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DEPARTMENT OF WATER AFFAIRS AND FORESTRY ENVIRONMENTAL MANAGEMENT FRAMEWORK FIRST DRAFT MAY 2002 DEPARTMENT OF WATER AFFAIRS AND FORESTRY ENVIRONMENTAL MANAGEMENT FRAMEWORK First Draft (A strategy to align Integrated Environmental Management principles, Environmental Assessment processes and other environmental management tools and processes with the functions and responsibilities of DWAF) May 2002 ACKNOWLEDGMENTS This integrated Environmental Management Framework has been developed by the Directorate: Social and Ecological Services in DWAF to align Integrated Environmental Management principles, Environmental Assessment processes and other environmental management tools and processes with the functions and responsibilities of DWAF. The project was undertaken by a core group from DWAF supported by consultancy services from the CSIR. The project has been conducted through a consultative process that included key stakeholders from within DWAF, the Department of Environmental Affairs and Tourism (nationally and provincially) and consultants to these organisations. The role and contribution of all stakeholders in the process has defined the content of this document. The contribution of all stakeholders in gratefully appreciated. The commitment of the Department of Water Affairs and Forestry to sustainable is reflected in the following vision statement Our Vision We have a vision of a democratic, people-centred nation working towards human rights, social justice, equity and prosperity for all. We have a vision of a society in which all our people enjoy the benefits of clean water and hygienic sanitation services. We have a vision of water used carefully and productively for economic activities which promote the growth, development and prosperity of the nation. We have a vision of a land in which our natural forests and plantations are managed in the best interests of all. We have a vision of a people who understand and protect our natural resources so as to make them ecologically stable and safeguard them for current and future generations. We have a vision of a Department that serves the public loyally, meets its responsibilities with energy and compassion and acts as a link in the chain of integrated and environmentally sustainable development. We have a vision of development and co-operation throughout our region; of playing our part in the African Renaissance. Preface The following document has been prepared in Draft format for discussion purposes. The authors would appreciate any constructive comment and review that will enhance the applicability of the Environmental Management Framework for the Department. All comments will be noted and responded to, either through corrections in the text, or through response in a Comments Response Report. DEPARTMENT OF WATER AFFAIRS AND FORESTRY ENVIRONMENTAL MANAGEMENT FRAMEWORK FIRST DRAFT Table of Contents 1. INTRODUCTION ....................................................................................................... 1 1.1 1.2 1.3 Overview and background ............................................................................. 1 Vision of the EMF........................................................................................... 2 Aims and objectives of the EMF ..................................................................... 2 Purpose of this document .............................................................................. 3 Who should use this document? .................................................................... 3 EMF structure and contents ........................................................................... 4 How to use this document .............................................................................. 5 2. USERS GUIDE.......................................................................................................... 3 2.1 2.2 2.3 2.4 3. DWAF FUNCTIONS AND ACTIVITIES, AND THEIR ENVIRONMENTAL LEGAL COMPLIANCE REQUIREMENTS ............................................................................. 6 3.1 Introduction and overview of DWAF structure, functions and activities ........... 6 Water Resource Management functions and activities ........................ 9 3.1.1.1 WRM Impacting Functions ...................................................... 9 3.1.1.2 WRM Managing Functions ...................................................... 9 3.1.2 Water Services ................................................................................. 16 3.1.2.1 WS Impacting Functions ....................................................... 16 3.1.2.2 WS Managing Functions ....................................................... 17 3.1.3 Forestry ............................................................................................ 22 3.1.3.1 Forestry Impacting Functions ................................................ 22 3.1.3.2 Forestry Management Functions ........................................... 23 Environmental legislation and policy overview ............................................. 26 3.2.1 Environmental laws, other than those administered by DWAF, which may have an influence on activities undertaken by DWAF in the execution of their statutory mandate ................................................. 26 3.2.1.1 Water Services ..................................................................... 26 3.2.1.2 Water Resource Management .............................................. 27 3.2.1.3 Forestry ................................................................................ 28 3.2.2 Environmental laws administered by DWAF ..................................... 29 3.2.3 International conventions, common law and important legislative developments that may influence DWAF .......................................... 32 3.1.1 3.2 4. ENVIRONMENTAL ASSESSMENT AND MANAGEMENT TOOLS ....................... 36 4.1 4.2 4.3 Introduction .................................................................................................. 36 The Evolution of Environmental Assessment ............................................... 37 Environmental Assessment Tools ................................................................ 38 4.3.1 Strategic Environmental Assessment................................................ 38 4.3.2 Environmental Impact Assessment ................................................... 42 4.3.3 Environmental Management Systems............................................... 43 4.3.4 Environmental Economics ................................................................ 45 i 4.3.5 4.3.6 4.3.7 Life Cycle Assessment...................................................................... 46 Risk Assessment .............................................................................. 47 4.3.6.1 Health Risk Assessment ....................................................... 47 4.3.6.2 Ecological Risk Assessment ................................................. 48 Cumulative Effects Assessment........................................................ 51 5. THE ENVIRONMENTAL MANAGEMENT FRAMEWORK ...................................... 53 5.1 5.2 Introduction .................................................................................................. 53 Environmental Management and the Policy Formulation & Review Process 53 5.2.1 Introduction ....................................................................................... 53 5.2.2 Environmentally Sound Policy Formulation and review ..................... 54 5.2.2.1 Step 1: The identification of a broad goal .............................. 55 5.2.2.2 Step 2: Policy development ................................................... 56 5.2.2.3 Step 3: Implementation ......................................................... 57 5.2.2.4 Step 4: Monitoring and review ............................................... 57 Environmental Assessment and management for plans and programmes ... 58 5.3.1 Introduction ....................................................................................... 58 5.3.2 Conducting an SEA .......................................................................... 58 5.3.2.1 Creating the Organisational Framework ................................ 58 5.3.3 Co-ordinating the SEA ...................................................................... 59 5.3.3.1 Project Leader ...................................................................... 59 5.3.3.2 The SEA Team ..................................................................... 59 5.3.3.3 Description of the SEA process............................................. 59 Undertaking development projects ............................................................... 60 5.4.1 Introduction ....................................................................................... 60 5.4.2 EIA in the Project Life-cycle .............................................................. 61 5.4.2.1 Roles and responsibilities in the EIA process ........................ 64 5.4.2.2 Proponent ............................................................................. 64 5.4.2.3 Consultant............................................................................. 65 5.4.2.4 Interested and affected parties .............................................. 67 5.4.2.5 Competent Authority ............................................................. 67 5.4.3 The EIA process ............................................................................... 68 5.4.3.1 Pre-screening consultation .................................................... 68 5.4.3.2 Screening ............................................................................. 71 5.4.3.3 Scoping ................................................................................. 72 5.4.3.4 Impact Assessment............................................................... 75 5.4.3.5 Record of decision and appeal .............................................. 78 5.4.3.6 Conditions of approval .......................................................... 78 5.4.3.7 Auditing ................................................................................. 79 5.4.4 Regulatory Authorities in the EIA process ......................................... 79 Revisions in IEM .......................................................................................... 80 5.3 5.4 5.5 6. 7. RECOMMENDATIONS ........................................................................................... 81 REFERENCES ........................................................................................................ 82 APPENDIX 1: SCREENING CHECKLIST ii List of Figures Figure 4.1 Figure 4.2 Figure 4.3 Figure 4.4 Figure 4.5 Broadening participation in project design and evaluation ......................................... 36 Hierarchy of Environmental Assessment and Management Tools ............................. 38 The Environmental Assessment Process and relationships ....................................... 38 Generic SEA process diagram .................................................................................... 41 Risk assessment process ........................................................................................... 50 Figure 5.1 Figure 5.2 Figure 5.3 Figure 5.4 EMF Structure Diagram ............................................................................... 54 Generic Policy formulation process in South Africa (after CSIR, 2002) ........ 55 EIA in the DWAF project lifecycle ................................................................. 62 Engineering and environmental feasibility studies linkages .......................... 64 List of Tables Table 3.1 Table 3.2 Table 3.3 Table 3.4 Table 3.5 Table 3.6 Table 3.7 Table 3.8 Table 4.1 Table 4.2 Structure and organization of the Water Resource Management Chief Directorates, Directorates and Sub-Directorates as at 1 September 2001. ....................................... 6 Structure and organization of the Water Services Chief Directorates, Directorates and Sub-Directorates as at 1 September 2001. .................................................................. 8 Structure and organization of the Forestry Chief Directorates, Directorates and SubDirectorates as at 1 September 2001. .......................................................................... 8 Details of Water Resource Management functions and activities (DWAF 2000) ....... 12 Details of Water Services functions and activities (DWAF 2000) ............................... 19 Details of Forestry functions and activities (DWAF 2000) .......................................... 24 Legal requirements for DWAF to administer statutory mandates ............................... 30 International conventions and agreements for which DWAF is responsible............... 32 Positive and negative aspects of Environmental Assessment ................................... 37 Comparing SEA and EIA ............................................................................................ 38 iii Glossary Affected environment Those parts of the socio-economic and environment impacted on by the development biophysical Alternatives A possible course of action, in place of another, that would meet the same purpose and need. Alternatives can refer to any of the following but are not limited hereto: alternative sites for development, alternative site layouts, alternative designs, alternative processes and materials. In Integrated Environmental Management the so-called "no action" alternative may also require investigation under certain circumstances. The process of collecting, organising, analysing, interpreting and communicating data that are relevant to some decisions. Assessment Activity A development action, either planned or existing, that may result in environmental impacts through pollution and/or resource use. The process through which an EIA is inspected which then provides an opportunity and mechanism to learn from experience and to refine project design and implementation procedures. To act in accordance with the rules and regulations. Auditing Compliance Development The act of altering or modifying resources in order to obtain potential benefits. In its broadest sense, the word environment embraces the conditions and / or influences under which any individual or thing exists, lives or develops. These surroundings can be placed into three categories: The combination of physical conditions that affect and influence the growth and development of an individual or community; The social and cultural conditions that affect the nature of an individual or community; and The surroundings of an inanimate object of intrinsic social value. The environment of the human being includes the abiotic factors of land, water, atmosphere, climate, sound, odour and taste. The biotic factors being, fauna, flora, ecology, bacteria and viruses, and social factors that make up the “quality of life”. Environment iv The European Commission defines the environment as “the combination of elements whose complex interrelationships make up the settings, the surroundings and the conditions of life of the individual and of society, as they are or as they are felt. Environment includes the land, water and air, including all layers of the atmosphere, all organic and inorganic matter and living organisms, and the interacting natural systems Environmental impact The degree of change in an environment resulting from the effect of an activity on the environment, whether desirable or undesirable. Impacts may be the direct consequence of an organisation‟s activities or may be indirectly caused by them. A process of examining the environmental effects of an activity, such as development A report describing the process of examining the environmental effects of a development proposal, the expected impacts and the proposed mitigating measures A human activity or environmental element A concern felt by one of more parties about some existing, potential or perceived environmental impact. A report describing the process of examining the environment effects of a development proposal, the expected impacts and the proposed mitigating measures. The process of weighing information, the act of making value judgements or ascribing values to data in order to reach a decision. Environmental impact Assessment Environmental impact statement Environmental aspect Environmental issue Environmental impact report Evaluation Independent environmental A consultant not in the permanent service of the applicant. In consultant addition a consultant ceases to be independent if: Involved in any design or work of the same project; Earns more than 50% of his or her work from the same company; Payment depends on the successful authorisation of the application. Consultants in the permanent services of the applicant are referred to as "in house" consultants. Integrated environmental management (IEM) IEM provides an integrated approached for environmental assessment, management, decision-making and to promote sustainable development and the equitable use of resources. Principles underlying IEM provide for a democratic, participatory, holistic, sustainable, equitable and accountable approach. v Interested party Individuals or groups concerned with or affected by an activity and its consequences. These include the authorities, local communities, investors, work force, consumers, environmental interest groups and the general public. When the character, diversity or reproductive capacity of an environment is permanently lost. The activities that take place within a given area or space. Development actions that are likely to result in significant environmental impacts as identified by the Minister of Environmental Affairs and Tourism in terms of sections 21 of the Environment Conservation Act, 1989. Measures designed to avoid, reduce or remedy adverse Irreversible impact Land use List of activities Mitigation impacts. Monitoring The repetitive and continued observation, measurement and evaluation of environmental data to follow changes over a period of time to assess the efficiency of control measures. A change that reduces the quality of the environment (for example, by reducing species diversity and the reproductive capacity of the ecosystem, by damaging health, property or by causing nuisance). Interested and affected individuals and groups will have an opportunity to participate in decisions about ways in which environmental concerns are addressed A change that improves the quality of the environment (for example, by increasing species diversity and the reproductive capacity of the ecosystem, by removing nuisances or improving amenities). Undisturbed natural landscape. Taking action in anticipation of a problem rather than in reaction to the problem. Restoration of landscape more or less to is former scenic appearance. The environmental authority on national, provincial or local level entrusted in terms of the Constitution and in terms of the designation of powers in Notice No. R. 1184 of 5 September 1997 with the responsibility for granting approval to a proposal or allocating resources. Place frequented by people for holiday, sport, recreation, health or similar purpose. Negative impact Participation Positive impact Pristine Pro-active: Rehabilitation Relevant authority Resort vi Scoping The process of identifying the significant issues, alternatives and decision points, which should be addressed by a particular EIR, and may include a preliminary assessment of potential impacts. An impact that, by its magnitude, duration or intensity alters an important aspect of the environment. The process whereby the responsible department(s) decides whether or not a project requires assessment, and the level of assessment that may be required. Development actions that are likely to result in significant environmental impacts. Includes the enlargement or expansion of an activity, but excludes regular or routine maintenance and the replacement of inefficient or old equipment, plants or machinery where such does not have a detrimental effect on the environment. A statement of opinion or belief, which is not capable of being falsified by comparison with fact. Significant impact Screening Scheduled activities Upgrade Value Judgement vii Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 1. 1.1 INTRODUCTION Overview and background The Department of Water Affairs and Forestry (DWAF) has endeavoured to apply elements of the Integrated Environmental Management (IEM) process to the development and implementation of the Department‟s development projects prior even to the establishment of environmental management and assessment regulations in South Africa. The following DWAF initiatives provide an indication of the Department‟s past and ongoing commitment to IEM: Formulating Departmental procedures for applying the IEM process in 1989; Compiling a manual for applying the IEM process in 1990; Amending the 1989 Departmental procedures to comply with the National IEM Guideline Series of 1992; Amending and documenting the DWAF IEM procedure again in 1995; Developing and documenting the Relevant Environmental Impact Prognosis (ROIP) Manual in 1995; and Updating the DWAF IEM procedures through the development of an EMF for application and implementation at a strategic level by the Water Resource Management Branch (2001 – ongoing). New environmental management practices, which received prominence in South Africa after 1995 together with recent South African environmental legislative developments, have necessitated the updating and alignment of the DWAF‟s existing IEM procedures with current national environmental assessment and management requirements, and international trends. The need for integrated and overarching Departmental IEM procedures is strengthened by the overlapping environmental considerations of several Departmental policies, strategies, guidelines and regulations including the Integrated Catchment Management Strategy, Resource Directed Measures and the Stream Flow Reduction Activities (SFRA) Water Use Licensing System. DWAF aims to proactively address these needs through its five-phase project entitled “Revision of the Integrated Environmental Management and Development of an Environmental Management Framework within the Department of Water Affairs and Forestry”. The first phase of this project includes developing an Environmental Management Framework (EMF) (this document) for application specifically in the Department‟s Water Resource Management Branch. The remaining phases will focus on implementation, application and capacity building. From a national environmental perspective, this initiative will help to ensure that DWAF abides by the National Environmental Management Act (Act No. 107 of 1998) (NEMA) principles (refer to Chapter 3) and the current NEMA Chapter 5 IEM provisions. It will also satisfy the anticipated requirements of the redrafted Chapter 5 of NEMA and its associated national IEM Regulations (which have not as yet been released). The EMF will also assist DWAF to abide by international conventions and international environmental considerations, provisions and requirements for water resource projects, while also complying with international trends that promote environmental sustainability through responsible “cradle-to-grave” integrated environmental management. Pertinent international examples include the World Commission on Dams‟ working paper “Environmental and Social Impact Assessment for Large Dams” (Sadler et al., 2000) and the World Bank‟s Environmental Assessment Sourcebook (World Bank 1997). Chapter 8 of the First Draft: May 2002 1 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Sourcebook provides environmental assessment guidance for irrigation and drainage projects, large dams and reservoirs. Chapter 9 provides guidance for water supply and sewerage, while Chapter 10 provides guidance for hydroelectric projects. 1.2 Vision of the EMF The EMF‟s vision is to ensure that environmental considerations and the associated legal compliance requirements are efficiently and adequately addressed during all stages of the development processes undertaken through DWAF related functions, activities and projects. 1.3 Aims and objectives of the EMF The objectives of the EMF include (DWAF CEIMP, 2001): Aligning and optimising the environmental management processes required by the relevant legislation, including inter alia the National Water Act (Act No. 36 of 1998), National Forest Act (Act No. 84 of 1998), Water Services Act (Act No. 108 of 1997), National Environmental Management Act (Act No. 107 of 1998) and the Environment Conservation Act (Act No. 73 of 1989); Ensuring that environmental considerations are efficiently and adequately taken into account during all stages of development and implementation processes within DWAF, which will assist to effectively perform Departmental environmental functions; Ensuring that activities and projects are compatible with the environmental legislation and meet the environmental requirements, thus ensuring compliance; Ensuring that in-house and funded DWAF Water Resource Management projects apply, and thus conform, to minimum environmental standards through the use of environmental procedures; Ensuring the integration, development and implementation of environmental management tools and processes within DWAF, thus promoting the National Environmental Management principles as set out in NEMA; and Encouraging integrated resource management, sustainable environmental development and utilisation and sound environmental management practices within DWAF. The EMF aims to promote and facilitate these objectives by serving as a strategic environmental decision-support framework for the Water Resource Management Branch of the Department. Ultimately, it is hoped that an overarching EMF, that takes cognisance of all DWAF related activities and functions will be developed, thus ensuring the application of sound integrated environmental management practices throughout the Department. First Draft: May 2002 2 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 2. 2.1 USERS GUIDE Purpose of this document This Environmental Management Framework document is intended to inform and guide the Department of Water Affairs and Forestry (DWAF) Water Resources Management Branch at a strategic decision-making level. The document has been developed with the purpose of promoting and ensuring environmental legal compliance and achieving environmental sustainability through the promotion of sound environmental management practices by the Water Resources Management Branch of the Department. As a strategic environmental decision-support framework, the document is neither prescriptive nor does it include excessive information or detailed guidelines on any of the EMF components. The provision of more detailed information and application/implementation guidance forms part of the capacity building and implementation phases (Phases Two, Three, Four and Five) of the overall project to revise the IEM procedures within the DWAF. Phase Two and Phase Three deliverables will include a “Manual for Application of Environmental Management within DWAF” and an “Implementation Strategy for Integrated Environmental Management within DWAF” respectively. 2.2 Who should use this document? This document is intended for use by anyone who: Is directly involved in any of the current DWAF Water Resource Management functions, activities and projects; Requires an understanding of the environmental legal compliance requirements for DWAF functions, activities and projects; Needs to know how Integrated Environmental Management is applied within the Department; Needs to know the recommended DWAF Water Resource Management related environmental management roles and responsibilities; Needs to understand which environmental management and assessment tools are incorporated in the EMF and how they are integrated with the project lifecycle approach as applied by DWAF; and Requires an understanding of the structure and functioning of the Water Resource Management EMF. The users, therefore, may include: DWAF national and provincial water resource management branch staff; Water Resource Management activity and project consultants, sub-consultants, contractors and sub-contractors; Environmental consultants; and Members of the general public. First Draft: May 2002 3 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 2.3 EMF structure and contents The EMF document is structured in a sequential manner to assist the reader to understand the background to, and basis for, developing the EMF, through to understanding what components make up the EMF and how these components are integrated.. Chapter One provides background information to the need for the EMF and an introduction to some of the more important considerations for developing the EMF. The chapter also provides an overview of the Department‟s past and current approaches to IEM and the environmental management requirements as detailed in key DWAF documents including the Environmental Implementation and Management Plan (DWAF, 2001) and the Strategic Plan 2000/2001 (DWAF, 2000). Chapter Two (this chapter) contains document user information. Chapter Three documents the key DWAF Forestry, Water Services and Water Resource Management branch functions and activities. The chapter also highlights the applicable legislation, bills, common law, regulations, ordinances and conventions that the Department should consider for ensuring environmental compliance. This Chapter is supported by the EMF Legal Register. Chapter Four presents an overview of the Integrated Environmental Management (IEM) concept, including an overview of past and present South African IEM developments such as the 1992 Integrated Environmental Management Guideline Series (DEA, 1992), the current EIA Regulations (DEAT, 1998), the National Environmental Management Act (Act No. 107 of 1998)(NEMA), the current revision of NEMA and the associated current drafting of IEM guidelines. The application of IEM by DWAF is also discussed. Chapter Five outlines how the EMF integrates and aligns IEM with the DWAF project lifecycle approach and associated project engineering phases. The chapter details how and where IEM and the relevant Environmental Assessment and Management (EA & M) tools should be included as part of the project lifecycle approach The chapter details various aspects associated with the different stages of the IEM lifecycle including their aims, their application and the associated roles and responsibilities. The environmental assessment and management tools incorporated in the EMF are discussed in terms of their definitions, aims and objectives, principles, benefits and weaknesses, applications and associated roles and responsibilities. The Chapter considers the most appropriate way to align the DWAF Resource Directed Measures (RDM) activities as well as the current DWAF licensing procedures with the broader IEM requirements for ensuring that they can be integrated with the EMF. Chapter Six draws the previous chapters together to indicate how their respective components combine to form the EMF. The chapter outlines how the EMF: Fits the functions of DWAF and covers all DWAF Water Resource Management activities; Complies with the principles and requirements of IEM; Considers all components of the environment, all development phases and all I&APs, including national, provincial and local authorities, key stakeholders and the general public; and Focuses on sustainable development rather than on environmental conservation. 4 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 2.4 How to use this document Readers requiring details of the structure and function of the EMF should only read Chapter Six. The chapter contains an overview of the EMF in the form of a summary of the salient EMF points contained in the previous chapters. The reader should refer to the respective chapters indicated below where more information on the different EMF components is required. Chapter One should be consulted to familiarise the reader with the requirements of Phase One of the DWAF IEM procedure revision project. Chapter Three will help the reader to identify potential environmental legal liabilities and associated compliance requirements when deciding on and planning any of the listed Water Resource Management functions and activities. The reader should consult Chapter Four when planning Water Resource Management functions and activities to ensure that they take the EMF requirements into account. Chapter Five will assist the reader to identify how to go about ensuring that the relevant functions, activities and projects achieve environmental compliance. The reader will be able to identify what IEM steps need to be incorporated into the project lifecycle phases and which environmental tools would be most appropriate for satisfying the relevant environmental “best practice” requirements. Chapter Six should be referred to by readers involved in DWAF RDM functions and activities, as well as readers involved in water resource management activities and projects that must take cognisance of the DWAF licensing procedures. First Draft: May 2002 5 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3. DWAF FUNCTIONS AND ACTIVITIES, AND THEIR ENVIRONMENTAL LEGAL COMPLIANCE REQUIREMENTS Introduction and overview of DWAF structure, functions and activities 3.1 The Department of Water Affairs and Forestry’s strategic vision includes “A society in which all people enjoy the benefits of clean water and hygienic sanitation services; water used carefully and productively for economic activities which promote the growth, development and prosperity of the nation; and a land in which our natural forests and plantations are managed in the best interest of all” (DWAF, 2001). This vision is achieved primarily through the functions and services of the Department‟s three core branches, namely: Water Resource Management; Water Services; and Forestry. Each of these branches is organised into Chief Directorates, which in turn comprise a number of Directorates and Sub-Directorates (refer to Table 3.1, Table 3.2 and Table 3.3). Table 3.1 Structure and organization of the Water Resource Management Chief Directorates, Directorates and Sub-Directorates as at 1 September 2001. Directorate Strategic Planning Sub-Directorate Water use studies Water resources management Policy formulating Sub-sahara Planning systems 4 regions 4 regions Canal systems Earth and rockfill dams Concrete dams Region water supply Civil contract administration Dam safety Building materials laboratory Hydraulic studies Structural studies Drawing services Technical design services Dam outlets Pumping projects Special projects Heavy current electrical plant Radio telemetry systems Mechanical engineering services Electrical engineering systems Technical support services Chief Directorate Planning Development Project planning Water resources planning Civil design Mechanical/electrical engineering First Draft: May 2002 6 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Chief Directorate Directorate Construction International projects Scientific services LHWP International liaison Hydrology Geohydrology Geomatics Sub-Directorate Construction equipment and drilling services Construction projects A, B and C Dam contracts Tunnel contracts International relations Dam safety office Hydrometry Water resources studies Network services Flood studies Hydrological data quality Hydrological data management Ground water information Geohydrological information Groundwater resource assessment Groundwater studies Land information Photogrammatry Specialised surveys GIS (data management) Regions Analytical services Water quality monitoring Information systems development Water resource quality assessment Operation systems Irrigation Water loss control Water apportionment Water pricing Stream flow reduction allocation Urban development and agriculture Mines Waste management Management systems Social and ecological services Institute for water quality studies Water use and conservation Water utilization Water quality management Water conservation Catchment management Working for water First Draft: May 2002 7 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Table 3.2 Structure and organization of the Water Services Chief Directorates, Directorates and Sub-Directorates as at 1 September 2001. Sub-directorate Macro planning head office Information support Local development planning Local institutional and Water institutions support social development Sanitation support Technical support Training and capacity building Project development Business plan appraisals support Development support Contract administration support Donor co-ordination Intervention and Commercial services operations support Water services regulatory intervention Operation and maintenance support Policy co-ordination and communications support Directorate Macro planning and information support Chief directorate Water services Table 3.3 Structure and organization of the Forestry Chief Directorates, Directorates and Sub-Directorates as at 1 September 2001. Directorate Forestry policy Sub-directorate National planning Technology and information International liaison Policy and planning Technical assistance Production Processing Harvesting/mechanical Northern area Mpumalanga Corporate services Commercial forestry east griqua Commercial forestry matiwane Commercial forestry kei area Community and conservation forestry western cape area Community and conservation forestry umzimvubu area Corporate services Commercial forestry marketing and processing Commercial forestry KZN northern region Conservation and community forestry central regions Corporate services Conservation forestry scientific services Operations Legislation implementation Chief directorate Forestry Community forestry Commercial forestry Forestry northern regions Forestry southern regions Forestry central regions Indigenous forest management Forestry regulations First Draft: May 2002 8 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.1.1 Water Resource Management functions and activities The historical focus of the Water Resources Management Branch has been on the development of systems to store and transport water. This included the construction and operation of large dams, tunnels and pipelines, and the local construction of systems of weirs, pump stations and irrigation canals. In recent years, the Water Resources Management focus has changed from constructing major structures to alleviating water shortages and to a more balanced approach of equity in access to water, as well as to water conservation and demand management (DWAF, 2001). The Water Resources Management Branch is mandated by the National Water Act (NWA) (Act No. 36 of 1998) to ensure that South Africa‟s water resources are protected, used, developed, conserved and controlled in an integrated, sustainable, equitable, efficient and optimal manner, to the benefit of all persons. From a broad environmental perspective, the Water Resources Management Branch functions can be divided into those that impact on the environment and those related to managing the environment. Impacting functions include water resource infrastructure planning, development and operation, while managing functions include policy and strategy development, water resource protection and regulating water use. 3.1.1.1 WRM Impacting Functions Water Resource Infrastructure Planning, Development and Operation This function entails the implementing actions related to the management and development of water resources and involves the planning, design, implementation and operation of water resources infrastructure and intervention programmes, to ensure sufficient water availability of adequate quality (DWAF 2001). The infrastructure of large dams, canals, tunnels, pump-stations and pipe-lines required to ensure the reliable abstraction and availability of bulk unpurified water supplies is referred to as water resource management (WRM) infrastructure (DWAF 2001). The purification works, pump-stations, reservoirs, pipelines and reticulation networks required to carry purified water from bulk raw water sources to the individual domestic and industrial end-users, are referred to as water services (WS) infrastructure (DWAF 2001). Such infrastructure ensures that the availability of water is not interrupted or uncertain. Although the broader objective of the implementation and operation of WRM infrastructure is of benefit to society at large, it impacts on the environment. These impacts are addressed via environmental impact assessments and related procedures and the subsequent development and implementation of environmental management plans in co-operation with the National DEAT and its provincial counterparts (DWAF 2001). 3.1.1.2 WRM Managing Functions The NWA mandates National Government as the public trustee of the country‟s water resources and states that water resources are a national asset to be utilised in the best interests of all citizens in a sustainable manner to guarantee the needs of future generations (DWAF 2001). First Draft: May 2002 9 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The needs of the environment are also guaranteed in the Act, flowing from the Constitutional right of all to a safe, healthy environment. This means that Government is tasked to ensure that water resources, as well as water users, are protected (DWAF 2001). Water resources are protected through Chapter 3 of the NWA and water use is controlled and regulated through Chapter 4 of the Act, which outlines permissible water use and all matters pertaining to authorisation of water use (DWAF 2001). Policy and Strategy Development This function entails developing coherent policies, strategies and regulatory frameworks for other functions to implement, and includes: Long-term strategic planning and visioning for the WRM function; Developing legislation and regulations, ensuring coherence and integration; Developing the National Water Resource Strategy, e.g. undertaking water situation assessments, developing and applying a National Water Balance Model, and developing national scenarios for reconciling water requirements with available resources; Developing Catchment Management Strategies, which include water use allocation plans, at a regional or water management area level; Developing methodologies and guidelines for WRM; Financial planning and business planning for the WRM function; Formulating the organisational roles and responsibilities of water institutions; and Formulation of the national pricing strategy for water use. Water Resource Protection The water resource protection function is fundamental to the new approach to water resource management and compliance with sustainability principles. This function includes the following components: 1. Implementing Resource Directed Measures (RDMs). These measures focus on the water resource as an ecosystem rather than on just water itself as a commodity. They serve as tools to determine the sustainable levels of water use. The following RDMs are specified by the NWA: A national classification system for water resources; Determining the Reserve; and Setting Resource Quality Objectives (RQOs). 2. Implementing Source Based Controls (SBCs). SBCs are used to control the sources of impacts in such a way that any impact on a water resource does not exceed the requirements set by the RDMs. They include the following measures: Standards to regulate the quality of waste discharges to water resources; Requirements for on-site management practices (e.g. to minimise waste at source and to control diffuse pollution); Requirements to minimise impacts of water use generally, not just water quality aspects; and Requirements for clean-up and rehabilitation of water resources that have already been polluted. These measures are implemented, inter alia, through their incorporation in licence conditions. First Draft: May 2002 10 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Other protection measures include economic incentives to foster the development of lowwaste and non-waste technologies. These measures also include mandatory and voluntary water conservation and demand management (WC/DM). WC/DM strategies will form part of the National Water Resource Strategy as prescribed in the NWA and will identify national objectives and goals that will lead to the development of action plans and key measures to be implemented by the various water institutions. DWAF‟s role in the above is to: Promote institutionalisation of WC/DM; Develop policies, strategies and regulations; Integrate WC/DM in DWAF‟s other relevant functions; Undertake capacity building, awareness creation and communication activities; and Monitor and evaluate compliance and performance. Regulating Water Use This function comprises giving effect to the policies, strategies, frameworks, plans and regulations for managing the use of water resources, and includes: Authorising and registering water use Section 21 of the NWA lists eleven broad categories of water use, including water abstraction and storage, waste discharges and disposal, and instream activities. Authorisation of water use (through general authorisations and licences etc.) is a mechanism that will enable the Department to give effect to the principles of sustainable utilisation of water resources. Registration of water use is conducted prior to authorising water use, and is one of the highest priority actions currently being undertaken by the Department as part of the implementation of the national water policy (DWAF 2001). Waste management This component deals with the permitting of waste disposal sites as required by Section 20 of the Environment Conservation Act (Act No. 73 of 1989) (ECA). DWAF has been acting as an agent to DEAT in the permitting of waste disposal sites. The two departments signed a co-operative agreement on 4 February 2000, whereby DWAF will continue to act on behalf of DEAT. Setting and collecting water use charges First Draft: May 2002 11 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Table 3.4 Details of Water Resource Management functions and activities (DWAF 2000) Functions Determine the availability of water resources, project future water requirements, and identify structural and non-structural options to reconcile water requirements with available resources Activities Undertake water situation assessments for 19 water management areas Develop the National Water Balance Model Develop national scenarios for reconciling water requirements with available resources Undertake international joint studies on the Limpopo, Inkomati and Maputo river basins Undertake catchment planning studies and provision of inputs to Catchment Management Strategies Ensure progress on joint pre-commitment study with Lesotho on Lesotho Highlands Water Project (LHWP) Phase II Complete joint pre-feasibility study with Namibia on the Lower Orange River Complete Phase 2 of the Mooi-Mgeni Transfer feasibility study Complete Thukela-Vaal Water Transfer feasibility study Complete Eastern Highveld System Augmentation feasibility study Complete Southern KwaZulu-Natal pre-feasibility study. Prepare the National Water Resource Strategy Establish Departmental disaster management structures Co-ordinate municipal water management software (Muniwater) Participate in the South African Rainfall Augmentation Project Ensure progress on feasibility studies for the National Water Utility Co-ordinate strategies to implement the National Water Act Ensure web-enabling of the Water Quality Management System Complete the hard-rock module of the National Groundwater System Complete the supply and demand module of Muniwater Complete the Regional Office support module of the Water Supply and Sanitation Information System Complete the Spatial Data Engine (SDE) component of the Integrated Water Management System Ensure progression of the Water Authorisation Management System Second Release Complete the Afforestation Permit System Design dams and betterments Design canal systems and betterments Responsible Chief Directorates Planning Investigate management and development solutions for bulk water supply problems, and recommend measures to be taken in the public interest Review, amend and revise existing internal policies, develop new internal policies and implementation strategies, and analyse the implications of externallydeveloped policies and legislation Develop, implement and maintain appropriate and cost-effective information systems and information technology infrastructure, and support information technology users Development Undertake civil design for the development of water resources and the First Draft: May 2002 12 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions surveillance of state dams Undertake mechanical / electrical and electronic design and professional services for the betterments to, and maintenance of, water works Construct water works and support services in respect of drilling services, workshops and construction machinery International Projects Facilitate the implementation of the Lesotho Highlands Water Project (LHWP) Facilitate the implementation of the Komati River Development Project Facilitate good relations between the Department and external bodies and other countries Activities Design regional water supply schemes Administer civil contracts Undertake dam safety evaluations Provide professional services to other Directorate. Provide technical support services Undertake design and implementation Provide professional services towards the betterments to and maintenance of projects Implement and monitor the Occupational Health and Safety Act in the Department Construct Dams Construct Weirs Reconstruct existing schemes Construct Water Treatment Plants Construct community Water Supply Schemes Safeguarding of dams Provide support services in respect of drilling and workshop, and the purchase, refurbishment and management of capital equipment Formulate policy and procedures for implementation Consider budgets Consider claims and variation orders Negotiate agreements Resolve disputes and maintain good working relations at LHWC level Promote the image of the LHWP Advise Senior Management Monitor project implementation Facilitate, advise and monitor implementation of Komati River Development Project Investigate social and development programmes to be linked to above capital development Formulate policy, strategy and procedures Coordinate participation in Southern African Development Community Water Sector activities Facilitate contact with foreign delegations Facilitate activities of bi-national and multi-national Committees / Commissions First Draft: May 2002 13 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions Enhance safety of dams in South Africa Scientific Services Monitor and assess water resources Provide scientific and technical support for water resources management Undertake development in support of water resources management Water Use and Conservation Facilitate and co-ordinate catchment management and institutional development Promote and institutionalise water conservation and water demand management (WC / DM) Activities Facilitate contact with donors Monitor implementation (for compliance) of Agreements with other countries / donors Provide secretariat services Maintain database Classify and register dams. Consider applications for licences (permits) to construct, alter, impound, abandon dams Manage dam safety inspection programme Address shortcomings at dams Revise dam safety regulations Audit status of dam safety Maintain national and regional resource monitoring networks Maintain water resource and related databases, digital cartographic data and geo-spatial data systems Assess license applications Implement Resource Directed Measures Provide analytical laboratory services Undertake water quality assessments Provide geohydrological service Provide survey and mapping service Provide hydrological service Provide environmental service Undertake special surveys Develop information systems and tools for implementation of provisions and requirements of the National Water Act Develop resource monitoring and assessment strategies Facilitate establishment of Catchment management Agencies (CMAs) Transform irrigation boards (IBs) to Water User Associations (WUAs), and establish new WUAs Build catchment management capacity nationally Monitor and audit catchment management, and develop information systems Develop policies, strategies and regulations Integrate WC / DM into all relevant departmental functions Undertake education, capacity building, awareness creation, marketing and First Draft: May 2002 14 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions Promote equitable allocation, and beneficial and sustainable utilisation of water resources Promote integrated sustainable protection and management of the water quality of water resources Promote sustainable control of invading alien plant species Activities communication activities Provide support to water services institutions Develop sectoral WC / DM strategies: Mining, Power and Industry, Agriculture and Forestry Undertake monitoring and evaluation Promote international Cupertino Promote efficient use of water for irrigation Implement raw water pricing strategy Review catchment and systems operation Promote water loss control in bulk water systems Develop strategic framework for stream flow reduction activities Register and authorise water use: water abstraction and storage. Develop water quality elements of NWRS Develop policies and strategies for water resource protection Develop pollution prevention strategies, guidelines and support Review licensing procedures Develop pricing strategy for waste discharges and provide financial assistance for water quality protection Monitor, audit and assess Regional offices Clear invasive alien vegetation and maintain cleared areas Develop bio-control methods Develop legislative tools Raise awareness of the negative impacts of invading alien plants First Draft: May 2002 15 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.1.2 Water Services While the responsibility for ensuring the provision of services to communities in an equitable and sustainable manner falls on Local Government (Section 152 [1] of the Constitution), Section 155 gives National Government (DWAF) the legislative and executive authority to ensure that Local Government provides adequate and effective water services to communities (DWAF 2001). In this context, the Department currently performs the following functions in terms of water services delivery: DWAF is the custodian and regulator of water service delivery, in terms of an interim Cabinet mandate (managing function); Implementation of projects in the rural areas due to the lack of capacity and backlog of service provision by Local Government (impacting function); and Operation and maintenance of inherited schemes from the former homelands. The future long-term role of the Department will be to monitor and regulate basic and highlevel water services for both rural and urban areas (DWAF 2001). As for the Water Resource Management functions, DWAF's Water Services (WS) functions can be divided into those that impact on the environment and those that manage the environment. 3.1.2.1 WS Impacting Functions Project Development and Implementation This function includes the following components: Sustainable implementation of the water and sanitation capital programme via development and implementation of water services business schemes; and Co-ordination with other infrastructure programmes (DWAF 2001). Implementation of the above programmes is controlled through a decision making process. All potential negative impacts of these programmes are highlighted by feasibility studies and environmental impact studies, which are conducted for all sanitation projects and are the responsibility of District Councils‟ management (DWAF 2001). Operation and Maintenance of Schemes This function includes the following components: Operating and maintaining water and sanitation schemes from the former homelands; and Transferring of works to Water Services Authorities (WSAs) and providing them with technical, commercial, institutional and regulatory support. First Draft: May 2002 16 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.1.2.2 WS Managing Functions The following DWAF functions manage the environment and mitigate significant impacts on the environment. These functions support the DWAF‟s custodianship role mandated by the Constitution and the Water Services Act (Act No. 108 of 1997). Water Services Planning The Department is responsible for overseeing national planning for water services. This function includes: Overseeing and the effective planning for sustainable water services provision on a national, provincial, regional, and local government, planning, project and scheme level; Developing and maintaining a framework for effective project and scheme selection; Assisting the WSAs to develop a planning culture and assisting them in the preparation of their Water Services Development Plans (WSDPs); and Developing an appropriate sanitation programme in co-ordination with, amongst others, the National Sanitation Co-ordinating Office (DWAF 2001). Developing and Maintaining Policy and Strategy This entails the development of coherent policies, strategies and frameworks to create an enabling environment for the water services sector. It also includes developing the tools required to support and regulate the water services sector, e.g.: Norms and standards for tariffs; Compulsory national standards for water services; Model contracts and bylaws; and Development of policies, guidelines and regulations (DWAF 2001). Regulation and Intervention The Water Services Act was promulgated to provide a supportive regulatory structure for the provision of water services by clearly defining the roles and responsibilities of the different sector institutions. Even though the Department currently performs a dual function (being both manager and implementer), the future role of the Department, in terms of water services, will change to that of monitoring and regulation (DWAF 2001). Monitoring and Auditing The Department is responsible for developing and maintaining systems that will provide information to the WSA, the Water Service Provider (WSP) and other water services institutions. Examples of such systems and databases are: The National Information System (an umbrella system), required by both the NWA and the Water Services Act. This system enables understanding, alignment, integration and sustainable development in addition to monitoring the performance and compliance of the water services sector, as well as national water resources; The Monitoring and Evaluation system. In line with the requirements of the Water Supply and Sanitation White Paper (DWAF 1994), it was essential to develop an effective Monitoring and Evaluation system (M&E) which ensures First Draft: May 2002 17 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework that all projects meet the required standards and that the goals of the White Paper are met; and A monitoring system for WSDPs (this system has been developed and is operational along with a database on Local Governments and their WSDPs) (DWAF 2001). First Draft: May 2002 18 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Table 3.5 Details of Water Services functions and activities (DWAF 2000) Responsible Chief Directorates Water Services Functions Ensure effective planning for sustainable water services provision Ensure effective implementation of the capital programme for water and sanitation services provision Activities Oversee national planning for water services – establish and maintain national, provincial and regional water services strategies Support water services development planning (WSDP) processes through Further developing WSDP framework and process, and Continuing to support the development of WSDPs Support project selection and scheme planning for next round of projects through the development of appropriate systems Create national information systems and related monitoring and evaluation systems Support Regional staff in sustainable implementation of water and sanitation capital programme in terms of functions decentralised and training received, defining scope of work for Institutional and Social Development staff, developing contractual documentation, defining scope of work for Project and Programme managers, implementation of Build, Operate, Train and Transfer (BoTT) process, refining design guidelines, ensuring management support, ensuring capital budget allocation, establishing policy for budget allocation to WS, sanitation, manage and BoTT, and developing multi-year programme to enhance sanitation infrastructure development. Facilitate external funding and promote the capital development programme to donors, and concessionary and commercial financiers in order to access funding Develop and implement a monitoring and evaluation system through creation of Capital Programme Monitoring and Evaluation (M&E) Unit at Head Office and in the Regional Offices, and through ongoing evaluation studies Co-ordinate with other infrastructure development programmes through ongoing bi-laterals with other departments and the Policy Unit of the Presidency, reviewing of implementation strategy on impact of poverty alleviation, and participating in SDI initiatives. First Draft: May 2002 19 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions Provide assistance to water services institutions in developing capacity to fulfil their obligations in terms of the Water Services Act, and ensure the integration of sanitation issues into all planning and implementation processes Activities Enhance business planning process by establishing / empowering Regional Appraisal committees, identifying gaps between policy and implementation by examining Business Plans (BPs) with budget > R30m, and communicating documentation. Monitor performance of water boards through assessing technical, legal, financial, and institutional performance, evaluating BPs and policy statements, integrating water board (WB) activities with WSDPs, and establishing/disestablishing WBs, as required. Develop capacity building and training (CB&T) approaches and strategies for local government through providing institutional support / capacity building services, developing a support system to provide advice to WSAs through Regional departmental offices, and liaising with institutions working in the local government and capacity building sector. Provide technical and financial support through approving subsidies to local authorities, supporting evaluation of Consolidate Municipal Infrastructure Programme (CMIP) applications, supporting the preparation of guidelines for engineering services for implementation and operation of community water supply and sanitation (CWSS) for human settlements, supporting the development of WSDP guidelines, and advising on refurbishment of transfer schemes and water loss programmes. Develop an appropriate sanitation programme in co-ordination with National Sanitation Coordinating Office through : supporting policy development and guidelines for implementation of the rural programme, advocating for and developing the health and hygiene programme, supporting Regions to implement programme, and developing appropriate M&E tools, and ensuring evaluations and alignment with CWSS M&E system. Develop tools, policy, guidelines and regulations to support a business approach to water Provide technical, commercial, First Draft: May 2002 20 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions institutional and regulatory support to water services institutions to ensure water services works and systems give rise to sustainable water services Activities services. Facilitate and support institutional arrangements for viable water services providers for sustainable operations. Provide technical expertise to support improved efficiency (including water loss management, Operation and Maintenance promotion, and improving water quality). Develop policy and strategy in respect of the Water Services Regulator. First Draft: May 2002 21 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.1.3 Forestry DWAF forestry functions include managing commercial and indigenous forests, providing community forestry services, and providing the policy and regulatory framework for the forestry sector. As for both the Water Resource Management and Water Services functions, DWAF's forestry functions can also be divided into those that impact on the environment and those that manage the environment. 3.1.3.1 Forestry Impacting Functions Forestry functions that impact significantly on the environment include facilitating and supporting community forestry and the development of the industrial/commercial forest sector. It should be noted that these functions have both management and impacting dimensions and that their focus will gradually shift towards that of regulation and management. Facilitating and Supporting Community Forestry DWAF community forestry facilitation and supporting functions include: Managing DWAF-owned woodlots; Managing the process of devolving ownership, control and management of woodlots to communities; Supporting the development of new afforestation, both commercial and for community needs in accordance with the NWA; Promoting the sustainable use of natural forest and woodland resources by working in partnership with Local Government and other service providers; Assisting Local Government in the development of the urban forestry aspects of urban greening; Supporting Local Government and other service providers in working with communities to develop sustainable rural livelihoods; and Providing information and promoting the implementation of appropriate legislation, particularly the NVFFA. Industrial/Commercial Forest Sector Development This function entails ensuring the sustainable, profitable and scientific management of State forest timber plantation areas and participation in general business matters pertaining thereto. Further commercial forestry functions include: Promoting the sustainable development of the wider industrial forest sector; Achieving an agreed basis for managing the impacts of forest sector development on water resources and the environment; Promoting value addition to the industrial forest sector; Assisting South Africa‟s industrial forest sector to realise its full potential in global markets; Promoting the participation of small-scale growers in the forest sector; Development of appropriate timber-products standards for South Africa; and Regulating negative impacts of industrial forestry and create conditions for positive impacts. First Draft: May 2002 22 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.1.3.2 Forestry Management Functions Sustainable Management of Natural Forests This function entails ensuring the conservation, optimal utilisation and scientific management of State forest conservation areas and participation in general nature conservation matters and includes: Actively managing all assets in a participatory manner through, for example, developing a National indigenous forest database and management plans for all indigenous forests; Issuing licences and facilitating community use within a framework for Participatory Forest Management. The current licensing/permitting system for access and use of state forests is, however, still based on the old Forestry Act; Overseeing Provincial forests as well as delegations and assignments based on environmental management audits; and Undertaking ongoing research, observations and rehabilitation. Fire Management This function includes aspects such as: Developing and maintaining a fire danger rating system; Developing a framework for and forming fire protection associations as well as registering these associations; Developing and maintaining a framework for fire information and statistics; Undertaking National public awareness campaigns; and Providing advice to communities (DWAF 2001). First Draft: May 2002 23 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Table 3.6 Details of Forestry functions and activities (DWAF 2000) Functions Manage and later sell/lease remaining commercial (Category A and B) plantations Category A plantations are regarded as the most commercially viable plantations Category B plantations are considered to be potential vehicles for local and regional entrepreneurial development Oversee the lease on state forest land Activities Transfer Category A forests Transfer and re-deploy Category A employees Prepare Category B forests for sale Negotiate with unions on labour consequences Offer Category B plantations Transfer Category B forests Transfer and re-deploy Category B employees Establish Forestry Land Management Unit Establish systems for lease management Implement lease management on all leased forests Manage woodlots actively Establish database and strategy for each woodlot Devolve to community ownership and/or benefit wherever possible Negotiate with unions on labour consequences Undertake urban greening initiatives Undertake rural livelihood interventions and greening Explore new afforestation through corporate public-private partnerships (CPPPs) and joint ventures Provide woodland advice Plan for Arbor Week Actively manage all assets in a participatory manner Issue licences and facilitate community use Oversee provincial forests Undertake ongoing research, observations and rehabilitation Promulgate all sections of the Act Publish regulations Establish all regulatory systems under the Act Provide appropriate licences Develop Fire Danger Rating System (FDRS) Develop framework for Fire Protection Associations (FPAs) Develop framework for fire information and statistics Implement systems Undertake public awareness campaigns Responsible Chief Directorates Forestry Manage and later devolve community woodlots Provide services to communities in forestry related matters Manage indigenous forest areas and oversee management of forests delegated or assigned to provinces Regulate forestry through the National Forests Act Regulate fire management in forestry, agriculture and rural land through the National Veld and Forest Fire Act First Draft: May 2002 24 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Responsible Chief Directorates Functions Develop and review Forestry policy and support information and research on forestry Activities Provide information and statistics on SA forests Undertake research on environmental, economic, social aspects of Forestry Undertake ongoing policy development First Draft: May 2002 25 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.2 3.2.1 Environmental legislation and policy overview Environmental laws, other than those administered by DWAF, which may have an influence on activities undertaken by DWAF in the execution of their statutory mandate The vision for DWAF in terms of compliance with environmental legal compliance is primarily achieved through the functions and services of the Departments three core branches namely: Water Services Water Resource Management and; Forestry While the responsibility for ensuring the provision of services to communities in an equitable and sustainable manner falls on Local Government , Section 155 gives National Government (DWAF) the legislative and executive authority to ensure that Local Government provides adequate and effective water services to communities. 3.2.1.1 Water Services The purpose of the Water Services Act NO 108 of 1997 is to provide legislative significance to water service provision. The main objectives of this Act are to provide for : (Source: - Section 2 –Register of Environmental Laws) (a) the right of access to basic water supply and the right to basic sanitation necessary to secure sufficient water and an environment not harmful to human health or well-being; the setting of national standards and norms and standards for tariffs in respect of water services; the preparation and adoption of water services development plans by water services authorities; a regulatory framework for water services institutions and water services intermediaries; the establishment and disestablishment of water boards and water services committees and their duties and powers; the monitoring of water services and intervention by the Minister or by the relevant Province; financial assistance to water services institutions; the gathering of information in a national information system and the distribution of that information; the accountability of water services providers; and the promotion of effective water resource management and conservation. (b) (c) (d) (e) (f) (g) (h) (i) (j) The water services act which is administered by DWAF currently makes provision for 55 activities, roles and functions of DWAF. The mandate for these functions are fulfilled by the chief directorates and subsequent directorates below. First Draft: May 2002 26 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 3.2.1.2 Water Resource Management The water resource management branch is mandated by the National Water Act (NWA) No. 36 of 1998. The Act ensures that South Africa‟s water resources are protected, used, developed, conserved and controlled in an integrated, sustainable, equitable, efficient and optimal manner to the benefit of all persons. Some of the important activities, roles and functions administered by DWAF in terms of the NWA include the following : (Source : section 2 Register of laws A) Establishment of a national water resource strategy – Sec 5 (1) and (3) obliges the minister to establish a national water resource strategy in accordance with which the water resources of the country must be protected, used and controlled. B) Establishment of catchment management strategy- Sec 8 (1) obliges CMA‟s to establish catchment management strategies for the management and control of water resources within its water management area. It is important to note that catchment management strategies may not be in conflict with the national water resource strategy. C) Developing a classification system for SA’s water resources - Sec 12 (1) obliges the Minister to prescribe a system for classifying water resources. The system for classifying water resources should establish guidelines and procedures for determining different classes of water resources. D) Exercising any power or performing any duty in terms if the NWA – Sec 15 allows for DWAF as well as any other organ of state and a water management institution, when exercising any power/ duty in terms of the Act, must give effect to any determination of a class of a water resource and the resource quality objective. E) Determination of the reserve- Sec 16 (1) obliges the Minister to determine the reserve after fixing the class and resource quality objectives. F) Enforcing pollution prevention measures- Sec 19 imposes pollution prevention obligations on landowners, persons in control of land and those occupying land on which situations exist which cause, have caused or may in the future cause pollution on a water resource G) Licensing of water use – Sec 21 describes all aspects of water use that require the responsible authority‟s consent. Sec 22 (1) describes the circumstances under which a licence for water use listed in section 21 is not required. Sec 22 (4) empowers DWAF to promote arrangements with other organs of state to combine their respective licence requirements into a single licence requirement. H) Making regulations on water use – Sec 26 describes the types of regulations that DWAF may make in order to achieve the purpose of the Act. I) Regulating stream flow reduction activities – Sec 36 defines stream flow reduction activities and enables the Minister to declare additional activities as stream flow reduction activities from time to time. J) Power to expropriate land for the purposes of the Act – Sec 64 enables the Minister of Water Affairs or a water management institution authorised by the Minister in writing, to expropriate property for any purpose contemplated in the Act, provided First Draft: May 2002 27 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework that purpose is a public purpose or is in the public interest. The provisions of the Expropriation Act of 1975 must guide such expropriations. K) Seeking assistance with the implementation of international agreements – Sec 102 enables the Minister to establish a body to implement and international agreement entered into by the SA government relating to water resource. The information that must be contained in the notice of establishment (to be published in the Government Gazette) is listed in Sec 103. L) Considering the continued existence of international implementation bodies established prior to the commencement of the Act - Sec 108 provides for the continued existence of existing international implementation bodies. M) Development of national monitoring systems – Sec 137 imposes an obligation on the Minister to establish a national monitoring system to assess the quantity, quality, use, rehabilitation and compliance with resource quality objectives, as well as the health of aquatic ecosystems. N) Development of National information systems – Sec 139 imposes an obligation on the Minister to establish a national information system regarding water resources. The information system may include, amongst others, 1. a hydrological information system; 2. a water resource quality information system; 3. a groundwater information system; and 4. a register of water use authorisation The summary of activities presented above is by no means a comprehensive overview of the various roles and responsibilities administered by DWAF. A synthesis of these issues ie. functions and activities conducted by DWAF is provided in chapter 3. The focus of this chapter is to highlight the water resource management issues that are impacting on water use with regards to planning, development, international projects, scientific services and water use and conservation within DWAF. Other critical issues include the policy and strategy developments as well as water resource protection. It should be unequivocally stated that DWAF has over the past few years managed to incorporate many of its environmental management objectives and has been instrumental in striving towards sustainable water resource management. Some of the points to note has been an increases understanding of the water resource base , management imperatives that impact or potentially impact and ensuring environmental considerations are not neglected in planning and development initiatives. 3.2.1.3 Forestry The forestry sector within DWAF is mandated and governed by the legislative significance provided by the National Forests Act No 84 of 1998. The purpose of this Act is to : The purposes of this Act are to(a) (b) (c) promote the sustainable management and development of forests for the benefit of all; create the conditions necessary to restructure forestry in State forests; provide special measures for the protection of certain forests and trees; 28 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework (d) (e) (f) promote the sustainable use of forests for environmental, economic, educational, recreational, cultural, health and spiritual purposes; promote community forestry; promote greater participation in all aspects of forestry and the forest products industry by persons disadvantaged by unfair discrimination. DWAF‟s forestry activities, roles and functions include some of the following key issues: The exercise of any power or the performance of any duty in terms of this Act; The development and implementation of government policies affecting forests; The exercise of any power or the performance of any duty in terms of any other legislation where the exercise of that power or the performance of that duty will impact on a natural forest or woodland; The issuing of a license or other authorisation relating to the use of water for afforestation or forestry in terms of section 39(1) or 40(1) of the National Water Act, 1998; and Carrying out an environmental impact assessment in respect of any activity which will or may have an effect on natural forests or woodlands. Promoting and enforcing sustainable forest management Promotion of research Monitoring forests Enforcing the prohibition on destruction of trees in natural forests Declaring & managing land as – (i) a forest nature reserve; (ii) a forest wilderness area; or (iii) any other type of protected area which is recognized in international law or practice Declaration of trees as protected Controlling and remedying deforestation Granting access to State forests for recreation, education, culture or spiritual fulfilment Granting servitudes in State forests Leasing of State forests Negotiating agreements to sell forest produce in State forests Establishment of institutions Enforcing the Act Other associated legislation linked with the forestry sector include the National Veld and Fires Act No 101 of 1998. The purpose of the Act is to prevent and combat veld, forest and mountain fires throughout the Republic. The forestry sector has also recognised the need to fulfil its mandate with giving environmental considerations to all of its proposed plans and developments. 3.2.2 Environmental laws administered by DWAF Section 2 identifies all the environmental laws that could potentially influence DWAF in the execution of its statutory mandate, these include: Constitution of 1996; Atmospheric Pollution Prevention Act 45 of 1965; Public Health By-laws and Regulations; National Building Regulations and Building Standards Act 103 of 1977; 29 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Environment Conservation Act 73 of 1989; Advertising on Roads and Ribbon Development Act 21 of 1940; Occupational Health and Safety Act 85 of 1993; Hazardous Substances Act 15 of 1973; Fertilizers, Farm Feeds, Agricultural Remedies and Stock Remedies Act 36 of 1947; National Road Traffic Act 83 of 1996; Municipal by-laws relating to flammable substances; Health Act 63 of 1977; National Parks Act 57 of 1976; Conservation of Agricultural Resources Act 43 of 1983; Provincial Nature Conservation Ordinances; Lake Areas Development Act 39 of 1975; Mountain Catchment Area Act 63 of 1970; National Heritage Resources Act 25 of 1999; Planning laws; Promotion of Access to Information Act 2 of 2000; Water Services Act 107 of 1998; National Water Act 36 of 1998; National Forests Act 84 of 1998; and National Veld and Forest Fire Act 101 of 1998. Table 3.7 depicts the activities roles and functions of DWAF, as well as the legal requirements to administer their statutory mandate. (Source : Section 1) Table 3.7 Legal requirements for DWAF to administer statutory mandates LEGAL REQUIREMENT WASTE MANAGEMENT LEGAL ISSUES, FUNCTIONS AND ACTIVITIES ATMOSPHERIC POLLUTION Control of noxious or offensive gases Smoke control Dust generation during the construction and demolition of structures, roads, etc and when installing or refurbishing pipes Vehicle emissions Impacting on the health/well-being of people working or living in the vicinity of DWAF operations Penalties for air pollution Disposal of waste to permitted landfill sites Littering Asbestos waste Disposal of empty pesticides/herbicides containers Disposal of waste that may impact on water resources Disposal of hazardous chemical waste HAZARDOUS WASTES Identification, classification and handling of hazardous chemical substances Use of herbicides and pesticides Major hazard Installation Transportation of hazardous substances (including offloading) Storage & handling of flammable liquids and substances 30 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework LEGAL ISSUES, FUNCTIONS AND ACTIVITIES WATER CONSUMPTION AND DISPOSAL LEGAL REQUIREMENT NOISE FAUNA & FLORA (INCLUDING PROTECTED AREAS AND NATIONAL HERITAGE RESOURCES) Prevention and remedying the effects of pollution Control of emergency incidents Licensing requirements for water use Purification and disposal of water used for industrial purposes and effluent Wastage of water (water balance) Dams with a safety risk Water care works Wilful or negligent pollution of water by DWAF employees Water supply and sanitation services Storm water discharges into drainage installations Water use rights of landowners riparian to streams/rivers falling within national parks DWAF-owned land under irrigation Diverting run-off water from one water resource to another Obstructing the natural flow pattern of water Noise presenting a nuisance to others Noise that may present a risk to health of others Damage to rare/endangered plant species Cultivation of land with a slope (forestry) Erosion caused by the action of wind and water Rehabilitation of disturbed land Combating of weeds and invader plants Prevention of veld fires from land owned or controlled by DWAF Activities in/near protected lake areas Activities in/near protected mountain catchment areas Discovering areas of potential special significance to the public Planning of new activities that may detrimentally impact on the environment Considering the location of new dams, forest and any infrastructure developments Enforcement of the laws administered by DWAF Responding to requests for environmental information DWAF actions that may significantly affect the environment. Decisions concerning the protection of the environment. Development of environmental management implementation plans Functions of the Committee for Environmental Coordination, of which DWAF is a member Development, submission & publication of an environmental implementation plan and an environmental management plan Compliance with environmental implementation plans and environmental management plans Differences or disagreement arising in the exercise of DWAF‟s functions. Decisions involving the Development Facilitation Act 67 of 1995 DWAF activities that require authorisation or permission by law which may significantly affect the environment. Activities authorised by DWAF which may significantly affect the environment THE PLANNING OF NEW ACTIVITIES GENERAL OBLIGATIONS THAT MAY INFLUENCE ENVIRONMENTAL MANAGEMENT First Draft: May 2002 31 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework LEGAL ISSUES, FUNCTIONS AND ACTIVITIES LEGAL REQUIREMENT Receiving requests for information from the Minister of Environmental Affairs and Tourism Compulsory environmental protection measures and methods Protection of workers refusing to do environmentally hazardous work Emergency incidents Increased exposure to litigation Section 2 highlights the laws which are not currently administered by DWAF. The table also indicates those laws which need to be further expanded upon and the DWAF mandate to fulfil these laws will depend on the interpretation and compliance with these laws in the future. Many of the legal requirements outlined above are governed by legislation for eg the Atmospheric Pollution Prevention Act as well as many other pieces of environmental legislation. The key mechanism to implement efficient and effective regulation and legal compliance of these issues will be the need to source out the management structures ie. (the directorates within DWAF) which will be mandated to research possible future developments of these laws and provide existing knowledge of issues which have not been incorporated as yet. A comprehensive and in depth analysis such as that conducted with the existing laws administered by DWAF will be beneficial in compiling an overall registry of environmental laws which are applicable to DWAF presently as well as in the near future. However, the inventory is by no means a complete assessment of DWAF environmental obligations but rather a start point which should be periodically reviewed and revised. 3.2.3 International conventions, common law and important legislative developments that may influence DWAF South Africa has become a signatory to variety of international agreements relating to the environment, the more important of which are highlighted below. These conventions impose specific environmental management requirements and obligations on the South African government. Although DEAT is responsible for administering and implementation of these conventions, DWAF needs to identify and highlight opportunities for co-operation with a view to assisting DEAT in the successful implementation of the Country‟s obligations. Table 3.8 International conventions and agreements for which DWAF is responsible Aims and Objectives of Conventions and Agreements Convention of Biological Diversity DWAF area of Application : First Draft: May 2002 The objective of this convention is to achieve international cooperation on the conservation of biological diversity Profile in South Africa South Africa‟s response to requirements is contained in the White Paper on the Conservation and Sustainable Summary of relevant provisions of the Convention Convention places duties on all parties to conserve biological diversity within their jurisdiction in the case of processes and activities under their control 32 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Forestry Convention emphasises the fact that natural resources are the property of individual countries, use of South Africa‟s Biological Diversity. Policy has not yet been translated into legislation and organs of state are bound by the provisions of the White Paper. White paper outlines policy and strategy and divided into various sections and focuses on 6 goals Requires co-operation between parties in preserving diversity out of national jurisdiction Parties should exchange information and consult on national projects likely to Decision making powers lie at the national level. have adverse impacts on biological diversity Montreal Protocol (Protection of the Ozone layer) DWAF area of application : Water treatment works and possibly forestry The protocol is aimed at the protection of the ozone layer Major substances to be regulated under the protocol include: South Africa has been reclassified under the protocol as a developing country South Africa will retain it commitment as a developed country but more flexibility may be allowed when additional regulations are introduced Parties agree to control annual consumption and production of substances listed in accordance with agreed levels. An allowance for delayed compliance with the obligations imposed under the protocol is granted to developing countries consuming less that 0.3 kg per capita of the controlled substances Parties are prohibited from importing substances from a non-party to the protocol and developing countries may not export such substances to a non-party. The protocol also provides measures to exchange technology and information for the calculation of control levels for assessment and review of the progress achieved Transboundary movement of harzardous wastes will be allowed only if required as a raw material for recycling or recovery industries in the state of import subject to the provisions of the 33 1) CFCs 2) halons 3) methyl chloroform 4) carbon tetrachloride 5) HFCs and methyl bromide Basel Convention Control of Transboundary Movements of Harzardous Wastes The main objectives of the convention are the reduction of the production of waste and the restriction of transboundary South Africa has never ratified the amendments I,II,III of the convention which means in effect that the classification First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework DWAF area of application: Regulating waste disposal practices movement and disposal of waste. contained in the amendments is not binding on the South African government The provisions of the convention apply to hazardous waste by national legislation South Africa‟s failure to sign the initial Annexes no longer excludes us from the provisions of the convention convention Parties prohibiting import of wastes shall inform other parties of their decisions. Parties which are so informed shall either permit or prohibit the export of hazardous wastes. Parties are to prohibit the export of wastes if the state of import does not consent in writing to the specific import, where the state of import has not prohibited the import of such wastes Parties are to designate or establish one or more competent authorities as focal points to receive notifications Parties are to cooperate with each other to improve or achieve the environmentally sound management of hazardous wastes Framework Convention of Climate Change DWAF areas of application: Water services Provision and Forestry Main objective is to regulate levels of greenhouse gas concentration in the atmosphere so as to avoid the occurrence of climate change The convention is of particular importance to DWAF due the association with processes such as water treatment works, power generation, waste incineration and gases such as 2 CO and methane The commitments assumed under the convention are directed at developed countries and South Africa, as a developing country has not incurred any obligations to reduce its greenhouse gases at this point in time Parties are to protect the climate system for present and future generations. Parties should work in cooperation, so as to obtain maximum benefit from initiatives in the control of the climate system. The developed countries commit themselves to taking special measures to limit anthropogenic emissions of greenhouse gases, and to enhance the capacity of their reservoirs for the stabilisation of such gases The developed countries undertake to accord financial support to developing countries to enable the latter to comply with the terms of the convention The strategies identified in 34 Convention to First Draft: May 2002 Major aim to South Africa‟s Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Combat Desertification in Countries experiencing Serious Drought and Desertification DWAF area of application : Forestry combat desertification in those countries experiencing serious drought particularly in Africa. participation in this convention may result in the restriction of forestry related activities and may accordingly be an important considerationin DWAF‟s forestry planning decisions the Convention to achieve its objectives include the conservation and sustainable management of land and water resources and party countries are obliged to cooperate with each other. The Convention aims to create a sustainable environment for the people residing in “affected” areas. First Draft: May 2002 35 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 4. 4.1 ENVIRONMENTAL ASSESSMENT AND MANAGEMENT TOOLS Introduction Environmental Assessment (EA) was a term coined in the 1970‟s to describe the evaluation of the potential impacts that a development project would have on the environment. Environmental Impact Assessment (EIA) was born out of a marked desire to balance the environmental interests in the larger scheme of developmental issues and concerns. The development of this tool was spurred on by the inadequacies of earlier techniques and methods in addressing the increasing scale, complexity and uncertainty of development proposals; and public activism aimed at addressing issues pertaining to environmental quality, equity and justice. Since then Environmental Assessment has become a standard procedure worldwide for the evaluation of projects. The era of environmental assessment has resulted in a marked change in the evaluation and design of projects from the 1930‟s, where projects were largely the domain of engineers, to the 1990‟s where public participation requirements ensure the full integration of public interest and views into the project design and decision-making process (Figure 4.1). Design Team Engineers Engineers+Economists Engineers+Economists+Natural Scientists Engineers+Economists+Natural Scientists+Social Scientists Engineers+Economists+Natural Scientists+Social Scientists+Affected People+NGO‟s Figure 4.1 Broadening participation in project design and evaluation Era 1930‟s 1940‟s 1970‟s 1980‟s 1990‟s South Africa adopted the concept of environmental assessment in the mid-1970‟s with the constitution of the Environmental Planning Professions Interdisciplinary Committee (EPPIC) which has been operational since 1974 but ceased existence in the late 1990‟s. A number of EA‟s were conducted through this period but it was only in 1992 with the publication of Integrated Environmental Management Guidelines (IEM) by the then Council for the Environment, that a formal EA process was recognised in South Africa. Then in 1997 the Department of Environmental Affairs and Tourism published EIA regulations in support of Sections 21, 22 and 26 of the Environment Conservation Act that legally enforced the requirement of an environmental assessment process prior to developing certain identified activities (Section 5). The incorporation of environmental issues into project planning and design were instituted in the 1970‟s with the Department of Water Affairs and Forestry. During 1978 (last revision 1989), the Department collated a document entitled “General Guidelines to rehabilitate landscapes during the planning; design; construction and implementation of projects”. This document was aimed at the mitigation measures necessary during project development rather than as a pro-active assessment of impacts that could result from a proposed development. This document was followed with the document “Guidelines for the practical implementation of integrated environmental management” in 1986 and revised in 1989. Besides mitigation, the document emphasized those aspects, which environmental implications might have in the different stages of development. The document mainly contained detail of the practical application of implementation during the different elements within IEM. This document was further refined with the document “A Guide to the Process of First Draft: May 2002 36 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Integrated Environmental Management as Applied by the Department of Water Affairs” which was published in 1990. Since that time a number of documents pertaining to the environment have been published, however, none have dealt with aspects of integrated environmental management. 4.2 The Evolution of Environmental Assessment The progression from NEPA in the 1970‟s to the publication of Our Common Future in the 1980‟s and to the 1990‟s has seen significant improvements in both the practice and the science of environmental assessment. These improvements have been necessitated out of identified positive and negative aspects of the process. These aspects are listed in Table 4.1 Table 4.1 Positive and negative aspects of Environmental Assessment Negatives: Inconsistent application locally, nationally and internationally Operates as “stand alone” process and doesn‟t recognise the existence of other tools Weak follow-up following project implementation Cumulative effects are not properly addressed Limited or poor public consultation Voluminous descriptive reports that do not assess impacts adequately Insufficient process which is considered to be time consuming and costly Positives: Environmental Assessment: Facilitates more informed decision making to include environmental issues Assists in the selection of alternatives and influences project selection and design Directs content of formal approvals Predicts adverse effects In addition to the above, it has been recognised that environmental issues should be considered in the planning and policy formulation process and that EA as currently constituted could not meet these requirements. In order to respond to these identified weaknesses, a tiered approach to environmental assessment and management (in recognition of weak follow-up processes) has been developed. The tiered approach recognises that alternative environmental assessment and management tools should be implemented dependent on situation requirements (Figure 4.2). The tiered approach also recognises the relationship between the tools and that, in an ideal sequence, strategic EA should provide detail for project EA which should aide the environmental management process. As currently applied this is not the case (Figure 4.3). In addition to the environmental decision-making and management frameworks, refined tools including but not limited to: Risk Assessment (RA) and Cumulative Effects Assessment (CEA) have been put in place for environmental assessment and management purposes. First Draft: May 2002 37 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 4.2 Figure 4.3 Hierarchy of Environmental Assessment and Management Tools The Environmental Assessment Process and relationships The following sections more thoroughly describe the tools mentioned in the text above. The descriptions are short since the applications of the various tools are outlined in more detail in Chapter 5. 4.3 4.3.1 Environmental Assessment Tools Strategic Environmental Assessment The following description is derived from the Guideline Document; Strategic Environmental Assessment in South Africa: Draft Document, CSIR, 1999. Strategic Environmental Assessment (SEA) aims to ensure that environmental issues are addressed early in the process of formulating policies, plans and programmes (PPP). The development of SEA continues to be a dominant trend in the international debate surrounding environmental assessment and management. The need for SEA was identified, indicating the limitations of project-specific Environmental Impact Assessment (EIA). The key differences identified between SEA and EIA are summarised in Table 4.2. Table 4.2 Comparing SEA and EIA First Draft: May 2002 38 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework EIA Is reactive to a development proposal Assesses the effect of a proposed development on the environment Addresses a specific project Assesses direct positive and negative impacts of a particular project Focuses on the mitigation and prevention of impacts Narrow perspective and a high level of detail SEA Is pro-active and informs policies, plans and programmes Assesses the opportunities and constraints which the environment places on development Addresses areas, regions or sectors (e.g. the Forestry or Mining Sector) of development Assesses cumulative impacts and identifies implications and issues for sustainable development Focuses on sustaining a chosen level of environmental quality Wide perspective and a low level of detail to provide an overall framework against which positive and negative impacts may be measured. The approach to SEA is context-specific, integrative and sustainability-led. Each of these characteristics is described below: Context-specific The process for an SEA should be informed by the context (e.g. the political, institutional, social and biophysical environment) in which the policy, plan or programme is being developed. The SEA is therefore adapted to local requirements for decision-making. Such an approach allows for flexibility in developing tailor-made SEA procedures, which respond to local conditions. Integrative The integrative approach to SEA aims to avoid the duplication of processes. The focus is on adding value to existing procedures and minimising the need for additional human and financial resources. Therefore there should not necessarily be a single SEA process to be applied in all circumstances; but rather that there are principles and key elements that should be integrated into current procedures for the formulation of policies, plans and programmes. Sustainability-led A sustainability-led approach to SEA goes beyond the extension of project-specific EIA procedures to the policy, plan and programme level. It provides for the inclusion of the concept of sustainability into policy, plan and programme formulation. This approach to SEA aims to facilitate local definitions of sustainability, as well as the formulation and implementation of strategies to achieve this. The principles are the fundamental premises underpinning SEA methodologies. They provide the theoretical base for the development of SEA processes and include that: SEA is driven by the concept of sustainability; SEA identifies the opportunities and constraints which the environment places on the development of policies, plans and programmes. SEA sets the criteria for levels of environmental quality or limits of acceptable change; SEA is a flexible process which is adaptable to the policy, planning and sectoral development cycle; 39 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework SEA is a strategic process, which begins with the conceptualisation of the policy, plan or programme; SEA is part of a tiered approach to environmental assessment and management; The scope of an SEA is defined within the wider context of environmental processes; SEA is a participative process; SEA is set within the context of alternative scenarios; and SEA is based on the principles of precaution and continuous improvement in achieving sustainability objectives. Key elements are identified as a guide to developing a context-specific SEA process. They may be combined or repeated, in a cyclical manner, at different stages of the SEA process and at different levels of detail. The following key elements are essential components of SEA: Identification of broad policy, plan and programme alternatives; Screening; Scoping; State of the Environment (SOE) Analysis; Development of guidelines for sustainability; Assessment and adjustment of policies, plans and programmes; and Development of a management strategy for the implementation, monitoring and auditing of the policy, plan or programme. A generic SEA process diagram is reflected in Figure 4.4. First Draft: May 2002 40 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 4.4 Generic SEA process diagram First Draft: May 2002 41 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 4.3.2 Environmental Impact Assessment The primary purpose of conducting an EIA is to ensure that the environmental effects of proposed activities are adequately and appropriately considered before decisions are taken. This should serve as a key aid in the decision-making process by providing comprehensive information on the environmental consequences of development. Evaluated information and supporting arguments enable decision makers to evaluate the overall impacts of a proposal and alternatives to that proposal. The objectives of EIA in South Africa are: To ensure that the environmental effects of activities are taken into consideration before decisions in this regard are taken; To promote sustainable development, thereby achieving and maintaining an environment that is not harmful to people‟s health or well-being; To ensure that identified activities that are undertaken do not have a substantial detrimental effect on the environment; To prohibit those activities that will have a substantial detrimental effect on the environment; To ensure public involvement in the undertaking of identified activities; and To regulate the processes and reports required to enable the minister or his designated competent authority to make informed decisions on activities. There are a number of principles which underlie these objectives, these include: Early application - the EIA process should be applied as early as possible in the proposed planning of investment as is practical. This should ensure that environmental issues are considered pro-actively before irrevocable decisions are taken. Practicality generally dictates that the EIA process is applied during project conceptualisation. Participation - this requires that all interested and affected parties have the opportunity to participate meaningfully in the EIA process. Issues based - EIA should focus on the resolution of issues which are considered to be important to those participating in the process. Alternatives - EIA should consider all feasible alternatives which may include different methods of undertaking a development, alternative sites, alternative sources of raw materials. The “no-go” option is another feasible alternative. Accountability - project proponents are accountable for the potential impacts of activities being undertaken as well as managing impacts. Consultants are accountable for providing sufficient information to enable decision-makers to take sound decisions. The Competent Authority is accountable for the decisions that are taken. The guiding principles of EIA focus on the early application of the legislative process before irrevocable decisions are made; accountability for impacts that could result from proposed activities, as well as accountability for decisions taken which authorise that activities may occur; and an open and participatory approach that ensures public involvement. The stages of an EIA are as follows: Proposal to undertake an activity, Pre-application consultation, Submit application to the relevant authority, Plan of study for scooping, Authority review and amend if necessary, accept, First Draft: May 2002 42 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 4.3.3 Scoping report, Review by authority, specialists and I&AP‟s, amend if necessary, accept, Consideration of the application, Issues and alternatives further investigated, Plan of study for EIR, review and amend if necessary, Environmental Impact Report (EIR), Review by authority, specialists and I&AP‟s, amend if necessary, accept, Consideration of application, appeal and acceptance, Recording of decision, Conditions of approval to undertake the activity. Environmental Management Systems The following description is derived from Heather-Clark and Hounsome “Cradle to Grave Environmental Management: Integrating Environmental Impact Assessment with Environmental Management Systems”. An Environmental Management System (EMS) standard is described as a spiral of continuous improvement of environmental management which should result in the continuous improvement in environmental performance. This spiral consists of a number of stages that an organisation must implement in order to receive ISO certification (reflected below). Key components of ISO 14000 Environmental policy Resources Structures and Responsibilities Training Management Representative Operational Control System Documentation Document Control Monitoring and Measurement Non-conformance - Corrective and Preventive Action System Audits Management Review An ISO 14001 EMS is based on the assumption that “Caring for the environment makes good business sense” and that on this basis (and some other factors that will be discussed later) organisations will opt for ISO 14001 implementation. It is important to note from the start that ISO 14000 standards are process and NOT performance standards. In other words the standard does not specify the environmental performance (besides compliance with environmental regulations) that a organisation should achieve. Rather, it describes a system that will help an organisation to achieve its own objectives and targets. Furthermore, the standard will not by itself guarantee optimal environmental outcomes. First Draft: May 2002 43 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The standard is based on a number of key principles Principle 1: Commitment and Policy Probably the most crucial aspect relating to the successful implementation of an EMS is the commitment from Top Management (decision-makers). Without this commitment the system is likely to fail. However, before decision-makers can commit themselves they will have to be convinced of, understand and appreciate, the advantages of implementing an EMS. This is possibly one of the most challenging aspects that environmental managers and consultants will have to face i.e. proof of financial and environmental benefits. For environmental managers to be convincing in this task they themselves must be convinced that the system will really work. Of course it goes without saying that for successful implementation, commitment will also have to be sought from company employees. Commitment is often shown by developing and adopting an appropriate policy. The standard is explicit as to the content of a organisation‟s environmental policy. It states that top management shall define the organisations policy and ensure that it: includes a commitment to continual improvement; includes a commitment to comply with relevant environmental legislation and regulations and any other requirements that the organisation subscribes to; provides the framework for setting and reviewing environmental objectives and targets; is documented, implemented and maintained and communicated to all employees; and is available to the public. The environmental policy is the driver for implementing and improving the organisation‟s environmental management system so that it can maintain and potentially improve its environmental performance. It also forms the basis upon which the organisation sets its objectives and targets. The policy should be sufficiently clear to be capable of being understood by internal and external interested parties and should be periodically reviewed to reflect changing conditions and information. Before an environmental policy can be development and implemented, the aspects of the organisations activities, products and services impacting (or having the potential to impact) on the environment need to be identified, given a significance rating and prioritised. Priority issues with a high significance will most likely be addressed first. Principle 2: Planning This stage involves the identification of all the organisation‟s interactions with the environment together with the significance and priority of these interactions. Decisions must be taken as to what impacts will be addressed and in what order. Environmental objectives and targets to address the impacts must be defined, together with an environmental management programme to achieve the targets. The programme must assign responsibilities and describe the method and time frame by which the target will be achieved. Legal and other requirements that an organisation must meet must also be identified during the planning process. (Legal requirements may form one of the major criteria for significance rating and prioritisation). The standard requires documented procedures for the above. These documents will be used as evidence during assessment and compliance audits. Principle 3: Implementation The implementation and operation of an EMS requires the most time and effort within an EMS project. For effective implementation, an organisation should develop the capabilities First Draft: May 2002 44 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework and support mechanisms necessary to achieve its environmental policy, objectives and targets. There are a number of requirements that the standard stipulates, all of which will require a substantial amount of human and financial resources. If top management and the employees that are implementing the system are not committed and convinced of the advantages of the system, it is likely to fail here. No matter how good the environmental policy is, if it is not implemented at all stages of the organisation‟s operations, very little benefit will be forthcoming. Principle 4: Checking and corrective action Internal audits need to be undertaken on a regular basis to ensure that the system is working as intended. All non-conformance must be documented for use by external auditors. A corrective action plan to address the non-conformances must be drawn up, documented and carried out. All internal audits, non-conformance records and corrective action plans must be documented and stored to be used by external auditors as evidence when undertaking an external audit. An external audit only becomes necessary when an organisation wants to achieve certification. Principle 5: Review and continual improvement All audits should be reviewed by top management to check that the system is operating efficiently and to ensure continual improvement of the system. This review should also address any changes that may need to be made to the environmental policy, objectives and targets or the EMS itself. 4.3.4 Environmental Economics Environmental economics is at times incorporated into environmental assessments as an extension of environmental specialist studies. These studies not only focus on economic aspects of a proposed development but on valuing the environmental impacts of the development. Environmental economics provides guidance to decision-makers on trade-offs that can or need to be made in order to reach a decision about a development with environmental impacts. The methods used in environmental economics present the trade-offs clearly and in an understandable way. Environmental economics purports to link the environment and economy as well as social aspects. It is said that “an economic analysis, including an economic analysis of the environment, therefore cannot be lifted out of its environmental, institutional, social and political context, especially when one deals with the human dilemmas of hunger, poverty and ill health” (Todaro, 1989 in de Wit, 2000). Economic tools need to include the values of many different groups of people through participation. Intra- and intergenerational equity is interpreted in environmental economics as “whose values count?”. Environmental economics therefore allows for the valuation of resources by different groups of people who may use resources both now and in the future. It must be remembered that monetary valuation of the trade-offs between the environment and society is sometimes inappropriate. Environmental economics relies ultimately on decision-makers to make the final judgment on the relative importance of competing value systems as well as the relative importance of resource sustainability. There are various theories that link the environment and economy. A few of these are outlined below (de Wit, 2000): First Draft: May 2002 45 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Environmental economics: the study of economic choices on the environments‟ function with the ultimate aim of satisfying human wants; Resource economics: this focuses on the supply of raw materials and energy as the physical inputs to production and consumption; Welfare economics: this provides an analysis of whether an economic policy will lead to a change or improvement in human welfare or well-being; Ecological economics: this assesses the biophysical limits of the environment and the ability of technology to overcome those limits; Institutional economics: some systems are seen as too complex for monetary reductionism. They emphasis the dichotomy between price and value in what has become known as the social value theory based on the universal principles of social value; Co-evolutionary economics: changes in environmental quality and other societal objectives are seen not only as being interdependent, but as having evolved together, and will continue to evolve together into the future. Societal and environmental objectives cannot be dealt with separately. Environmental, resource and welfare economics provide monetary valuation of the environment. Ecological economics provides for monetary valuation, however, where biophysical limits are present, no trade-offs in environmental quality are allowed. Institutional and co-evolutionary economics provide a more holistic approach in that monetary and nonmonetary impacts are dealt with separately and presented as such to decision-makers. The challenge of economic valuation is to address uncertainty, irreversibility and future generations. 4.3.5 Life Cycle Assessment Life Cycle Assessment (LCA) is a cradle to grave assessment of products and services to identify areas of environmental damage. LCA provides an analytical framework which serves as an internal management tool to assist in the minimization of a product‟s environmental impact The stages of a LCA are as follows: Inventory: Identification of impacts using quantifiable data. Impact Analysis: Environmental impact includes ecological damage, human and animal health, habitat modification and lifestyle changes. Quantification of energy and material inputs, emissions and waste outputs and any other potential areas of environmental damage. Impact Assessment: Assessment of environmental impact and impact mechanisms. The following stages occur within impact assessment: classification, characterization, and valuation. Improvement: Establishment of options and strategies for improving the environmental profile of a product through each stage of the life cycle of the product. First Draft: May 2002 46 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The following challenges face the effective application of Life Cycle Assessment: Parameters: It is difficult to decide on the scope of the assessment. An appropriate level of investigation can be defined in terms of primary, secondary and tertiary levels of analysis. These boundaries establish cut-off points for the analysis and must be agreed before the inventory is finally compiled. The boundaries must be wide enough to consider the full ecological impact, but within practical limitations. Comparison of data: Data for energy can be expressed in joules, mass of physical waste can be measured in kilogram‟s and air pollution in terms of parts per million. A problem arises when the environmental impact of these different measures are to be compared in terms of their impact on the environment. Comparison of issues: Any comparison of different effects must consider the direct and indirect impacts of a pollutant. Assignable cause: Property rights do not exist for most of the environment and therefore exact quantification of environmental damage is subjective. It is also difficult to assign responsibility when pollution is caused by a combination of impacts from two or more different products. LCA allows one to estimate the impacts on developing countries (through input analysis) and therefore consider issues of equity and futurity. Issues of futurity and equity should be addressed in a proactive manner. Most product impacts are associated with design, but designers rarely consider issues of futurity and equity. 4.3.6 Risk Assessment Risk assessment is the process or method of determining if an activity (man-made or natural) will negatively impact humans or their surrounding physical environment. In the environmental management arena there are, therefore, two focus areas for risk assessment - human health and ecological risk assessment. 4.3.6.1 Health Risk Assessment Human Health Risk Assessment (HHRA) is a qualitative or quantitative process conducted to characterise the NATURE and the MAGNITUDE of risks to public health from exposure to hazardous substances released from specific sites. HRA is one of three environmental health linkage methods available. It is predictive in nature and uses existing exposure data to quantify health effects of exposure to certain substances. Validated epidemiological and toxicological data are used to estimate potential health effects. The HRA process that has been defined by the United States Environmental Protection Agency (US-EPA), consists of four key components which are used to characterise the risk of potential pollutants or hazards to human health. Coupled with this are the processes for managing risks and communicating potential risks to affected groups and decision-makers. The four distinct, but interacting phases are: • Hazard Identification, which establishes whether exposure to a chemical or microbiological agent can cause harm. Once a health hazard has been identified, the remainder of the process encompasses the description of the properties of the hazardous agent, and the identification of both acute and chronic health effects. First Draft: May 2002 47 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework • Exposure Assessment establishes the intensity, frequency and duration of human contact with a contaminant. To determine exposure, it is necessary to combine an estimation of environmental concentrations of the hazards with demographic or behaviourial descriptions of the exposed population. Dose-response Assessment characterises the relationship between the dose of a hazardous agent (i.e. the amount of pollutant taken into the body through inhalation, ingestion and dermal contact) and incidence of an adverse effect in the exposed pollution. Risk Characterisation provides an indication of the incidence of the health effect under the conditions of exposure described in the exposure assessment and the identified dose-response relationship. • • 4.3.6.2 Ecological Risk Assessment The following description of Ecological Risk Assessment (ERA) is Copyright protected and derived from the Society of Environmental Toxicology and Chemistry (SETAC). 1997. Ecological Risk Assessment Technical Issue Paper. Pensacola, FL, USA. Ecological risk assessment is defined as the practice of determining the nature and likelihood of effects of our actions on animals, plants, and the environment. Ecological risk assessments deal with human-caused changes that alter important features of ecological systems such as lakes, streams, forests, or watersheds. When we introduce a new chemical (such as a pesticide to a wheat field), accidentally import a new species (such as a foreign insect), or change a landscape (such as draining or filling a wetland), scientists often assess how much damage those actions may have on the plants or animals in the area. Ecological risks may be local, regional or global and may involve a specific type of plant or animal (a bass), a community of organisms (the fish in a lake), or an ecosystem (all of the biological and physical components of the lake). Ecological risk assessment helps organize information and contributes to make informed decisions. It is a useful risk management tool that: • • • • highlights the greatest risks, which is helpful for allocating limited resources; allows decision makers to ask "what if" questions regarding the consequences of various potential management actions; facilitates explicit identification of environmental values of concern; and identifies critical knowledge gaps, thereby helping to prioritize future research. Ecological risk assessment can be used to evaluate the relative benefits of different clean-up options at hazardous waste sites, screen new chemicals prior to their commercial production, evaluate the risks that imported agricultural products may introduce exotic agricultural pests, or determine the threats to valued ecological resources in a watershed. Ecological risk assessments evaluate two basic elements: • • Exposure is the interaction of stressors with receptors. Measures of exposure can include concentrations of contaminants or physical changes in habitat. The analysis of effects evaluates changes in the nature and magnitude of effects as exposure change. First Draft: May 2002 48 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Integrating exposure and effects information leads to an estimation of risk, the likelihood that adverse effects will result from exposure. Approaches for evaluating exposure and effects include, for example, measuring chemical releases, predicting with models the environmental fate and effects of chemicals even before they are manufactured, and testing effects of these chemicals in a laboratory. Exposure and effects must be considered together because they are both important in estimating risk. When the potential for exposure and effects are low, the risk will be low. When both are high, the risk will be high. Whatever the approach, the goal is to use all available information to characterize exposure and effects and to integrate them into an understanding of ecological risks. Because of the complexity of nature, risk assessment will include some degree of uncertainty. Although we can reduce some components of uncertainty by gathering additional data, we can only estimate other components due to their inherent variability (such as rainfall and temperature variations). While it is important for risk managers to understand the impact of natural variability and uncertainty on the conclusions of the risk assessment, making a risk management decision does not require the absence of uncertainty. In fact, an attempt is made to quantify and communicate uncertainty when conducting and reporting ERAs so that the best decisions can be made with our current state of knowledge. There are a number of steps in the ERA process including: • • • Problem formulation: clearly defining the problem Analysis: characterizing potential or existing exposure to stressors and their effects Risk characterization: integrating and evaluating exposure and effects information These steps are reflected in Figure 4.5. Planning the assessment with the risk manager and communicating the risks to decision-makers are important parts of the process. Ecological risk assessment is one input to environmental management decisions. Other inputs include stakeholder concerns, availability of technical solutions, benefits, equity, costs, legal mandates, and political issues. Within this context, an ERA should: • • • • summarize results so that the public can understand them, distinguish scientific conclusions from policy judgments, describe major differences of opinion on scientific issues or alternative conclusions that readers can draw from the data, and explain major assumptions and uncertainties. First Draft: May 2002 49 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 4.5 Risk assessment process First Draft: May 2002 50 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 4.3.7 Cumulative Effects Assessment Cumulative Effects Assessment (CEA) evaluates the consequences, sources and pathways of cumulative impacts of multiple activities. CEA is the process of systematically analysing and assessing cumulative environmental change. Cumulative effects analysis is essential to effectively managing the consequences of human activities on the environment. The purpose of CEA is to ensure that the full range of consequences of actions be considered. Cumulative effects occur when: • • impacts on the environment take place so frequently in time or so densely in space that the effects of individual impacts cannot be assimilated; or the impacts of one activity combine with those of another in a synergistic manner. Effects can interact, combine and compound over time and space such that the overall effect often exceeds the simple sum of previous effects. Individually, these impacts may not be qualitatively different from environmental effects associated with single-project developments, but collectively they may result in changes to the environment that would not otherwise have occurred. Cumulative effects may also prevail for many years beyond the life of the action that caused the effects. Cumulative effects may occur through the following actions: • Temporal accumulation: This occurs when the interval between perturbations is less than the time required for an environmental system to recover from each perturbation. The rate of temporal accumulation may be continuous, periodic, or irregular and occur over short or long time frames; Spatial accumulation: This is analogous to temporal accumulation and results where spatial proximity between perturbations is smaller than the distance required to remove or disperse each perturbation. Spatial accumulation may be characterised by scale (local, regional or global), density (clustered or scattered) and configuration (point, linear or areal); Human activities: The nature of human-induced activities or perturbations, which also effect the accumulation of environmental change, provided the perturbations are sufficiently linked in time and space. Activities may vary by number, type and magnitude. • • There is an increasing need for decision-makers to look at their projects in the context of other developments in the community or region (i.e. analysing the cumulative effects). The study of possible cumulative effects is necessary in order to determine whether or not changes have already been set in motion that are detrimental to the long-term health of the environment and the people who rely on it. In addition, such a study would help to assess the severity of the changes expected, possible policy responses to manage or avoid an impact, and the effect of additional industrial developments. Although no universally accepted framework for CEA exists, general principles have gained acceptance. These principles have differentiated CEA from traditional EIA. By applying these principles to environmental analysis of all kinds, cumulative effects will better be considered and the analysis more complete. The attributes that characterise CEA are: • • CEA sets a proper context - to make EIA‟s meaningful, non-cumulative impacts must be put into a proper multi-impact perspective; CEA is a partial view of the world - the only complete system is reality itself. We cannot 51 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework • • • experience a future reality, so we must simplify and build models to understand reality. While CEA attempts to take a bigger view of reality than ordinary EIA, it must still take a partial view; CEA is holistic - CEA is the venue of a healthy struggle and tension between analysis (tearing apart to understand) and synthesis (putting together to understand). Classic EIA is often reductionist and separationist. While some of this is necessary even in CEA, it encourages more holistic thinking in the understanding of impacts on the environment; CEA is integrative - the environment is an integrator of “causes” or influences, so good impact assessment must also try to deal with cause integration for forecasting the potential future states of the environment; and CEA is scientific - CEA re-asserts the vital place of science in EIA. CEA involves quantitative forecasting of potential changes in the environment, in response to development alternatives, along with proper experimentation at the project level and subsequent monitoring of environmental response. First Draft: May 2002 52 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 5. 5.1 THE ENVIRONMENTAL MANAGEMENT FRAMEWORK Introduction The roles and responsibilities of the Water Resource Management branch in the Department have been used as a basis for the Environmental Management Framework (Chapter 3). Two key roles and responsibilities have been identified: The Department as a strategic manager of South Africa‟s water resources (i.e. Management and Alignment), through: o The formulation and assessment of policy; and o The preparation of plans and programmes. The Department as an agent in the development process (i.e. Impact Control), through: o Undertaking development projects as the proponent; and o Assessing the consequence of development projects on water resources as the “water regulator”. These roles and responsibilities are highlighted in Figure 5.1 (The Environmental Management Framework Structure Diagram). In the following Sections, the EIA process is described in significantly more detail than the Policy review and SEA processes. This is due to the EIA currently being the only legally required process. 5.2 5.2.1 Environmental Management and the Policy Formulation and Review Process Introduction The Chief Directorate Planning is responsible for Review amending and revising existing internal policies, developing new internal policies and implementation strategies, and analysing the implications of externally-developed policies and legislation. In the past these activities would have focused on determining the internal implications of policies and establishing appropriate policy responses to strategic initiatives of the Department. The EMF provides a mechnism through which policies can be developed taking into account environmental management principles and also provides a policy screening tool for evaluating the environmental consequences of existing policies. This will ensure that policies which are developed in the Department have the greatest opportunity to effect positive environmental change. First Draft: May 2002 53 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 5.1 EMF Structure Diagram 5.2.2 Environmentally Sound Policy Formulation and review The policy formulation process is indicated in Figure 5.2 and discussed in more detail below: First Draft: May 2002 54 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 5.2 Generic Policy formulation process in South Africa (after CSIR, 2002) 5.2.2.1 Step 1: The identification of a broad goal Defining the problem and the identification of policy issues occurs in a number of ways. For example, international action or a change in government can stimulate certain issues to be placed on the political agenda. Problem identification for policy formulation. Therefore does not follow a predetermined process, but occurs in response to issues raised and needs expressed in several different arenas. The National Water Strategy will define the agenda for ongoing policy formulation and review. First Draft: May 2002 55 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 5.2.2.2 Step 2: Policy development A Steering Committee is typically established to oversee the policy formulation process. The advantage of a steering group is that it ensures that the policy process is not dominated by a single individual or group (Smith et al, 2000). The Department of Environmental Affairs and Tourism should play a key role within DWAF policy formulation steering committees and be requested to hold the mandate of environmental management. In addition, it is recommended that representatives from SES play a key role in the policy formulation Steering Committee. Following the establishment of the Steering Committee a process of technical and specialist research is undertaken with the intent of producing a working document for distribution to stakeholders. Environmental issues should be incorporated into the specialist‟s Terms of Reference to ensure that they are appropriately considered. To enable the incorporation of environmental management principles into the technical phase of policy formulation, a number of key questions have been developed. The aim of these questions is to initiate environmental consideration and not to illicit precise answers. Therefore, it is anticipated that the responses are likely to be quantitative rather than qualitative. The questions have been divided into two lists. The first relates to the policy process and the second to the content of the policy. The principles of Integrated Environmental Management (IEM) have been used as an input into the formulation of these questions. Although the questions are phrased in such a way as to apply to the formulation of a policy, they can also be used as a checklist of sustainability issues to consider in the review of a policy process and its outcome (CSIR, 2002). Each policy process is unique and the issues that will need to be considered will accordingly vary. It is proposed that the questions listed below are used as a guide in all policies. They will, however, need to be refined to more closely align them with the meaning of sustainability in a particular context. With specific reference to Water issues, the following questions could be posed: Does water policy address the inter-relationships and dependencies of the various components of the water resources e.g. Rivers, ground water, estuaries, etc.? Does the water policy address the inter-relatedness of water quantity and quality? Does water policy address the impacts of anthropogenic activities on ecological integrity? Does water policy allow for quantification of the desired ecological state and the resultant availability of the resource? Does policy require effective monitoring and reporting systems? (Todd and Godfrey, 2002: 11). The questions posed have been structured according to key principles of sustainable development. Environmental Justice and Equity o How does the policy ensure that future generations have equal access to resources as current generations? o How can access to resources by previously disadvantaged groups be promoted in the policy?How can provision be made for the assessment of the positive and negative impacts of resource use on interested and affected parties and for the mitigation of negative impacts?How can the policy ensure equal access to the benefits of resource use amongst social groups? First Draft: May 2002 56 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Ecological IntegrityWhat are the environmental opportunities and constraints that should inform the development of the policy? o How can the policy provide for the establishment of ecological limits?How can the policy provide for the identification and assessment of the positive and negative impacts of resource use on the natural environment?How can the policy address potential trade-offs between ecological integrity and other sustainable development objectives?How can the policy allow or disallow for the substitutability between alternative forms of capital? Effective ParticipationHow can the policy support participative decision-making?How can the decision-making structures be clearly outlined?How can the roles and responsibilities of various stakeholders in the decision-making process be clarified?How can provision be made for information sharing and training of various social groups to allow them to participate effectively? o Are the participatory structures established appropriate to the needs of disadvantaged groups (e.g. Women and Youth)? Economic welfare o How can the policy promote employment?How can the policy promote local economic development?How can the policy promote the satisfaction of basic human needs?How can the policy address potential trade-offs between economic welfare and other sustainable development objectives?How can the policy address the costs of increasing economic welfare, on the social and ecological environment? (e.g. Is provision made in the policy for the assessment of the impact of economic development on social and economic systems and to mitigate the negative impacts on these systems?) These questions are by no means comprehensive and should be refined as additional knowledge of the policy process and environmental assessment within it is gained. Furthermore, the questions should be refined to when used to evaluate the environmental performance of policies. The environmental screen should be completed prior to distributing the policy for public scrutiny. The environmental issues should be incorporated into any discussion document, Green or White Paper that is developed. It is recommended that the environmental screen be included as an Appendix to the documents that are distributed. 5.2.2.3 Step 3: Implementation This involves the identification of appropriate measures or instruments for the implementation of the policy. If environmental issues have been included through the policy formulation stage, the requirement for further environmental “intervention” is unnecessary. In the case of environmentally related policies, however, appropriate environmental management tools should be identified (Section 4) and incorporated into the policy implementation process. 5.2.2.4 Step 4: Monitoring and review The monitoring and evaluation of the effectiveness of the strategies and policy instruments in achieving the policy goals. This leads to a process of ongoing improvement. The use of environmental indicators may be considered specifically if environmental effects could be the result of policy implementation. First Draft: May 2002 57 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 5.3 5.3.1 Environmental Assessment and management for plans and programmes Introduction The development of plans and programmes is a key component for WRM. Specific functions in this regard include the requirement to: Facilitate and co-ordinate catchment management and institutional development; Promote equitable allocation, and beneficial and sustainable utilisation of water resources; and Promote integrated sustainable protection and management of the water quality of water resources. These requirements will be enabled through the development of catchment management plans and strategic objectives for each Water Management Area. In time, each catchment agency will be required to draw up a plan and strategy. A Strategic Environmental Assessment should be prepared for each catchment to provide environmental information in support of the Catchment Management Plan. The SEA will present catchment managers with the views of stakeholders and wider public interests about relevant strategic issues affecting water use, and with decision-support tools that help to define the full range of both positive and negative impacts arising from choices about alternative options or scenarios for future development. Strategic Environmental Assessment is most effectively used in assisting new Catchment Management Agencies to develop water resource plans and strategies for their Water Management Areas and in developing water allocation plans within individual catchments. The SEA process offers a new way of linking these activities and considering the interests of stakeholders and the public at large. It provides a means of examining the relative costs and benefits to all groups of water users, resulting from changes to water supply in terms of water availability, yield, assurance of supply, costs and the value of outputs. These interests include not only monetary considerations but also the potential social and biophysical consequences (DWAF, 2001). In 2001, the Department published A Guide to Strategic Environmental Assessment for Water Use in Catchments (DWAF, 2001) which has been used for the following description since the existing document is comprehensive and more than adequately describes the SEA process that should be followed it has not been modified in the following description. The reader is directed to the existing Guideline document for further information. 5.3.2 Conducting an SEA 5.3.2.1 Creating the Organisational Framework The SEA requires the commitment of politicians and senior managers to the process particularly since certain issues exposed by the SEA could be controversial. Therefore, the SEA project team will need direction and guidance in handling these matters to ensure that the results are not only objective and transparent but are also presented in the most effective First Draft: May 2002 58 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework and acceptable way. A steering committee should be set up to provide this level of overview and advice. It is recommended that the committee should involve other government departments (at the local, provincial and national level, water users and IAP‟s. The role of local government is key to ensuring the link between the catchment SEA and local level Integrated Development Plans. 5.3.3 Co-ordinating the SEA 5.3.3.1 Project Leader The SEA must be conducted by an appropriately experienced and qualified project leader. The roles and responsibilities of the project leader are outlined in Section 5.4. The project leader will lead a team with skills in participation, communication and the technical content of the SEA. The core team can be strengthened through employment of consultants. The process is new and requires considerable experience of environmental planning and management techniques and communication skills to work effectively. The roles and responsibilities of the various project responsible persons are outlined in Section 5.4 as they do not fundamentally differ between SEA and EIA. 5.3.3.2 The SEA Team The SEA team should employ, or have access to, staff and consultants with the following minimum range of skills and experience: SEA/EIA; Public facilitation; Geography; Hydrology/Engineering; Economics; Social Studies; Ecology; and Planning. 5.3.3.3 Description of the SEA process The description below outlines the tasks that are required to complete an SEA for Catchments. Although the SEA Process is described as a sequential set of actions, many of the tasks overlap and it will often be appropriate to repeat some earlier actions in the light of feedback and responses to consultation. The individual tasks are briefly described below and are comprehensively outlined in the Appendices of the DWAF SEA guidelines and are, therefore, not repeated in the EMF. Task 1 A Scoping Study is required at the outset to determine the brief, terms of reference, physical extent, subject matter, resources, and time-scale of the SEA; Stakeholders are identified, contacted and fully engaged in the process. Typically 20-30 organisations will be involved including: other DWAF directorates, other government departments, industry, agriculture, forestry and tourism sectors, 59 Task 2 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Task 3 rural communities. Participation by local people or their representatives is planned and made as effective as possible, A comprehensive data-base is set up, Fact-finding reconnaissance surveys are undertaken, Technical Studies of social, economic hydrological and biophysical conditions within the catchment are commissioned, Key Issues are identified through a process of free thinking and debate and are analysed and integrated to create coherent statements, Decision Support Mechanisms are put in place The SEA Findings are presented to Stakeholders and Local People using interactive GIS maps, charts, calculations and text, Conclusions are presented to decision-makers in a user-friendly form. A Monitoring and Evaluation Framework is set up to assess how far the SEA findings are being applied in decision-making Maintenance and Updating of the information contained in the SEA Databases is built into the work programmes of relevant organisations. Task 4 Task 5 Task 6 Task 7 Task 8 Task 9 Task 10 Task 11 Task 12 Depending on the complexity of the issues identified in Tasks 1, 5 and 6 (above) an SEA will typically take between 6 and 18 months to complete. The costs will also vary but typically costs in the region of R1,000,000 can be expected (including consultancy fees etc.) 5.4 5.4.1 Undertaking development projects Introduction WRM currently is responsible for undertaking development projects specifically in the design of canal systems and betterments, regional water supply schemes and dams and in the construction of dams, weirs, water treatment plants and community water supply schemes In accordance with Sections 26 and 28 of the Environment Conservation Act (Act No. 73 of 1989) compulsory EIA‟s are required for the following activities that WRM may undertake: Canals and channels Dams, levees or weirs affecting the flow of the river Reservoirs for public water supply Schemes for the abstraction or utilisation of ground or surface water for bulk supply purposes Sewage treatment plants and associated infrastructure 60 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The change of land use Disposal of waste. These listed activities are described in more detail in Box 5.1. In addition to the above DWAF has prepared an Environmental Evaluation System (EES) which outlines an environmental assessment procedure for DWAF activities that are not listed in terms of the Environmental conservation Act (Department of Water Affairs and Forestry, 2002). These activities are generally focused on the Water Services Branch in the Department and, therefore, may not have direct bearing on WRM. The following activities require an environmental assessment in terms of the legislation that DWAF is responsible for: The Water Services Act (No. 108 of 1997) requires environmental assessments for: o o Reticulation, for access to basic water supply Basic sanitation projects, such as pit latrines, conservancy tanks and water borne sewage. The National Water Act (No. 36 of 1998) requires environmental assessments (in addition to listed activities) for the following: o Engaging in a controlled activity identified in section 37 (1) or section 38 (1), i.e.: irrigation of any land with waste or water containing waste generated through any industrial activity or by a waterworks. an activity aimed at the modification of atmospheric precipitation intentional recharging of an aquifer with any waste or water containing waste. o Using water for recreational purposes o Any development affecting the 1:100 year floodline “Working for Water Projects” and activities. Any other project or activity that may be decided on by DWAF. The following sections outline the process that should be followed to ensure that DWAF adheres to the requirements of the ECA regulations. The Section crosscorrelates with the EES wherever necessary. 5.4.2 EIA in the Project Life-cycle The EIA needs to be initiated as early in the Project Life-cycle as is possible. In many cases this is complicated by the fact that the EIA requires sufficient information and preliminary design to be able to assess the impacts, while at the same time the process must be flexible enough to allow the findings EIA to influence the design of the development. First Draft: May 2002 61 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The linkages between the project cycle and various phases of the EIA are provided in Figure 5.3. For DWAF projects then, the EIA should be initiated at the early stages of project identification. The EIA and engineering studies are integrated and should result in an environmentally sound project (Figure 5.4). In this way, EIA is a management tool on par with engineering studies and economic planning. Such integration of EIA into the project cycle maximizes its effectiveness and minimizes delays in project implementation. Figure 5.3 EIA in the DWAF project lifecycle First Draft: May 2002 62 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Box 5.1: Compulsory EIA‟s are required for the following activities that WRM may undertake: The construction and upgrading of the following activities require EIAs in accordance with the EIA regulations: 1) Canals and channels, including diversions of the normal flow of water in a riverbed and water transfer schemes between water catchments and impoundments. Water transfer schemes means any transfer where: The diverted flow does not return to the stream within 20 km of the point of withdrawal. The mean annual flow transferred is not less than 0,5 cubic metres per second. "Canal" means an artificial watercourse for inland navigation or for irrigation. "Channel" means a natural or artificial bed of running water; comparatively narrow piece of water joining two large pieces. Water pipelines of major water schemes, which are controlled by legislation, are also included under the activity. Dams, levees or weirs affecting the flow of a river Dams, reservoirs, levees or weirs means any structure wholly or partially constructed by man, affecting the flow. Reservoirs for public water supply Schemes for the abstraction or utilisation of ground or surface water for bulk supply purposes “Bulk supply” is water supplied in a significant volume to a local authority who in turn reticulates if to individual consumers. It is also supplied in bulk to mines, industries and agricultural schemes, in some cases. Sewage treatment plants and associated infrastructure These include sewage treatment plants and associated infrastructure with an installed capacity of more than 15 000 cubic metres per day. Sewage treatment plants and associated infrastructure with an installed capacity of mere than 5 000 cubic metres per day and a boundary of which is less than 200 metres from the nearest boundary of an existing or planned residential place, place of worship, educational institution, health care institution, marine park/reserve or sea water intake point. Where the receiving environment can be regarded by the relevant authority as environmentally sensitive. The change of land use from: a) Residential use to industrial or commercial use (suspended until further notice: Government Notice No. R 18783 of 27 March 1998); b) Light industrial use to heavy industrial use (suspended until further notice: Government Notice No. R 18783 of 27 March 1998); c) Agriculture or undetermined use to any other land use; d) Use for grazing to any other form of agricultural use; e) Use for nature conservation or zoned open space to any other land use. The reclamation of land below the high water mark of the sea and in inland water including wetlands The reclamation of land as intended in section 5(2) of the Sea-shore Act, 1935 (Act No. 21 of 1935), from the sea. "Sea" means the water and the bed of the sea below the low-water mark and within the territorial waters of South Africa, including the water and the bed of any tidal river and of any tidal lagoon. "High water mark" means the highest line reached by the water of the sea during ordinary storms occurring during the stormiest period of the year, excluding exceptional or abnormal floods. Wetlands are those areas transitional between terrestrial and aquatic systems, where the water table is usually at or near the surface or the land is periodically covered with shallow water; or are deep-water habitats, which are permanently flooded. Wetlands must have one or more of the following attributes: The disposal of waste as required in terms of section 20 of the Environment Conservation Act, 1989 “The disposal of waste” means the discarding or disposal of any matter whether solid, liquid or gaseous. This includes the disposal of waste falling under the provisions of section 21 (1) of the Water Act, governing the purification and disposal of water used for industrial purposes or effluent or to a „water care work‟ as defined in section 1 of the Water Act but shall not include the private disposal of domestic waste. 2) 3) 4) 5) 6) 7) 8) First Draft: May 2002 63 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Figure 5.4 Engineering and environmental feasibility studies linkages 5.4.2.1 Roles and responsibilities in the EIA process There are a number of potential role players in an EIA, including: Proponent; Consultant; interested and affected parties; and Competent Authority. 5.4.2.2 Proponent The proponent is the project applicant (i.e. the developer). The proponent is responsible for complying with the requirements of the EIA process. The initial responsibility of the proponent, however, is to appoint an independent consultant who will act on the proponent‟s behalf in the EIA process. The proponent should ensure that the consultant has: expertise in environmental assessment and management; the ability to manage the required participation process the ability to produce reports that are readable, thorough and informative a good working knowledge of environmental impact assessment management policies, legislation, guidelines and standards. and The proponent may appoint an independent consultant or a multi-disciplinary group of consultants. The proponent is responsible for all associated costs incurred when following the EIA process. The proponent must ensure that adequate participation of the Competent Authority and interested and affected parties has been carried out. On completion of the EIA, it will be the proponent‟s responsibility to ensure that the Conditions of Approval are carried out (including monitoring and auditing). First Draft: May 2002 64 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 5.4.2.3 Consultant The independent consultant acts on behalf of the proponent in complying to the EIA process and is responsible for showing that he/she has: expertise in environmental assessment and management; the ability to manage the required participation process the ability to produce reports that are readable, thorough and informative a good working knowledge of environmental impact assessment management policies, legislation, guidelines and standards. and Further the consultant is responsible for all processes, plans and reports produced while following the EIA process and should have adequate access to facilities for storing this information. The consultant should also ensure that all of this information is made available to the Competent Authority. The consultant must ensure that adequate participation of the Competent Authority and interested and affected parties has been carried out. The consultant must ensure that he/she has no vested (financial or otherwise) interest in the proposed development other than ensuring compliance to the EIA process. Furthermore, the consultant may not work for the Competent Authority while working for the proponent on a particular application. This is key aspect in ensuring that the findings of the EIA are unbiased and in the best interest of all stakeholders. Roles and responsibilities of the environmental consultant team Currently DWAF is experiencing significant difficulties with delivery from their consultants since consultants do not understand the required level of investigation, as well as what their responsibility to the DWAF should be when delivering EIA projects. The following sections outline the various roles that consultants should play in DWAF EIA projects. Lead consultant The lead consultant is the person/organisation with whom the client enters into a contract to undertake a certain task (investigation) and who has the ultimate responsibility to the client for performing that task. The lead consultant should appoint a senior staff member as a study leader/EIA project manager to manage the investigation on its behalf. The primary consultant is accountable for delivery of the project in terms of budget brief and time. Study leader The study leader is the main link between the consultant and the client. The study leader is required to be accountable as follows: Being fully aware of all requirements for the investigation as captured in the original TOR and subsequent inception report. Being the contact between the main consultant and the client and is therefore responsible for the management of the study and all communication between the study team and the client. Having a good understanding of the level of work that is required for the particular investigation stage and should therefore ensure that the specialist consultant(s) is(are) likewise informed. Helping specialist consultants to budget for their individual tasks to ensure that the objective of the investigation is met and providing a liaison between the specialist consultant and the client. 65 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Remaining in close contact with specialist consultants in order to ensure that requests for further work is detected as early as possible and that the need for such work is timeously brought to the attention of the client. He/she should also submit a formal request in this regard to the client. Ensuring that the investigation is running according to programme and should timeously advise the client of any delays that may occur. Reviewing all reports produced by members of the study team and should pick up and deal with any discrepancies, conflicts of interest, unachievable mitigation measures proposed, any shortcomings, etc. before the first drafts are sent to the client. Where disputes may arise, the study leader should immediately inform the client thereof. Being aware of the policies / guidelines / jurisdictions within which the client operates and can deal with / resolve issues. Monitoring the time spent, the expenditure incurred and the progress made (and deliverables produced) by the specialists against the project programme. The study leader should be held contractually accountable for delivery of these items and should be informed through the ToR that the requirements will be placed on him/her. The lead consultant should ensure that the study leader is appropriately qualified, experienced and has the appropriate capacity to undertake the role and responsibility specified above. The study leader should be identified early in the project and should not be changed during the project process. Specialist consultants Specialist consultants should collate and disseminate all existing information related to the tasks they are appointed for. Shortcomings of existing information should be identified and, where necessary, this should be supplemented through field investigations. The specialist consultant should conduct his/her work in a professional manner whilst bearing in mind what level of information is required for the particular type of investigation. Specialist reports should be well written and all published data used must be referenced. The reports should propose mitigation measures where possible for all impacts identified, but should take cognizance of what may or may not be acceptable to the client (within the jurisdiction and/or policy framework of the client). They should therefore accept the necessity of a development project and be prepared to interact with the client in this regard, because once the client has a proper understanding of possible problems, he may be in a position to offer acceptable alternative solutions. In that case it will be expected of the specialist consultant to consider the alternatives and advise the client on their acceptability from his/her specialist perspective. The specialist should advise the study leader at the earliest possible date of any additional work that may be required to ensure that the objective of the particular investigation is met. He/she must highlight areas where limited or no knowledge exists, where educated guesswork will be used, or where research is needed. The study leader in turn should act quickly thereon and advise the client of such a request. This is exactly why the Directorate Project Planning include contingencies in their study budgets. The specialist consultant should realize that he/she is working on behalf of the client and should not at a later date use the information compiled for his/her report for the client for an appeal against the client. The specialist must put all the facts and concerns on the table and let the client (developer) evaluate them. If all the facts are captured in the report, then DEAT and the provincial environment authorities would be able to see the problems and deal with them directly with the client (developer). First Draft: May 2002 66 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The specialist should also realize that the client has the right to subject his/her report to a review by any other independent specialist should such a review be deemed necessary by the client. This need not be seen in a negative light but rather as a confirmation, or check, of the findings, particularly if they are of some significance. Public facilitator In some cases where the scale and nature of the proposed development are such that the EIA consultant requires additional independent assistance in managing the public participation, a public facilitator may be appointed. In this case, the public facilitator may have the following responsibilities: Compiling and maintaining an up-to-date database of Interested and Affected Parties (I&APs) involved in the study; Administrative tasks: compiling, sending out letters and other correspondence material to I&APs as well as receiving correspondence; Public relations: liaison with the media, prepare adverts and press releases; Establish and maintain a "hot-line " (telephone/fax and e-mail) for I&AP responses; Organising and facilitating workshops and keeping records (minutes) of meetings and workshops; Distribution of all EIA documentation to I&APs; Compiling comments reports on all documents resulting from the study (noting concerns, issues, alternatives and responses where necessary); Ensuring sufficient participation by all I&APs. Note: in many 'smaller EIAs' the study leader may fulfill the role of the public facilitator, however, in the case of sensitive projects this approach would not be preferred. 5.4.2.4 Interested and affected parties Interested and affected parties (IAPs) are key to a successful EIA and are responsible for providing input and comments at various stages in the EIA process. The input from interested and affected parties should be sought during the scoping phase, in assessing and mitigating impacts and in the review of the EIS. In accepting the responsibility to participate, IAPs should ensure that their inputs and comments are provided within the specified (reasonable) time limit set by the proponent and his/her consultant. IAPs should not be confined for projects since diversity will enhance the output of the EIA and will ensure a detailed and unbiased assessment is carried out. 5.4.2.5 Competent Authority The National Department of Environmental Affairs is the Competent Authority for all projects where the Department of Water Affairs and Forestry are the proponent. This is due to the consideration that only another National government Department can regulate DWAF. The Competent Authority is responsible for ensuring that the proponent/consultant complies with the requirements of the EIA process. This may mean regular and effective communication between the authority and the proponent/consultant to provide general guidance on procedure, information and reports required. The Competent Authority should also ensure that the authority requirements are adhered to. This may mean the involvement of other responsible authorities as and when necessary. In involving other authorities, the First Draft: May 2002 67 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Competent Authority must ensure appropriate information is provided to the sectoral authorities and that there is efficient and adequate opportunity for communication between the authority groups. One of the most important functions of the Competent Authority is to evaluate/review and provide decisions on applications. The Competent Authority should: ensure that the evaluation/review and decisions provided are done efficiently and within reasonable time, and that the proponent is informed timeously of any delays that may be incurred through the review process; and ensure that the proponent/consultant is informed of any shortfalls in the process as identified through the reviews. The Competent Authority should strive to ensure that the information required through the EIA process is kept to only that which is relevant to decision-making so as not to unnecessarily burden the proponent with additional cost or to increase the time spent on the EIA needlessly. 5.4.3 The EIA process A good EIA process: is aligned with the legal requirements, has clear purpose and clearly defined responsibilities at the various stages of the process; includes appropriate procedure controls that ensure an appropriate level of assessment, well defined scope and relevant timetables; includes structured opportunities for public and stakeholders involvement which are tailored to the circumstances; is focussed on the key issues (both problem and decision oriented), provides relevant information with explicit linkages to approval and decision making; includes follow-up and feedback loops to ensure compliance and effects monitoring, input management, auditing and evaluation; informs the design and implementation phase of the development. The DWAF EIA process is provided in Figure 5.5 and has been prepared on the basis of the Environmental Conservation Act regulations and the EES. The process is explained in more detail in the text that follows: 5.4.3.1 Pre-screening consultation Pre-screening contact is advisable as it can save time for all parties. Through this consultation mechanism a mutual understanding of the requirements can be obtained from the outset. In this phase DWAF should contact DEAT either in the region or nationally and establish an official contact person who will participate in the process. This meeting is intended to promote co-operative governance by involving the relevant stakeholder departments early in the planning process. The consultation may take the form of a formal meeting, a telephonic conversation or correspondence by means of facsimile or electronic mail. Consultation at such an early stage should avoid delays caused by requests from the authority requiring additional information occurring at a later stage. The consultation will also provide the opportunity for an exchange of views and a discussion regarding the nature of First Draft: May 2002 68 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework the Environmental Assessment that may be required (i.e. whether the project is for a listed or non-listed activity). First Draft: May 2002 69 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework First Draft: May 2002 70 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework The functions of the pre-screening consultation would be the following (after DWAF, 2002): Determine whether the proposed activity is a listed or non-listed activity. Determine whether the application for listed activities should be submitted to the Minister of Environmental Affairs and Tourism or the provincial environmental department for consideration. Determine the preliminary Terms of Reference and schedule for the environmental assessment process of both listed and non-listed activities. Obtain guidance on the procedures, information and reports required. Determine the department contact person or persons. Determine whether other authorities are involves and how consultation with them should take place. Prior to the pre-consultation meeting, a project description document should be prepared (this document has been named “Notice of Intent in the EES). The document should contain the following information: Brief summary of the proposal (illustrated where appropriate with maps, plans and photographs) Description of the proposed project Alternatives considered Current stage of development Short description of the environment Indication of the potential impacts on the environment and any safeguards and standards to be applied to protect the environment. Based on the information contained in the Notice of Intent, the EAPM will assist the proponent in identifying whether the project is a listed or non-listed activity and the level of environmental assessment required for non-listed activities. Through the consultation session, an Interdepartmental Environmental Review Committee should be established through which projects will be presented and evaluated. DWAF may appoint an independent consultant to participate in the pre-screening consultation session on their behalf. This is, however, not advisable since the independent consultant should only be appointed once the full nature of the Environmental Assessment is understood. 5.4.3.2 Screening Screening is only a requirement for environmental assessment processes for non-listed activities. The following description of the Screening Activities is based on the EES. The purpose of screening is to differentiate those projects that may have a detrimental effect on the environment with those where no impact is likely to occur. In this sense, the Screening phase of the EIA should decide the following: the need for and level of assessment; a preliminary review of the potential environmental affects that could result from the project; other necessary permits or approval processes (e.g. rezoning, etc) the potential for conflict as a result of the development; the public participation process; and the total life-cycle of the project. 71 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework A Screening Checklist has been prepared to evaluate the potential environmental affects of the project (Appendix A). The screening process would form the same purpose as a “Preliminary Environmental Impact Assessment”. In this sense DWAF are required to prepare a Screening Level Impact Assessment Report for submission to the interdepartmental review committee for their consideration. This report should comprise: A short review of the available information. The completion of a screening checklist (Example given in Appendix 1). A motivational statement. Two outcomes of the screening process are possible: 1. Limited Environmental Impact Projects that have few or no impacts are allowed to proceed without any additional environmental assessment studies. DWAF regional staff/local government may indicate the conditions under which the project may proceed. The screening process however does not exempt the project proponent from the requirements of the National Water Act and other relevant legislation and it may still be necessary to determine, for example the Reserve, before proceeding. 2. Adverse Environmental Impact Should the screening assessment indicate that the project may negatively impact on the environment and/or additional information is required, the project moves to a scoping level in the process. The decision for the level of environmental assessment should be taken by the Interdepartmental Environmental Committee within one month from the day of receipt of the screening report of the proposed project regarding amendment, exemption or conducting detailed study and notify DWAF accordingly. If the project is considered to have a limited environmental impact then the following stage of assessment will be project approval and the preparation of EIA follow-up procedures. If additional study is required, the environmental assessment will be required to follow the DEAT regulatory process and will be required to undertake screening. 5.4.3.3 Scoping Scoping is the process of identifying and “narrowing down” the potential environmental impacts associated with the development. The scoping process ensures that the EIA focuses on pertinent issues. An initial scoping of potential impacts will identify those impacts that are thought to be significant, those thought to be not significant and those whose significance is uncertain. Those identified as being insignificant are then eliminated from the study. Those whose significance is uncertain and the potentially significant impacts are then studied in greater depth in the impact prediction and assessment stage of the EIA. A scoping assessment will also allow for the Terms of Reference to be defined for any studies that are necessary for the EIA. The level of an impact assessment will depend on the nature and scale of the development proposal; its complexity; the sensitivity of the environment; and issues identified during the scoping process. Therefore, it is crucial that the scoping exercise is carried out effectively. Prior to undertaking the scoping exercise, the proponent will be required to commission a consultant. The purpose of scooping is to: First Draft: May 2002 72 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Consider reasonable and practical alternatives for the project; including: o No go alternative; o Demand alternatives; o Activity alternatives; o Location alternatives; o Process alternatives; o Scheduling alternatives; and o Input alternatives. Inform potentially affected people of the development; Identify potential affects that could result from the development; Evaluate concerns expressed from interested and affected parties and understand how local values inform the concerns; Define the boundaries of an EIA study (both in time and geographically); Determine the analytical methods that should be used to establish the significance of impacts; Establish ongoing mechanisms for consultation; and Establish the terms of reference for specialist studies in the impact assessment phase of the EIA. It is a requirement that the proponent or his/her consultant prepare a detailed plan of study for the scoping exercise. This plan of study is important in ensuring that where public consultation is required, all the relevant parties, which may have an interest in the application, including other government departments, are identified. If a plan of study for scoping is prepared, it should include: a brief description of the activity to be undertaken; a description of all tasks to be performed during scoping; a schedule setting out when the tasks contemplated will be completed; an indication of the stages at which the relevant authority will be consulted; and a description of the proposed methods of identifying the environmental issues and alternatives The advantages of preparing a plan of study for scoping is that it communicates, at an early stage, the extent of the study. It is, therefore, recommended that the plan of study for scoping be provided to the Competent Authority for comment and/or approval. The Department of Water Affairs and Forestry have prepared a guideline document for public participation. For more detail of DWAF‟s approach to public participation, the reader is directed to that document. Initial consultation with interested and affected parties (IAPs) really determines the scope of the impact assessment (or whether a full EIA is in fact required at all). It is important to maintain the scope throughout the assessment process. Public consultation and participation aims to assure the quality, comprehensiveness and effectiveness of the environmental assessment. It ensures that the views and concerns of all interested and affected parties are taken into consideration. Various techniques may be employed through the participation exercise, including public meetings; telephonic surveys; exhibits, displays and “open days”; newspaper advertisements; written information surveys, interview s and questionnaires 73 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework working with established groups (e.g. NGO‟s, community organisations etc); and workshops and seminars. Public meetings are not always an effective means of conveying information to and receiving information from the public. Therefore, for participation it is important to consider the social and economic environment within the affected environment of the proposal area to select an appropriate consultation approach to ensure true consultation. The following steps are required when undertaking the scooping exercise: Step 1: Prepare an outline of the Scope (Plan of Study for Scoping). Step 2: Identify the preliminary environmental impacts through an evaluation of how the project may relate to its receiving environment. A detailed project description and background description of the receiving environment will be required to complete this task. Step 3: Initiate discussions with external interested and affected parties. The IAPs should be afforded the opportunity to identify issues of concern that they would like to see addressed during the EIA as well as being afforded the opportunity to raise alternatives (as identified above). Step 4: Identify issues of concern (technical and through consultation) and evaluate the significance of issues to determine which should be evaluated further in the EIA. Step 5: Develop a strategy/plan of study to address the key issues. The scoping exercise should be documented in the form of a scoping report which is submitted to the authority for review and approval. The scoping report should basically be a concise presentation of the major issues identified and the public participation process. As a minimum, the report should reflect the following: a brief description of the project; all the alternatives identified during the scoping process; all the issues raised by interested and affected parties and how these will be addressed; and a description of the public participation process including a list of interested and affected parties, and minutes of meetings. It is recommended that the scoping report contain a detailed plan of study for the EIA, should an EIA be considered to be necessary. This plan of study will ensure that the relevant alternatives are investigated further and that the critical issues are carried forward into further processes. Specialists may need to be appointed to assess certain aspects in detail, as identified through the issues in the scoping exercise. The plan of study for EIA will form the basis of Terms or Reference for the EIA. The plan of study for EIA should contain the following: a description of the environmental issues identified during scoping that may require further investigation and assessment; a description of the feasible alternatives identified during scoping that may be further investigated; an indication of additional information required to determine the potential impacts of the proposed activity on the environment; a description of ongoing participation during the EIA; a description of the proposed method of identifying these impacts; a description of the proposed method of assessing the significance of these impacts; and a proposed schedule for the EIA studies. First Draft: May 2002 74 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework It is important that the information in this report is as comprehensive as possible since a decision regarding whether the project should go ahead or not, and whether an EIA is required to further investigate issues and alternatives, will be made on the basis of this report. In many cases where there are no major issues identified, the scoping report will be sufficient for a decision to be made and no further studies will be required. Alternatively, further investigations may be required, or a full EIA may be called for. The IAPs should be afforded an opportunity to review the scoping report. This ensures verification of the process before it is too far advanced. The kinds of situations which may prompt organisations to object would be where key parties have not been consulted, or where significant issues or alternatives are omitted from the proposed investigation. IAP review should determine whether the issues raised have been addressed in the scoping report. IAPs should be afforded a reasonable timeframe for their review - typically in the region of four weeks. The process of IAP review should be reflected in the final scoping report. The review should also contain an analysis of the information provided to determine whether due attention has been paid to possible project alternatives and whether the issues identified have been afforded appropriate attention. The authority should complete the review within four weeks of receipt of the scoping report. The authority may request, where it feels unqualified to review a scoping report, that the proponent appoint an independent specialist reviewer to provide comment on the report. The independent specialist should, however, be selected by the authority to ensure an unbiased assessment of the report. Following the review of the scoping report the Competent Authority may request that portions of the document be amended or may decide to approve or reject the application without the requirement for further investigation. Should the information be inadequate to take a decision, the Competent Authority may request that the scoping report be supplemented by an Environmental Impact Report. 5.4.3.4 Impact Assessment In conducting the EIA, a proponent may be required to appoint technical specialists to prepare certain aspects of the Environmental Impact Statement (EIS). These specialist studies should be prepared in the form of specialist reports and appended to the EIS. Specialists should be appropriately qualified and experienced. The Terms of Reference of Specialist Studies should be prepared by the project leader and reviewed by DWAF. The specialist ToR should be based on the issues raised during the Scoping exercise. The study leader should manage the specialist studies keeping DWAF informed of progress on an ongoing basis. It is important that the EIA report is clearly and concisely documented, so that key issues can quickly and efficiently be identified by decision makers. An EIS should contain the following information: An executive summary (This summary has to be concise and present and highlight the main issues pertinent to decision making on the project. The summary should be developed in non-technical terms such that it may be readily undertood by decisionmakers and other stakeholders) List of consultants: Names and qualification of members of the study team. First Draft: May 2002 75 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework A description of the development project covering:o Need o objectives o technical details o size, location, input and other relevant requirements An outline of the main development alternatives. A description of the baseline environmental, socio-economic and health conditions such as fauna, flora, habitats, soil, water, air, cultural artifacts, and socio-cultural, socio-economic and health considerations. An account of the prediction and assessment of each impact at all stages of the project cycle for each alternative. As much as possible impact prediction should be expressed quantitatively. Information for each impact must be provided on: o the methodology used. o the magnitude of immediate and cumulative impacts – long and short term (expressed in appropriate units) o whether it is adverse or beneficial o whether it is reversible or irreversible o likelihood of its occurrence “with and without” scenarios o the time span for which impacts are predicted and the geographic boundaries selected to define the study area o Description of measures to prevent or reduce significant adverse impacts or enhance beneficial effects and an assessment of their likely outcome. A description of residual impacts which can not be mitigated or can only be mitigated partially. A description of proposed monitoring schemes. A discussion of potential uses of the environment which will be prevented or rendered less productive due to adverse impacts. Description of relevant national and/or international legal reports, and guidelines used. In the absence of Ethiopian standards the EIA should include a description of the standards and an overview as to why a specific standard was used. Statement on the extent of involvement. Identification of information gaps and uncertainties. The budgetary implications and financial measures to be taken to ensure that mitigation measures can be adequately carried out. Of greatest importance in the EIS is the assessment and description of impacts. In this regard, it may be useful to present results of the assessment in the form of a matrix summary, whereby the different activities and associated impacts on the environment are weighted with a scoring system. The scoring system is not necessarily used for comparative purposes but for a simple approach towards describing the significance of each impact. Impacts must be described according to the following criteria: Nature of the impact - this reviews the type of effect that a proposed activity will have on the environment and should include “what will be affected and how”. Extent - this should indicate whether the impact will be locally extending as far as the site and its immediate surroundings, or whether the impacts may be realised regionally, nationally or even internationally. Duration - this should review the lifetime of the impact, as being short term (0-5 years), medium term (5-15 years), long terms (where the impacts will cease after the operation of the site) or permanent. Intensity - here it should be established whether the impact is destructive or innocuous and should be described as either low (where no environmental 76 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework functions and processes are affected), medium (where the environment continues to function but in a modified manner) or high (where environmental functions and processes are altered such that they temporarily or permanently ceased). Probability - considers the likelihood of an impact occurring. When describing impacts, it is important that primary, secondary and cumulative effects are considered. Mitigation measures should be clearly spelt out in the EIS. Mitigation measures aim to minimise or eliminate negative impacts and enhance the benefits wherever possible. Mitigation measures may include avoidance, prevention or reduction, rectification or rehabilitation and compensation. The mitigation measures should be prepared as an operational management plan and could include: changes in project planning and design (particularly where the change in design may eliminate or reduce an impact); improving monitoring and management; and monetary compensation. Often the mitigation measures will include a combination of these. The significance of impacts should be determined both before and after considering mitigation measures. Significance should be described according to the criteria that appear above but should also consider: Degree of impact on public health and safety; Degree to which effect on the human environment is highly uncertain or involve unique or unknown risks; Irreversibility of impact; Action affects the functioning of life support systems, natural amenities, cultural resources etc.; Violation of the spirit of the law; Limitations for future actions; and Nature of cumulative effect. On completion, the EIR should be submitted to the Competent Authority, the IAPs and a specialist for review. The purpose of the review is to ensure that the document is an adequate reflection of the environmental impacts that may result from the development and that the document provides sufficient information on which decisions may be taken. The EIS shall be submitted in five copies to the Competent Authority. The proponent is responsible for co-ordinating the IAP reviews, either through distributing the document to all of the IAPs or by making the document available in strategic places (e.g. public libraries, schools, clinics etc). Review of EIR‟s of proposed projects will be made based on the EIA guidelines and appropriate environmental quality standards and the relevant legislation. Impacts identified in the document should be reviewed in terms of the EIS: socio-economic context and potential benefits; effect on public health or risk to life; scale; geographical extent; duration and frequency; 77 First Draft: May 2002 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework reversibility or irreversibility; ecological context; regional, national or international importance; and degree of uncertainty. The authority review should ideally be completed within four weeks of submission of the final EIR. If new issues were raised and addressed during the EIA process, these must be added as an addendum to the initial scoping report submitted. When the review has been completed, the Competent Authority should decide whether to accept the application as it stands, reject the application or request that the document be amended. 5.4.3.5 Record of decision and appeal An application may be accepted or refused by the Competent Authority after the screening, scoping or EIA phases of the EIA. The Competent Authority must provide a record of decision report which should be provided to the proponent and made available to any interested and affected party on request. Interested and affected parties have 30 days to appeal a decision in writing to the Competent authority. The Record of Decision report should contain the following details: a brief description of the proposed activity, the extent or quantities and the surface areas involved, the infrastructure requirements and the implementation programme for which the authorisation is issued; the specific place where the activity is to be undertaken; the name, address and telephone number of the applicant; the name, address and telephone number of any consultant involved; the date of, and persons present at, site visits, if any; the decision of the relevant authority; the conditions of the authorisation (if any), including measures to mitigate, control or manage environmental impacts or to rehabilitate the environment; the key factors that led to the decision; the date of expiry of the duration of the authorisation; the name of the person to whom an appeal may be directed; the signature of a person who represents the relevant authority; and the date of the decision. Please note that the Competent Authority is responsible for the decision and is, therefore, solely responsible for dealing with the review, though he/she may choose to involve a specialist for aspects where competency is insufficient to provide an adequate review. It is not the proponent‟s responsibility to deal with the review in any capacity. The proponent should not take part in the review as this could compromise the reviewer‟s independence. 5.4.3.6 Conditions of approval The Conditions of Approval may be included into the Record of Decision but are typically prepared as a separate document. First Draft: May 2002 78 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework Ideally, the EIA should specify clearly the mitigation measures for each identified impact. An EIA might indicate that a development would have a significant negative impact on the environment, without mitigation. In this instance, the authority, in approving a proposal may wish to make implementation of mitigation measures on condition of approval. The proponent may then be required to submit a detailed environmental management plan (EMP). The EMP would describe in detail how each mitigation measure would be undertaken. Monitoring criteria should also be supplied and responsibilities clearly defined. Positive measures should also be enhanced through management or mitigation measures. This report does not describe in detail the requirements of an EMP as this information is collated into an EMP Guideline document which was prepared in conjunction with the EMF. The EMP may need to be publicly reviewed. Only once the adequacy of the EMP is agreed to, would the EIA and EMP be approved and development allowed to commence. Regular independent monitoring would be undertaken at the cost of the proponent. This would be relayed to the authority who would ensure and enforce compliance with EMP. The condition of approval is a legally binding relationship between the authority and the developer. The purpose of the contract is to provide the authority with an additional means of ensuring that the EMP, and any other environmental requirements are implemented to their satisfaction. Where another agency (e.g. a Water Board is managing a facility on behalf of DWAF, the Department is still accountable for environmental performance). 5.4.3.7 Auditing It is the responsibility of the proponent to conduct regular internal audits of the environmental performance of the operation. The audits should be a systematic evaluation of the activities of the operation in relation to the specified criteria of the condition of approval. The auditing results should be submitted to the Competent Authority for review and comment. Included in the auditing process should be compliance monitoring of the surrounding environment. The compliance monitoring should be the responsibility of the proponent and the results submitted to the Competent Authority. The Competent Authority may choose to undertake ad hoc monitoring to verify the compliance monitoring results. The auditing of the Competent Authority would be in the form of verification of internal reports. The auditing and monitoring results may be prepared in the form of an Environmental Performance Report which should describe the extent to which the organisation has complied to its environmental requirements. The report should be submitted to the Competent Authority but may further be submitted to the IAPs for their comment and review. The aim of the report should be to provide honest information about environmental performance. 5.4.4 Regulatory Authorities in the EIA process DWAF will also be required to fulfil the role of regulatory authority in the EIA process where another agency is the proponent. As a key roleplayer in the EIA process, specifically where Water Licenses may be required as a Condition of EIA approval, the provincial office of the Department. In the case of non-listed projects, DWAF may play the role of Competent Authority and may be required to: Ensure that the proponent and consultants comply with EIA guidelines. Consultation and co-operation with other relevant government departments. First Draft: May 2002 79 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework As a sectoral agency, however, the Department will be required to provide input and feedback into the decision-making process and should highlight to the proponent their legal obligations etc. Furthermore, in instances where a Reserve Determination is necessary, the regional office of DWAF must notify Scientific Services to initiate the necessary studies. This trigger is essential to ensuring that the appropriate level of study is completed to compliment the EIA studies. 5.5 Revisions in IEM Consultation with the proponent and consultants throughout the project in order to provide the general guidance, procedures, reports and information required. Ensure that the evaluation/review and decisions required in terms of these guidelines are done efficiently and within a reasonable time. Ensure that the proponent is informed immediately of any delay and the reason for the delay, to be followed up in writing. Make recommendations during the project to improve or rectify the procedures followed, information provided and environmental reports submitted. Ensure that persons appointed to the project have the appropriate expertise and skills to meet the requirements. Ensure that the inputs required from the proponent are kept to a minimum but are adequate to make an informed decision without placing any limitations on the rights of the interested and affected parties. Issue exemptions from complying with these guidelines. Forward a Record of Decision to the provincial department of environment for information. The authors of this document recognize that the IEM regulations in South Africa are currently under revision. Due to the draft nature of these revisions, it has not been possible to incorporate any of the impending changes into this document. As a result, it is likely that the document will be revised within a short period of the revisions taking effect. First Draft: May 2002 80 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 6. RECOMMENDATIONS The Environmental Management Framework sets out to ensure that the Department of Water Affairs are aware of their environmental responsibilities – in terms of legislation that both they and other institutions regulate. In doing so, the EMF sets out a number of Environmental Management and Assessment tools that may be considered when addressing the items of concern. The EMF would be bolstered by the following information: The development of an Environmental Policy for the Department. It is recommended that an environmental policy is developed as a basis from which environmental management is conducted. The development of Environmental Performance Indicators (EPI‟s) for internal Departmental application. The EPI‟s could be used to regulate internal application of the specified guidelines. An internal Environmental Management System. It is envisaged that these aspects will be covered through later phases of the Project (Chapter 1). First Draft: May 2002 81 Department of Water Affairs and Forestry Water Resource Management Branch Environmental Management Framework 7. REFERENCES 1. CSIR, 1999. Guideline Document; Strategic Environmental Assessment in South Africa: Draft Document, CSIR Report Environment-S-I 98046. 2. CSIR (2002), Integration of Sustainability Objectives into Policy: Draft For Discusion, (unpublished report)CSIR Report No: ENV-S-I 2002-013, Pretoria 3. Department of Environmental Affairs and Tourism. 1984. Environment Conservation Act, Act 73 of 1984. Pretoria, South Africa. 4. Department of Water Affairs and Forestry (2001), A Guide to Strategic Environmental Assessment for Water Use in Catchments, Internal Report, Pretoria 5. Department of Water Affairs and Forestry (2002), Environmental Evaluation System Version 1.0 For Water Services Projects (unpublished internal report), Pretoria) 6. Heather-Clark and Hounsome, 1998. Cradle to Grave Environmental Management: Integrating Environmental Impact Assessment with Environmental Management Systems. CSIR, 1998. 7. Smith, R., Willis, C. and Brown, P. (2002) A Generic Approach to Policy Formulation in South Africa; CSIR; (unpublished report) CSIR Report ENV-S-RR 20002-001; Pretoria. 8. Society of Environmental Toxicology and Chemistry (SETAC). 1997. Ecological Risk Assessment Technical Issue Paper. Pensacola, FL, USA. 9. Todd, C., Godfrey, L. (2002) Policy Formulation and Assessment for Environmentally Sustainable Development, Update: Water Resource Case Study; (unpublished report) CSIR Report ENV-P-I 2002-013, Pretoria. First Draft: May 2002 82 APPENDIX 1: SCREENING CHECKLIST (Derived from: DWAF, 2002, Environmental Evaluation System Version 1.0 For Water Services Projects (unpublished internal report), Pretoria) Screening Checklist / Questionnaire The following checklist is designed to assist the proponent during the screening process. The checklist provides a number of questions which when answered should give the proponent an idea of the potential impacts related to the proposed development. The checklist is not complete and is only provided as a guide to project proponents. The Checklist is arranged into a number of sections. (Construction, Operation and Decommissioning Phases of a Project) General Aspects Air Quality and Atmospheric Conditions Hydrology and Water Quality Waste Generation Noise and Vibration Hazards and Hazardous Materials Social and health Aspects Historic and Cultural Features Protected and Conservation Worthy Areas Landscape and Visual Characteristics Biological Resources Land Use and Property Issues Agricultural Resources Stability Erosion Traffic Related Impacts Other Issues Broader Considerations The Checklist can be used as a questionnaire and the questions have been designed to be answered with a simple Yes or No. A column is provided for additional comments and or notes. The person using the Checklist should base their answers on existing information. If the answers to some questions are not available or uncertain, the lack of information should be a factor taken into account in assessing the need for a scoping report and or a full Environmental Impact Assessment. All answers must take account of the whole project action involved and should consider both off-site and on-site cumulative impacts as well as direct and indirect impacts. The checklist / questionnaire can be used as a guide for scoping. For a preliminary scoping exercise the YES / NO column should be adjusted to read Significant Impact and No Impact. The answers for scoping should be motivated. Appendix - i Project Title Proponent Name Proponent Address Project Location Project Coordinates Current Zonation Structure Plan Which Covers the Project Area South East Appendix - ii Project Description Describe the entire action/project, including all of the proposed phases of the development. Include a description of the support infrastructure or off-site structures required for the implementation of the project. This section can be attached on separate sheets if necessary Surrounding Land Use Describe the land use of the area surrounding the project location Appendix - iii Consider each group of factors in relation to the construction operation and decommissioning of the project. General Aspects Issue Yes No ? Comments / Notes Will the project create land disturbance over a large area? Does the project involve the clearing of large areas or substantial earthworks? Does the project involve any underground workings? Will the project impact on the current land use of the area? Does the project require that a rezoning application be submitted to the regional or local authority? Will the project involve the storage, handling, use or production of toxic or hazardous substances? Will the project require the construction of secondary utilities such as electricity, fuel and water to or from the project site? Will the project require the construction of new roads or tracks? Will off-road vehicles be utilised during the construction, operation or decommissioning of the project? Appendix - iv General Aspects Issue Will construction or operation of the project cause changes to the existing traffic situation? Will blasting be required in the construction phase of the project? Will the project be decommissioned after a defined lifetime? Yes No ? Comments / Notes What is the defined life of the project? Will the project impact on any established community in the area? Describe how it will impact on the community. Does the project conflict with any existing land use plan for the area? Are you aware of any conservation plans for the area? Is the project located in an area, which contains any special and / or unique natural features? Will the regenerative capacity of natural areas such as coastal zones, special communities be adversely affected by the project? Is the project located in an area where soils, surface water and / or groundwater may have already been contaminated by past land uses? Appendix - v General Aspects Issue If the project will utilise septic tanks – Are the soils suitable and do they have the ability to support a septic tank system? Yes No ? Comments / Notes Air Quality and Atmospheric Conditions Issue Will the project generate emissions to air from fuel combustion, production processes, materials handling, construction activities or other sources? Will the project involve disposal of waste through burning in the open (for example removed vegetative material and construction debris)? Have local air quality standards been established for the area where the project will take place? Will any activity associated with the project contravene the established / legislative standards? Will the project result in any cumulative increase of any pollutant? Could emissions from the project adversely effect human health or welfare, fauna or flora, or other resources? Yes No ? Comments / Notes Appendix - vi Air Quality and Atmospheric Conditions Issue Is it possible that naturally occurring atmospheric conditions could trap air borne pollutants for prolonged periods? Will the project involve changes in the physical environment that could affect microclimatic conditions (turbulence, frost pockets, increased humidity, fogs)? Yes No ? Comments / Notes Aquatic Environment Issue Will the project require large volumes of water, or disposal of large volumes of any effluent? Will the project involve disturbance to natural drainage patterns? Does the project include the construction of dams, weirs or the alteration of a watercourse? Will the project require channel dredging or the straightening or modification of the channel or the crossing of a river or stream? Will the project be located in or close to a wetland or any watercourse or waterbody? Yes No ? Comments / Notes Appendix - vii Aquatic Environment Issue Will the project be located in the vicinity of important groundwater sources? Will use of water affect the availability of existing local supplies? Will the project adversely affect the quality, flow or volume of surface or groundwater by siltation, hydrological changes or discharges to water? Will the alteration of a natural watercourse have a detrimental effect on natural habitats (for example water flow speeds and fish breeding) or other uses of water (fishing, recreation)? Will the project cause significant changes in sediment movement, erosion, accretion or water circulation patterns? Will the project result in dune erosion, littoral drift or adverse changes in coastal systems? Will the project limit use of waters for recreation, angling, fisheries, research, conservation or scientific purposes? Yes No ? Comments / Notes Appendix - viii Hydrology and Water Quality Issue Will the project exceed any water quality standards or violate any water disposal or discharge requirements? Will the project utilise substantial quantities of groundwater? Will the project interfere with groundwater recharge in such a manner that there would be a lowering of the groundwater table? Will the project substantially alter drainage patterns? Does the project involve the alteration of the flow of a stream or river? Will the project substantially increase the rate or amount of surface runoff in such a way that it may cause flooding on or off the site or present a problem for the erosion of soils? Does the project place any structure within the 50-year floodline? Yes No ? Comments / Notes Waste Generation Issue Will the project require the disposal of spoil, overburden or other process wastes? Will the project require disposal of municipal or industrial wastes? Does the local authority have the capacity to process the waste? Yes No ? Comments / Notes Appendix - ix Waste Generation Issue Will the project have the potential to contaminate soils, surface waters and / or groundwater? Yes No ? Comments / Notes Noise and Vibration Issue Will the project cause excessive noise and vibration for extended periods? Will the project cause impacts on people, structures or from noise and vibration? Will the project substantially increase the ambient noise levels in the vicinity of the project to levels above those existing without the project? Yes No ? Comments / Notes Hazards and Hazardous Material Issue Does the construction / operation of the project involve the storage, handling or transport of hazardous substances (flammable, explosive, toxic, radioactive, carcinogenic or mutagenic)? Does the operation of the project involve the generation of electromagnetic or other radiation, which may affect human health? Yes No ? Comment / Notes Appendix - x Hazards and Hazardous Material Issue Does the project require the regular use of chemicals or herbicides for pest or weed control? Will the project emit any hazardous emissions? Yes No ? Comment / Notes Social and Health Aspects Issue Will the project involve the employment of large numbers of workers? Will the workforce have adequate access to housing and other facilities? Will the project make significant demands on existing facilities and services? Will the project result in significant expenditure in the local economy? Will the project result in changes in health conditions? Yes No ? Comments / Notes Appendix - xi Social and Health Aspects Issue Will the project significantly affect the labour or property market in the area? Will the project cause a substantial population growth in an area (directly or indirectly)? Will an existing population be physically divided as a result of a project? Will the project displace any people, necessitating the construction and / or replacement of housing and / or other infrastructure? Will the project lead to a shortage of social infrastructure to cope with any temporary or permanent increase in population or economic activity? Will the project significantly affect the demographic characteristics of the area? Will there be an effect on the character or perception of an area? Will the project significantly affect health conditions? Yes No ? Comments / Notes Historic and Cultural Features Appendix - xii Issue Will the project be located in or close to an area, which contains important or valuable historic or cultural resources? Will the project cause an adverse change in the significance of a historic, archaeological and / or cultural resource Will the project damage or destroy or require the relocation of any human remains (including those interred outside of formal cemeteries)? Yes No ? Comments / Notes Protected and Conservation Worthy Areas Issue Is the project located in or near a protected area or an area proposed for protection by a state conservation authority? Yes No ? Comments / Notes Landscape and Visual Characteristics Issue Will the project be located in an area of high landscape quality and/or sensitivity? Yes No ? Comments / Notes Appendix - xiii Landscape and Visual Characteristics Issue Will the project be located in an area, which is visible to significant numbers of people? Will the project adversely affect an area of attractive landscape, or one where the landscape is of historic or other cultural significance? Will the project intrude into the views from locations where large numbers of people will see the site? Yes No ? Comments / Notes Biological Resources Issue Is the project located in the vicinity of important or valuable habitats? Are there rare or endangered species in the area covered by the project? Could the site prove to be resistant to natural or planned revegetation? Will the project result in loss or disturbance of valuable habitats, or ecosystems, or habitats for rare or endangered species? Yes No ? Comments / Notes Appendix - xiv Biological Resources Issue Will the project cause disturbance or impair the reproductive capacity of species or adversely affect animal movement or feeding, breeding, nursery or resting areas, or create significant barriers to migration routes? Will noise arising from the project disrupt birds or other animals? Will the project result in reduced biological diversity? Will the project impair essential ecological processes or life support systems? Will the project cause the introduction of noxious weeds, vermin or disease, or exacerbate the spread of known pathogens or pests/ exotic organisms problem species? Will the project involve extensive use of pesticides, herbicides or fertilisers or other chemicals, which may build up residues in the terrestrial or aquatic environment? Will the project significantly increase the risk of fire? Will siltation due to the project cause adverse effects on aquatic life through diminished light availability? Yes No ? Comments / Notes Appendix - xv Land Use and Property Issues Issue Yes No ? Comments / Notes Is the project in conflict with present zoning or land use? Could the proposed land use conflict with neighbouring land uses (existing or proposed)? Is the project located in a densely populated area or in the vicinity of residential property or other sensitive land uses (e.g. hospitals, schools, places of worship, community facilities)? Is the project located in an area of important recreational / tourist importance? Will the project cause disturbance or loss of important land uses? Will the project result in widespread disturbance of the land surface? Will the project divide or disrupt a well established community? Will the project result in demolition of structures or occupation of property (homes, gardens, businesses)? Does the project conflict with any conservation plan or open space plan? Appendix - xvi Agricultural Resources Issue Yes No ? Comments / Notes Is the project located on land of high agricultural potential? Will the project convert high agricultural lands, special agricultural lands to non-agricultural uses? Will the project adversely affect agricultural lands in the vicinity of the project? Stability Issue Is the project located in an area liable to subsidence from natural or man-made causes? Is the project located in an area of steep topography which might be susceptible to land slip / slides and / or erosion? Is the project located on or near to a sensitive coastline, which is susceptible to erosion? Yes No ? Comments / Notes Erosion Appendix - xvii Issue Yes No ? Comments / Notes Is the project likely to cause erosion? Could the use of erosion controls result in other adverse secondary impacts? General Aspects Issue Yes No ? Comments / Notes Will the project create land disturbance over a large area? Does the project involve the clearing of large areas or substantial earthworks? Does the project involve any underground workings? * Will the project impact on the current land use of the area? * Does the project require that a rezoning application be submitted to the regional or local authority? * Will the project involve the storage, handling, use or production of toxic or hazardous substances? Appendix - xviii General Aspects Issue Will the project require the construction of secondary utilities such as electricity, fuel and water to or from the project site? * Will the project require the construction of new roads or tracks? Will off-road vehicles be utilised during the construction, operation or decommissioning of the project? Will construction or operation of the project cause changes to the existing traffic situation? Will blasting be required in the construction phase of the project? Will the project be decommissioned after a defined lifetime? Yes No ? Comments / Notes What is the defined life of the project? Will the project impact on any established community in the area? Describe how it will impact on the community. Does the project conflict with any existing land use plan for the area? Are you aware of any conservation plans for the area? Appendix - xix General Aspects Issue Will the regenerative capacity of natural areas such as coastal zones, special communities be adversely affected by the project? Is the project located in an area where soils, surface water and / or groundwater may have already been contaminated by past land uses? * If the project will utilise septic tanks – Are the soils suitable and do they have the ability to support a septic tank system? If answer NO then require scoping report Yes No ? Comments / Notes Air Quality and Atmospheric Conditions Issue Will the project generate substantial emissions to air from fuel combustion, production processes, materials handling, construction activities or other sources? Have local air quality standards been established for the area where the project will take place? Will the project result in any cumulative increase of any pollutant? * Could emissions from the project adversely effect human health or welfare, fauna or flora, or other resources? Is it possible that naturally occurring atmospheric conditions could trap air borne pollutants for prolonged periods? Yes No ? Comments / Notes Appendix - xx Air Quality and Atmospheric Conditions Issue * Will the project involve changes in the physical environment that could affect microclimatic conditions (turbulence, frost pockets, increased humidity, fogs)? Yes No ? Comments / Notes Aquatic Environment Issue * Will the project involve disturbance to natural drainage patterns? * Does the project include the construction of dams, weirs or the alteration of a watercourse? * Will the project require channel dredging or the straightening or modification of the channel or the crossing of a river or stream? * Will the project be located in or close to a wetland or any watercourse or waterbody? * Will the project be located in the vicinity of important groundwater sources? Will use of water affect the availability of existing local supplies? * Will the project adversely affect the quality, flow or volume of surface or groundwater by siltation, hydrological changes or discharges to water? Yes No ? Comments / Notes Appendix - xxi Air Quality and Atmospheric Conditions Issue * Will the alteration of a natural watercourse have a detrimental effect on natural habitats (for example water flow speeds and fish breeding) or other uses of water (fishing, recreation)? * Will the project result in dune erosion, littoral drift or adverse changes in coastal systems? Will the project effect use of waters for recreation, angling, fisheries, research, conservation or scientific purposes? Yes No ? Comments / Notes Hydrology and Water Quality Issue * Will the project exceed any water quality standards or violate any water disposal or discharge requirements? Will the project utilise substantial quantities of groundwater? * Will the project interfere with groundwater recharge in such a manner that there would be a lowering of the groundwater table? Will the project substantially increase the rate or amount of surface runoff in such a way that it may cause flooding on or off the site or present a problem for the erosion of soils? * Does the project place any structure within the 50-year floodline? Yes No ? Comments / Notes Appendix - xxii Waste Generation Issue * Will the project require the disposal of spoil, overburden or other process wastes? Will the project require disposal of municipal or industrial wastes? Does the local authority have the capacity to process the waste? * Will the project have the potential to contaminate soils, surface waters and / or groundwater? Yes No ? Comments / Notes Noise and Vibration Issue Will the project cause excessive noise and vibration for extended periods? Will the project cause impacts on people, structures or from noise and vibration? Will the project substantially increase the ambient noise levels in the vicinity of the project to levels above those existing without the project? Yes No ? Comments / Notes Hazards and Hazardous Material Issue Yes No ? Comment / Notes Appendix - xxiii Hazards and Hazardous Material Issue * Does the construction / operation of the project involves the storage, handling or transport of hazardous substances (flammable, explosive, toxic, radioactive, carcinogenic or mutagenic)? * Does the operation of the project involve the generation of electromagnetic or other radiation, which may affect human health? * Will the project emit any hazardous emissions? Yes No ? Comment / Notes Social and Health Aspects Issue Will the project involve the employment of large numbers of workers? Will the workforce have adequate access to housing and other facilities? Will the project make significant demands on existing facilities and services? Will the project result in significant expenditure in the local economy? Yes No ? Comments / Notes Appendix - xxiv Social and Health Aspects Issue Yes No ? Comments / Notes Will the project result in changes in health conditions? Will the project significantly affect the labour or property market in the area? Will the project cause a substantial population growth in an area (directly or indirectly)? Will an existing population be physically divided as a result of a project? Will the project displace any people, necessitating the construction and / or replacement of housing and / or other infrastructure? Will the project lead to a shortage of social infrastructure to cope with any temporary or permanent increase in population or economic activity? Appendix - xxv Historic and Cultural Features Issue * Will the project be located in or close to an area, which contains important or valuable historic or cultural resources? * Will the project cause an adverse change in the significance of a historic, archaeological and / or cultural resource * Will the project damage or destroy or require the relocation of any human remains (including those interred outside of formal cemeteries)? Yes No ? Comments / Notes Protected and Conservation Worthy Areas Issue * Is the project located in or near a protected area or an area proposed for protection by a state conservation authority? Yes No ? Comments / Notes Landscape and Visual Characteristics Appendix - xxvi Issue * Will the project be located in an area of high landscape quality and/or sensitivity? * Will the project be located in an area, which is visible to significant numbers of people? * Will the project adversely affect an area of attractive landscape, or one where the landscape is of historic or other cultural significance? Yes No ? Comments / Notes Biological Resources Issue Is the project located in the vicinity of important or valuable habitats? * Are there rare or endangered species in the area covered by the project? Could the site prove to be resistant to natural or planned revegetation? * Will the project result in loss or disturbance of valuable habitats, or ecosystems, or habitats, or barriers to migration for rare or endangered species? * Will the project impair essential ecological processes or life support systems? * Will the project cause the introduction of noxious weeds, vermin or disease, or exacerbate the spread of known pathogens or pests/ exotic organisms problem species? Yes No ? Comments / Notes Appendix - xxvii Biological Resources Issue Will the project involve extensive use of pesticides, herbicides or fertilisers or other chemicals, which may build up residues in the terrestrial or aquatic environment and affect human health? Will the project significantly increase the risk of fire? Will siltation due to the project cause adverse effects on aquatic life through diminished light availability? Yes No ? Comments / Notes Land Use and Property Issues Issue Is the project located in a densely populated area or in the vicinity of residential property or other sensitive land uses (e.g. hospitals, schools, places of worship, community facilities)? Is the project located in an area of important recreational / tourist importance? Will the project result in demolition of structures or occupation of property (homes, gardens, businesses)? * Does the project conflict with any conservation plan or open space plan? Yes No ? Comments / Notes Appendix - xxviii Agricultural Resources Issue Yes No ? Comments / Notes Is the project located on land of high agricultural potential? * Will the project convert high agricultural lands, special agricultural lands to non-agricultural uses? Will the project adversely affect agricultural lands in the vicinity of the project? Stability Issue * Is the project located in an area liable to subsidence from natural or man-made causes? Is the project located in an area of steep topography which might be susceptible to land slip / slides and / or erosion? Yes No ? Comments / Notes Erosion Issue Yes No ? Comments / Notes Appendix - xxix Erosion Issue * Is the project likely to cause significant changes in erosion patterns? Could the use of erosion controls result in other adverse secondary impacts? Yes No ? Comments / Notes Traffic Related Impacts Issue Will the project lead to significant changes in traffic (road or other) with consequent effects on conditions for other road users, noise, air quality, amenity, etc, and impacts for other receptors? Will changes in accessibility resulting from the project lead to increased potential for development in the area? Yes No ? Comments / Notes Broader Considerations Issue Could the project cause public controversy? Has there been substantial concern about the project? Yes No ? Comments / Notes Appendix - xxx Broader Considerations Issue Are there potential transboundary effects, which need to be considered? * Will the project result in conflict with existing international, national or local policies, legislation or agreements? * Will the project involve possible effects which are highly uncertain or which involve unique or unknown risks? Will the project establish a precedent for future actions, which individually or cumulatively could have significant impacts? Will the project provide facilities that could stimulate further (induced) development for example by providing service infrastructure? (e.g. urbanisation, industrial development, transportation requirements) * Will the project result in a significant demand for a resource, which is likely to become in short supply? Yes No ? Comments / Notes Appendix - xxxi
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