ Opportunities for economic activities the EIA predictions; on the state land surrounding the dam; ¥ Promotion of Franschhoek First Policy ¥ Determining the value and ÔimpactÕ ¥ Sustainability criteria for land use ¥ Training of the EIA; and decision-making; and ¥ Learnerships ¥ Providing lessons for EIA theory ¥ Institutional arrangements for land management. and practice. ¥ Transfer of the employment information 8. The Exit Strategy for the project goes far database to the local municipality beyond mitigation and has a distinct sustainability agenda. It has three dimensions. ¥ Facilitating work opportunities for One dimension focuses on continuing to local workers maximise the project benefits after

© SAIEA 2009 10 Nigel Rossouw, Trans-Caledon Tunnel Authority Client: South African Department of Water Affairs and Forestry (for the EIA) and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT: (for the EMP) CHARTING THE FUTURE FOR LARGE DAMS

Lessons learnt

Feasibility studies (e.g. EIAs) normally assume ¥ Impacts need to be disaggregated and it needs that projects exist in an ideal world of cause and to be realised that they are not homogenously effect. There has been a significant departure experienced in both natural and social from this view, where natural and social systems environments; are recognised as being highly complex and stochastic and where things rarely turn out as ¥ Special attention needs to be given to originally intended. EIAs therefore need to clearly vulnerable groups in society and to valued state their assumptions, limitations and level of ecosystem components; confidence in predictions. Key lessons learnt from this case study are that: ¥ Measurable and quantifiable indicators for predicted impacts need to be identified in the ¥ For EIA to be effective and to contribute EIA and incorporated in the EMP for ongoing to sustainable development, the impact monitoring; and predictions and mitigation measures need to be fully incorporated into the construction ¥ Practitioners should not stop at just making and operation EMPs, which should be predictive statements and recommendations incorporated in construction contract for mitigation. They should also provide a documentation; framework for an impact monitoring, compensation and management programme. ¥ EIA follow-up is critical to promote learning and to improve the practice of EIA;

¥ Impact prediction, significance and mitigation methodology should be identified early in the EIA process and consistently used by all specialists; www.saiea.com

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