IMPACT ASSESSMENT CASE STUDIES

FROM SOUTHERN AFRICA

Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department

SAIEA
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
Southern African Institute for Environmental Assessment ... working for a better Africa

THE BERG WATER PROJECT:

CHARTING THE FUTURE FOR LARGE DAMS
Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Aims of the Project
The Berg Water Project (BWP), consisting of the
Berg River Dam and supplement scheme (i.e. a
diversion weir and balancing dam), is designed
to augment raw bulk water supply to the greater
Cape Town metropolitan area in the Western Cape
region of South Africa.
The BWP was one out of a number of options to
improve water security for over three million
people served by the integrated Western Cape
Water Supply System, in which combined demand
from urban and agriculture users will exceed the
water yield available from the areas conventional
water resources before 2020.
The purpose of the BWP is to capture and store
winter runoff from the mountainous upper reaches
of the Berg River catchment and transfer it to the
existing Western Cape Water Supply System.
The BWP will contribute 81 million cubic metres
of water, equivalent to 18% of the total bulk water
storage.
Brief description of the development & alternatives considered
The BWP is the culmination of a 14-year strategic
integrated planning process by the Department of
Water Affairs and Forestry (DWAF) to identify
appropriate measures to address the water shortage
in the Western Cape. The planning process was
initiated in 1989 and was called the Western Cape
Systems Analysis (WCSA). Its purpose was to
reconcile the water demand and water supply for
the Western Cape region. It was a democratic
strategy process and was supported by technical
and scientific assessment to aid decision-making.
The water situation assessment conducted as part
of the WCSA determined that Cape Town would
be the first metropolitan area in South Africa
where water demand would exceed the available
water supply. The WCSA provided a list of
projects that could be implemented to increase
the water supply.
About 24 possible supply options and alternatives
in the region were examined. A short list of
options was compiled on the basis of technical,
financial, environmental and social factors.
Several public meetings were held, but consensus
could not be achieved on the priority of future
schemes. Accordingly a public process was
developed to obtain input as to which schemes
should be studied further with a view to
implementation. Interested and affected parties,
the public and representatives of government were
involved in the evaluation process which took
place from 1995 to 1996.
A shortlist of 11 schemes to be studied further
was agreed upon. The options included water
demand management, re-use of sewage effluent,
removal of water-consuming alien vegetation,
desalination of sea water and the construction of
the Berg Water Project.
The following course of action was identified:
Water demand management was accorded
the highest priority but its implementation
was hampered by the large number of
local authorities.
Desalination was not economically feasible
in the short term due to its very high cost.
The Berg Water Project would be studied
at feasibility level as it provided much needed
storage in the System.
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT:
(for the EMP)
CHARTING THE FUTURE FOR LARGE DAMS

Brief description of the development & alternatives considered

The City of Cape Town (CCT) would study tributaries downstream of the dam) into an off- with provision for a peak release of up to 200
options such as the use of local groundwater channel balancing dam, from where the water will m 3 /s, making it the first dam in South Africa in
and re-use of sewage effluent. be pumped back into the Berg River Dam. The which provision is made for flood releases for
outlet works of the Berg River Dam have been environmental purposes.
DWAF initiated the EIA process and the EIA designed to release both low flows and high flows
report was produced for decision-making
in 1996. The Department of
Environmental Affairs and Tourism
issued the Record of Decision in 1999.
In April 2002 Cabinet approved the
construction of the Berg River Dam on
condition that the CCT reduces the
demand for water by 20% by the year
2020. The BWP is the first bulk water
resource development project in South
Africa that is directly linked to water
demand management.

The BWP comprises the 65 m high Berg

River Dam and the Supplement Scheme
situated approximately 12 km
d o w n s t r e a m (Figures 1, 2, 3). T h e
Supplement Scheme consists of a 1.6 m
high diversion weir that will divert a
portion of the winter high flows (from
the stream flows from the three Figure 1: The Berg River Dam is located in the south west of South Africa, near the town of Franschhoek.

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

Brief description of the development & alternatives considered

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

SAIEA 2009 3
Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Environmental setting
Biophysical environment:
The natural vegetation within the dam inundation
area has been severely disturbed by decades of
forestry and agriculture, with the result that there
are no substantial areas of intact natural vegetation
worthy of conservation. Forestry plantations,
together with invasion of the floodplain and river
channel by exotic vegetation, have significantly
modified the natural river morphology. Due to
river habitat degradation and the introduction of
alien fish two of the indigenous fish species from
the Berg River are now on the IUCN Red Data
list. The upper reaches of the catchment are
considered critical in terms of fish conservation.
Socio-economic environment:
The population of Franschhoek, which is located
close to the dam, was estimated at 16,000 in 2001
but now stands at about 40,000. The local
communities range widely in terms of their socio-
economic profile. Under 5% of the population
have no income, while 65.8% have an income of
less than US$6,500 per annum. According to a
household survey conducted as part of the Berg
River Dam social-monitoring programme, 34%
of workers in formal employment rely on seasonal
labour on farms. The scenic beauty of Franschhoek
with its surrounding winelands makes it a popular
tourist destination, so employment is aligned to
the tourism and agricultural sectors. Franschhoek
is also home to a significant percentage of affluent
residents.
EIA process followed
There were two concurrent and parallel processes.
One was the Western Cape Systems Analysis
(WCSA), which was a catchment-wide strategic
options analysis process. The other process was
the Berg River Dam Integrated Environmental
Management (IEM) process, which consisted of
the EIA process and implementation of the
Environmental Management Plan (EMP).
Public participation formed an important element
in all of the planning activities. The evaluation
of options was the first attempt in South Africa
to include a full range of stakeholders in decisions
affecting water demand and supply. The process
involved over 1,100 people and organisations.
The Western Cape System Analysis process
involved five public workshops held in various
towns in the Western Cape, which were attended
by a broad range of representatives. These
workshops led up to a Conference to define criteria
for evaluating the various water supply options
presented in the WCSA and to make
recommendations as to the favoured options for
implementation.
Prior to 1997 there was no legal requirement to
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
EIA process followed
undertake EIAs. However an EIA for the Berg
River Dam was undertaken on a voluntary basis
in terms of best international practice.
Environmental and social studies were initially
broad-based, but became increasingly detailed in
alignment with the technical and engineering
components of the studies. These covered the
disciplines of archaeology, botany, tourism, fluvial
geomorphology, social aspects, economics,
instream flow requirements and forestry.
A letter of invitation was sent to all interested
and affected parties (I&APs) to participate in a
workshop on the desired future state of the Berg
River, but there was very little response.
Consequently, a select group was directly invited
to participate in a planning workshop. Participants
were drawn from local authorities and business,
agricultural, community-based and recreational
groups with a direct involvement and interest in
the Berg River, environmental NGOs, and
representatives of relevant national and provincial
government departments. The workshop was
innovative in that it set a precedent in the planning
of water schemes within South Africa by involving
the public in identifying the desired future state
for the river and defining the instream flow
requirements (IFR) they would find acceptable.
Although the workshop did not conclude the
discussion on the desired future state of the river,
it provided a useful opportunity to explore the
methodology used, and put the debate on the IFR
for the river into perspective.
A crucial aspect of the planning stage of the IEM
process was the preparation and dissemination of
information on the proposed dam. In this respect,
media coverage was sought in local daily and
weekly newspapers, and a pamphlet on the Dam
Scheme and the Western Cape System Analysis
Evaluation (WCSA) was prepared and widely
disseminated. Some 600 interested and affected
parties were identified and invited to participate
in the public meetings, where the IEM and WCSA
Evaluation processes were explained to the public
and their views invited. The meetings provided
an opportunity for I&APs to identify issues of
concern which could be taken further in the IEM
Process. All relevant documentation generated in
the process was disseminated to those who
attended public events, or to appropriate parties
on the mailing list.
In addition, documents were placed in all local
libraries in the Upper Berg River area, as well as
selected libraries in the Lower Berg River area.
An independent review was undertaken to ensure
compliance with the Integrated Environmental
Management (IEM) guidelines put out by the
South African Department of Environmental
Affairs, and to ensure that public issues and
concerns had been addressed. The EIA concluded
that there were no impacts so significant that the
dam should not be built. The main issues were:
Impact on forestry operations:
Some commercial pine plantations in the
reservoir basin would be lost. Subsequently
forestry from the entire catchment has been
withdrawn from production due to the
marginal economy of the forestry operations.
Impacts on local communities:
Construction activities were predicted to
impact on the farming community and tourism,
but with proper management the impacts could
be minimized. The project would offer
benefits by providing infrastructure (housing,
roads, etc.) and employment opportunities.
Most of the land to be inundated belongs to
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
EIA process followed
the Government and only about 38 ha
belonged to two private owners. There was
thus a small resettlement and compensation
requirement.
Disturbance to the river:
It was predicted that the dam would affect
downstream flows. A 10 km section
immediately downstream of the dam was in
relatively good condition and was considered
to be of high conservation value. Provision
was made for annual ecological releases
totalling 43 million m3 during normal years
and 19 million m3 during drought years. These
releases should ensure that the river is kept
in a healthy condition and will be adjusted in
accordance with monitoring results, social
needs and relative priorities.
Impact on the Berg River Estuary:
The estuary some 180 km downstream of the
dam has a high conservation importance. The
environmental studies concluded that it is
unlikely that problems will be experienced as
a result of the project, but the situation will
be monitored.
Social issues:
Possible immigration of unemployed people
to the Franschhoek area in search of work
during the construction phase may increase
social tensions and exacerbate the existing
unemployment and housing situation.
Positive and negative impacts
of flooding regulation:
A decrease in small and moderate floods
would benefit downstream landowners whose
land would be flooded less frequently.
However, less frequent flooding of the land
next to the river is likely to encourage urban
and agricultural development. This will
increase the amount of damage caused by
naturally occurring large floods, which are
not affected by the dam.
Positive impact -
Augmentation of water supply:
The project would secure water both for basic
human needs and for the regional economy.
Positive impact - Potential to develop re-
creation and tourism associated with the dam.
Decision-making process
The decision-making process was a lengthy one
as it happened during an era of major political
change in the country from 1994 and subsequent
profound change in water and environmental
legislation, policy and institutional setting.
Some major decision-making points in the process
are:
September 1997:
Minister announces that preparation for the
project may proceed, but timing of
implementation to be reviewed and depends
on progress with water savings.
May 1999:
Environmental approvals for the
BWP received.
May 1999:
Minister states that a satisfactory start had
been made with demand management and the
BWP will proceed, but subject to further
progress on water demand management.
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Decision-making process
December 2001:
Minister reviews BWP planning process with
guidelines of the World Commission on Dams,
is satisfied with demand management progress
and makes final decision to submit the matter
to Cabinet.
April 2002:
South African Cabinet approves BWP
implementation and its funding mechanism.
May 2002:
Trans-Caledon Tunnel Authority (TCTA)
appointed to implement and fund the BWP.
April 2003:
Formal Agreements between the Department
of Water Affairs and Forestry, City of Cape
Town and TCTA signed.
The environmental authorisation granted by the
DEAT in 1999 was subject to various conditions,
the most important being:
Compilation of an Environmental
Management Plan (EMP) and its approval by
the environmental authorities.
Establishment of an Environmental
Monitoring Committee (EMC) and appoint-
ment of an Environmental Control Officer.
A number of aspects related to the Ecological
Reserve, provision for flood releases, the
monitoring of the river and estuary and the
revision of the instream flow requirement if
required.
Implementation of the EMP
& compliance auditing
The implementing agency, TCTA, undertook the
measures outlined in the environmental approval,
namely establishing the Environmental Monitoring
Committee (EMC), and developing the
Environmental Management Plan. The EMP
informed the project design process and was
incorporated into contract documentation.
Its implementation was closely monitored by
the EMC.
The EMP made provision for:
Environmental specifications during
construction
Social planning strategy
Water quality monitoring during construction
River monitoring programme
Public participation programme
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority THE BERG WATER PROJECT:
(for the EMP)
CHARTING THE FUTURE FOR LARGE DAMS

Implementation of the EMP & compliance auditing

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

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

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

SAIEA 2009 8
Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Main elements of excellence in this EIA
The aspects of the BWP which are exceptional
include:
1 . The high level of compliance to the conditions
set out in the Record of Decision and the EMP
requirements. The project incrementally
increased its EMP compliance from 82% (at
the start of construction) to 96% (at the end
of the construction period).
2. I n n o v a t i v e P r o j e c t R i s k M a n a g e m e n t .
The BWP implemented an integrated risk
management approach that included
recognition of rights and assessment of
risks (particularly rights at risk), which
formed the basis for an effective participatory
processes, starting with needs and options
assessment in up-front planning. The rights
at risk formulation has practical relevance
where laws recognize rights as a reference
for decisions on water allocation and public
service provision, as they do in South Africa.
Environmental and social risks and mitigation
strategies were included in the integrated risk
management plan.
3 . The development and implementation of
a social sustainability model for monitoring,
mitigation and community development.
The social sustainability model focused on
three kinds of capital: social, productive and
human. It was used to guide the social
monitoring programme to provide an
understanding of how the project was
intervening in the social environment.
4 . The experience of the BWP Environmental
Monitoring Committee resulted in the
Department of Environmental Affairs and
Tourism requesting TCTA to capture its
experience in the form of one of its IEM
Information Documents. The BWP EMC
experience has since become the standard
against which other EMCs are structured and
their roles defined.
5 . Implementation of the Ecological Reserve.
It is the first dam internationally where
Ecological Reserve requirements have
influenced the engineering design and dam
operational guidelines. Environmental flow
assessments for the dam actually started in
the late 1980s, well before legislation in South
Africa required consideration of in-stream
flow requirement releases from dams.
The IFR requirement was captured in the
Record of Decision that DEAT issued in 1999.
It was then reflected in detailed design and
operating procedures of the project. A unique
feature of the Berg River Dam is the unusually
large, 63m high intake tower connected to the
outlet works. This is designed to cater for two
distinct flow release systems, i.e. small and
large releases. Small releases (0,3 to 12 m 3/s)
occur continually and are adjusted in
magnitude as required by the Ecological
Reserve and depending on the inflow into the
Berg River Dam. The system for large releases
uses the radial arm gate for releases up to
200 m 3 /s, which mimic natural flood events.
This is purely as a requirement of the
Ecological Reserve.
6. The BWP is unique among large infrastructure
projects in that it was subjected to high level
independent review and scrutiny. An
environmental and social panel of experts
was established so that TCTA could
confidently show that the project could stand
up to scientific and even judicial scrutiny.
9
Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Main elements of excellence in this EIA
7 . The project has an innovative approach to
land use planning after the completion of the
construction phase. A Sustainable Utilisation
Plan (SUP) has been prepared and is currently
being implemented. This is a planning
framework that will guide the long term
management and land use of the Berg River
Dam water body and surrounding land.
The SUP will provide guidance on:
Recreational and sporting use of the dam
water body;
Opportunities for economic activities
on the state land surrounding the dam;
Sustainability criteria for land use
decision-making; and
Institutional arrangements for land management.
8 . The Exit Strategy for the project goes far
beyond mitigation and has a distinct
sustainability agenda. It has three dimensions.
One dimension focuses on continuing to
maximise the project benefits after
construction into the operational phase. The
second recognises the need to plan and
implement measures that pre-empt possible
negative social impacts. The third and linked
dimension is the element of promoting
learning and knowledge management as part
of project implementation.
The range of initiatives and projects that were
implemented for the Exit Strategy include:
Appreciative Inquiry
Holistic health and well-being
Promotion of Franschhoek First Policy
Training
Learnerships
Transfer of the employment information
database to the local municipality
Facilitating work opportunities for
local workers
Handover of construction housing
Sustainable Utilization Plan
9. EIA follow-up is included as part of the
closure reporting for the BWP. The aim of
this exercise is to make a South African
contribution to international EIA practice
through:
Communicating the results of this follow-
up study;
Learning from the experience of verifying
the EIA predictions;
Determining the value and impact
of the EIA; and
Providing lessons for EIA theory
and practice.
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Nigel Rossouw,
Trans-Caledon Tunnel Authority
Client: South African Department
of Water Affairs and Forestry
(for the EIA)
and Trans-Caledon Tunnel Authority
(for the EMP)
SAIEA 2009
THE BERG WATER PROJECT:
CHARTING THE FUTURE FOR LARGE DAMS
Lessons learnt
Feasibility studies (e.g. EIAs) normally assume
that projects exist in an ideal world of cause and
effect. There has been a significant departure
from this view, where natural and social systems
are recognised as being highly complex and
stochastic and where things rarely turn out as
originally intended. EIAs therefore need to clearly
state their assumptions, limitations and level of
confidence in predictions. Key lessons learnt from
this case study are that:
For EIA to be effective and to contribute
to sustainable development, the impact
predictions and mitigation measures need
to be fully incorporated into the construction
and operation EMPs, which should be
incorporated in construction contract
documentation;
EIA follow-up is critical to promote learning
and to improve the practice of EIA;
Impact prediction, significance and mitigation
methodology should be identified early in the
EIA process and consistently used by
all specialists;
Impacts need to be disaggregated and it needs
to be realised that they are not homogenously
experienced in both natural and social
environments;
S p eci al at t en t i o n needs to be given to
vulnerable groups in society and to valued
ecosystem components;
Measurable and quantifiable indicators for
predicted impacts need to be identified in the
EIA and incorporated in the EMP for ongoing
monitoring; and
Practitioners should not stop at just making
predictive statements and recommendations
for mitigation. They should also provide a
framework for an impact monitoring,
compensation and management programme.
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