Research Proposal: Best EIA Practices and Guidelines

The Republic of Uganda

NILE BASIN CAPACITY BUILDING NETWORK-RIVER ENGINEERING

ENVIRONMENTAL ASPECTS OF RIVER ENGINEERING

RESEARCH ON

BEST EIA PRACTICES AND GUIDELINES

EIA GUIDELINES AND SUPPORT TOOLS

REF: .

Research Team: Mugambe Ronald (Uganda) Coordinator Dr. Mwakali J.A. (Uganda) Dr. Nalubega M. (Uganda) Eng. Rugumayo A.(Uganda) Teclemariam Barhane (Eretrea) Dr. Ahmed Mohamed Elmuntasir I. (Sudan) Kabalisa Vicent de Paul (Rwanda) AUGUST 2003

Funding Agency:
UNESCO-IHE NBCBN-RE

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Research Proposal: Best EIA Practices and Guidelines

ABSTRACT The research on Best Environmental Impact Assessment Practices and Guidelines is aimed at contributing scientific knowledge and tools towards the Integrated Water Resources Management in the Nile Basin. This research proposal has been prepared to focus on producing EIA guidelines and support tools for use in the Nile Basin countries for development projects in the field of River Engineering. Environmental Management is a relatively new concept, and different countries pay varying attention, resulting in significant disparity in EIA guidelines and practices across the region. This results in two major problems;

Lack of unified and appropriate EIA guidelines to objectively assess the impacts of water development projects in the Nile Basin and Lack of suitable EIA tools to enable objective and scientific quantification of the environmental quality parameters.

However, with a wide range of expertise and information in the Nile Basin as well as support from the development partners, there is an opportunity to study and develop solutions to the prevailing problems. The main objectives of the research are therefore;

To enhance the best practices in Integrated Water Resources Management in the Nile Basin through improving the EIA process To contribute to the knowledge base in River Engineering To build capacity of human resources in the Nilotic Countries

The out come of the research will be verified by using the executed water resource development projects/environmental studies in the Nile Basin. The results will significantly contribute towards improvement of integrated water resources management, building and strengthening capacity in the Nilotic Countries for sustainable and environmentally sound development and management of the River Nile Basin.

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Research Proposal: Best EIA Practices and Guidelines

Table of Contents

Chapter Abstract Table of Contents 1.0 INTRODUCTION 1.1 General 1.2 Background 1.3 Problem Statement 1.4 Objectives 1.5 Significance DETAILED PROPOSAL 2.1 2.2 3.0 Outline Outputs

Page 2 3 4 4 4 5 5 5 6 6 6 7 7 7 11 11 12 13 14

2.0

METHODOLOGY 3.1 General approach 3.2 Detailed Methodology WORK PLAN 4.1 Sharing Responsibility 4.2 Activity Schedule BUDGET REFERENCES

4.0

5.0

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Research Proposal: Best EIA Practices and Guidelines

1.0

Introduction 1.1 General

This research proposal has been prepared by a team of professionals to address the emerging concerns among the Nile Basin countries on environmental impact assessments for river engineering projects in a regional context. It is part of the larger research topic Environmental aspects of River Engineering assigned to the Uganda Research Cluster under the Nile Basin Capacity Building Network for River. 1.2 Background

At the 1st Regional Workshop organized by Makerere University, Uganda and Nile Basin Capacity Building Network for River Engineering (NBCBN-RE), held during the period 16-18 June 2003, at Hotel Africana, Kampala, the Uganda Country Node for the Regional Research Cluster was launched. NBCBN-RE is a project aimed at establishment of a Network for capacity building in River Engineering within the broader scope of Capacity Building Network for Integrated Water Resources Management (IWRM) for the Nile Basin. The Network is managed jointly by information and knowledge suppliers, capacity builders and end users from the Nile Basin countries under the umbrella of the Nile Basin Initiative. The Network is linked to UNESCOs Friend Nile program and CAPNET. The Network has four components through which it will address its mission of capacity building; Education and training, Research, Provision of information and Coordination. The Network obtains its funding from; Fellowship fund, Node strengthening fund, Staff development fund, Staff exchange fund and Research fund. NBCBN-RE is focusing on strengthening the human resources development capacity and research capacity in a specific field of IWRM, namely River Engineering. A total of five research clusters have been launched in different countries, each with a specialized research topic as follows; River Morphology (Sudan), Hydropower (Tanzania), River Structures (Ethiopia), GIS and Modeling (Egypt), and Environmental Aspects of River Engineering (Uganda). Therefore, the Uganda Node was assigned to carry out research work under the field of Environmental Aspects of River Engineering. Research work will enable high-ranking professionals in the water sector and decisionmakers in the Nile Basin countries to address the problems in River Engineering projects to enhance best practices in the Integrated Water Resources Management to ensure sustainability of service delivery in a dynamic environment. The problems to be addressed being trans-boundary in nature, they call for regional corporation and coordination to ensure the contribution and sharing of benefits is equitably done.

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Research Proposal: Best EIA Practices and Guidelines

1.3

Problem Statement

Countries pay varying attention to the environment, resulting in significant disparity in the Environmental Impact Assessment guidelines used at regional level. On the other hand, there are several International EIA guidelines applied to different projects depending on the source of funding or project implementing agency. Arising out of this scenario is:

Lack of unified and appropriate EIA guidelines to objectively assess the impacts of water development projects in the Nile Basin Lack of suitable tools for EIA to objectively and scientifically quantify the environmental quality parameters.

The presence of a wide range of professionals in the water sector with relevant expertise together with the enormous amount of information available on environment will provide an opportunity to comprehensively study and develop solutions to address the problems. 1.4 Objectives

The main objectives of this research activity are;

To enhance the best practices in Integrated Water Resources Management in the Nile Basin through improving the EIA process To contribute to the knowledge base in River Engineering To build capacity of human resources in the Nilotic Countries

1.5

Significance

This research work will contribute tremendously towards building and strengthening capacity in the Nile riparian countries for an environmentally sound development and management of the River Nile Basin. The outcome of this research will enhance regional corporation in River Engineering projects and probably reduce regional conflicts related to management of shared waters.

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Research Proposal: Best EIA Practices and Guidelines

2.0 2.1

Detailed Proposal Outline

This proposal focuses on the stock of Environmental Impact Assessment (EIA) Guidelines; international, regional and local, and the adequacy of the Tools used in EIA. Detailed outline of the proposed activities is here below; 2.1.1 EIA Guidelines;

2.1.1.1 Critical Review of Sectoral EIA Guidelines in the Nile Basin countries. 2.1.1.2 Critical Review of EIA guidelines elaborated out by International Organizations in the field of interest. 2.1.1.3 Identifying main sectoral projects of interest in the NB countries. 2.1.1.4 Elaboration of tentative proposal for EIA guidelines. 2.1.2 Development of EIA Tools;

2.1.2.1 Critical assessment of EIA studies conducted in the NB countries; lessons learned, achievements and gaps. 2.1.2.2 Elaboration of a set of sectoral checklist based on review of and integration of existing guidelines in the region and those of the international organizations. 2.1.2.3 Elaboration of support tools for quantifying the impacts (use of environmental quality parameters as indicators of impact). 2.1.2.4 Development of a DSS for weighting/scaling system for application of EIA. 2.1.3 Proposed Activities for the second phase;

2.1.3.1 Improvement of DR EIA software based on the output of the first phase.

2.2

Outputs

There will be two major outputs for the first phase of research; 2.2.1 Proposed sectoral guidelines for water related projects of interest in the NB countries to be submitted through NBI to the concerned institutions for approval as a standard procedure for the Nile Basin. Improved tools for objective/scientific quantification of water development projects.

2.2.2

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Research Proposal: Best EIA Practices and Guidelines

3.0 3.1

Methodology General Approach

The research is aimed at providing improved and unified EIA Guidelines and Tools for EIA for use in the Nile Basin. The work was divided into two major elements; review of the EIA Guidelines and Development of EIA Tools, which allows a wide spectrum of professionals with various expertise to effectively contribute to the activity. Participants from various countries in the Nile Basin; Uganda, Sudan, Eritrea, Egypt, and Rwanda, have already confirmed their participation. This will accelerate the collection/acquisition, analysis of information and experiences from individual countries in areas relevant to the study. Delays which may arise out of having many participants working at a distance shall be minimized by improved communication methods and motivation. Each participating country will be required to select and engage a minimum of two professionals in this exercise to ensure prompt and effective execution of the tasks assigned. One of the two said persons shall be identified and work as a lead person and hence a focal point for all communications unless otherwise he delegates to the other. The two professionals in a given country will collect data/information, make consultations with relevant agencies and authorities, analyze data and prepare reports for forwarding to the research coordinator in Uganda.

3.2

Detailed Methodology

3.2.1 Main Tasks The method to be adopted will include the following tasks;

Literature review o Data Collection o Data Analysis Compiling Country Report Critical review of sectoral EIA guidelines o Final review and analysis o Preparation of Final Report

3.2.1.1 Literature Review Each country research team will review literature related to environmental impact assessment for water resources development projects (WRDP). The major focus will be on guidelines, procedures, methods of evaluation, for Environmental Impact Assessments, not forgetting the Environmental Laws and Regulations in the Nilotic
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Research Proposal: Best EIA Practices and Guidelines

countries. This will reveal a stock of information, experiences and documentation available in the Nile Basin and will form the knowledge base upon which our research activities will build on. Summary of the findings will form part of the country reports. a) Data Collection

Each country research team will collect available data which will include but not limited to:

List all water sector projects executed and proposed in the country, including; achievements, lessons learned, gaps, proposed future actions, and any relevant information. Collect documents related to environmental impact assessment (local and international guidelines on EIA, including study reports for various projects). Use questionnaires as well as interviews to collect information on the guidelines, procedures, methods of evaluation used in EIA in each country. The target sources of this information will be the Consulting firms and Environmental Agencies. Data analysis

b)

Each country research team will read the documents collected, internalize and come up with the following;

A summary of deficiencies and disparities if any, between the local and EIA guidelines. List of environmental parameters recommended and used List of methods of evaluation recommended and used List of special environmental factors (Social, Biological, Physical) that may need special attention at country level All references used must be quoted Compile Country Report Compile a country report on all the above findings which may be discussed with the Environmental Authorities at country level. The draft country report will then be forwarded to the research coordinator Uganda Node.

c)

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Research Proposal: Best EIA Practices and Guidelines

3.2.1.2 Critical Review of Sectoral EIA Guidelines a) Final Review and Analysis

The coordination unit will use the information provided in the country reports to execute their tasks, which are grouped into two; i) EIA Guidelines:

Study and analyse the country reports to identify the significant gaps, conflicts in guidelines for EIA. Compare guidelines from the NB countries with the international guidelines. Identify solutions to peculiar/special environmental problems in various countries. Develop a proposal for the Unified EIA Guidelines for the Nile Basin.

ii)

Development of EIA Tools:

Develop a set of sectoral checklist based on the analysis of existing local and international guidelines as well as addressing issues of integration. Develop a comprehensive list of environmental quality parameters (EQP) for the projects of interest in the Nile Basin. Develop scientific functions for each EQP; ie. Models describing the physical environmental parameter and the effects of the project on the parameter. In the past this has been done through mere weighting and qualitative/judgmental form of evaluating the significance. The basis of this idea is that all physical processes can be defined by deterministic/stochastic models or functions. At present value is lost by using judgmental methods to evaluate physical processes, hence a major part of the EIA process carries no value. If the parameters are defined by mathematical models, then simulation of various scenarios can be effected and hence the effects of any proposed project on the environment can be studied easily and decisions taken. Define an appropriate environmental impact unit (EIU) which has the same unit of measure to allow effective comparison of EQPs. Develop a transformation function to transform the changes in EQP into EIU Develop a Decision Support System (DSS) for application in EIA.

b)

Preparation of Final Report

A final report will be prepared by the coordination unit and submitted to NBI for approval. The key researchers will bring together their reports , which will then be integrated into one final report by the coordination unit. Prior to submission to NBI, the draft report will be discussed by a seven-member panel consisting of five researchers and two advisors from IHE-UNESCO.
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Research Proposal: Best EIA Practices and Guidelines

3.2.2

Means of Verification

The new EQP functions and DSS developed will be tested by applying them on successfully executed projects in various NB countries and comparing with the results of the EIAs of such projects. If any significant deviation is observed during verification, it will be dealt with separately.

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Research Proposal: Best EIA Practices and Guidelines

Work Plan

Research activities will be carried out with full participation of all member countries in the Nile Basin. For purposes of organization of the work, it was necessary to share responsibility for timely completion of the assignment. Below is the task assignment/responsibility sharing, followed by the activity schedule. The set herein shall be regarded as the maximum time allowed for each activity. Therefore members of the research groups will be encouraged to carry out their task in shorter times than indicated in the activity schedule.

4.1

Responsibility Sharing

The research topic for this group is EIA best practices and guidelines. This topic was further divided into two sub-topics:

EIA Guidelines: headed by Dr. M. Nalubega (Uganda), Development of EIA Tools: headed by Dr. M. I. Ahamed (Sudan),

The coordination unit for this research topic in Uganda comprises; R. Mugambe (coordinator), Dr. M. Nalubega, Eng. A. Rugumayo, Dr. J.A Mwakali. The other participating professionals are; Teclemariam Barhane (Eritrea), Kabalisa Vicent de Paul (Rwanda), Ahmed A. Mostafa (Egypt).

SN Activity 1.0 EIA Guidelines 1.1 1.2 1.3 1.4 1.5 1.6 Literature Review Data collection, analysis and consultations Review of EIA guidelines (Local and international) Country report writing Critical review of country reports Proposal writing for Unified EIA Guidelines for NB countries

SU ER RW EG Coordinator: Dr. M. Nalubega R R R R R R R R R R R R R R R R

UG

R R R R R R

Key: SN= Serial Number, SU=Sudan, ER=Eritrea, RW=Rwanda, EG=Egypt, UG=Uganda, WRDP=Water Resources Development Projects, DSS= Decision Support System, EIA= Environmental Impact Assessment, NB=Nile Basin.

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Research Proposal: Best EIA Practices and Guidelines

SN Activity 2.0 Development of EIA Tools 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 Literature Review Data collection, analysis and consultations Review of EIA studies Development of checklists and methods of evaluation in WRDP EIAs Country report writing Critical review of country reports Development of support tools for quantifying impacts Development of a DSS for environmental evaluation Report writing

SU ER RW Coordinator: R. Mugambe R R R R R R R R R R R R R R R R

EG UG

R R R R R

R R R R R R R R

Key: SN= Serial Number, SU=Sudan, ER=Eritrea, RW=Rwanda, EG=Egypt, UG=Uganda, WRDP=Water Resources Development Projects, DSS= Decision Support System, R=Responsible.

4.2

Activity Schedule
ACTIVITY SCHEDULE "Research on Best EIA Practices and Guidelines" Location Uganda Duration 1mth Aug'2003 Sept 20 60 Oct Nov Dec TIME-FRAME Jan'2004 Feb Mar Apr May Targeted Outputs Responsibility Coordinator Information and references country teams Reference documents and guidance country teams Guidelines, gaps, lessons, achievements country teams checklists and methods Reports

SN

Activity Prepare Research 1 Proposal 2 Literature review Data collection, analysis and 3 consultations

All countries 2wks

All countries 2wks

60

Review of EIA 4 guidelines and studies All countries 1mth Develop checklists and 5 method of evaluation All countries 2wks 6 Country report writing All countries 2wks Submission of country reports to Uganda 7 Node All countries 1wk Critical review of 8 country reports

120

24 60

country teams country teams

country teams Guidelines, gaps, special factors Proposed Guidelines for NB countries Improved Support Tools Improved DSS R. Mugambe, M. Nalubega

Uganda

1mth

40

Development of Unified 9 EIA guidelines Uganda Development of Sudan 10 support tools 11 Development of DSS Uganda

1mth 3mths 2mths

40 30

40 30 60 30 60

M. Nalubega M. I. Ahamed J. A. Mwakali R. Mugambe, M. Nalubega, J. A. Mwakali, A. Rugumayo

12 Report writing Uganda Monthly Man-day Input

1mth 20 0 120 144 60 40 70 130 90

80 Report 80

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Research Proposal: Best EIA Practices and Guidelines

5.0

Budget

The budget presented here below cover costs for remunerating researchers in all the five participating Nile Basin Countries: Uganda, Egypt, Sudan, Eritrea, Rwanda. Some funds are also required for consumables while writing reports, Internet services, telephone charges and local transport for coordination purposes. Modalities finance management shall be drawn up in the near future on the advice of the sponsor.
BUDGET RESEARCH ON BEST EIA PRACTICES AND GUIDELINES ITEM DESCRIPTION A: BASIC PAY 1 Research proposal preparation 2 Literature review 3 Data collection, analysis and consultations 4 Review of EIA guidelines and studies 5 Develop checklists and method of evaluation 6 Country report writing 7 Submission of country reports to Uganda node 8 Critical review of country reports 9 Development of unified eia guidelines 10 Development of support tools 11 Development of DSS 12 Report writing B REIMBURSABLES 1 Transport for coordination C MISCELLANEOUS 1 Internet services Consumables (paper, copying, printer cartridges, 2 CD's etc.) 3 Mailing documents 4 Utilities, telephones TOTAL month Item Item month 10 1 1 10 40 2,500 700 100 400 2,500 700 1,000 12,500 km 2,500 0.5 1,250 4,600 Man-day Man-day Man-day Man-day Man-day Man-day Man-day Man-day Man-day Man-day Man-day Man-day 30 60 100 100 50 20 60 60 100 25 60 10 10 10 10 10 10 10 10 10 10 10 10 200 600 600 1,000 250 600 300 600 1,000 1,000 500 1,250 UNIT QTY RATE US$ AMOUNT SUB-TOTAL US$ US$ 6,650

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