PLANNING AND MANAGEMENT OF LAKES AND

RESERVOIRS:

AN INTEGRATED APPROACH TO

EUTROPHICATION

A TRAINING MODULE UNEP-IETC UNEP International Environmental Technology Centre Osaka/Shiga, 2000

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Disclaimer

The designation of geographical entities in this publication, and the presentation of material, do not imply the expression of any opinion whatsoever on the part of the United Nations or the United Nations Environment Programme concerning the legal status of any country, territory, or its authorities, or concerning the delimitation of its frontiers or boundaries. The views expressed in this publication do not necessarily reflect those of the United Nations Environment Programme. The opinions, inputs as well as the recommendations provided by the government representatives participating in the Training Workshop did not state the official position of their countries, but their personal reflections as experts in their own capacity and as civil servants.

Cover Photograph

Barra Bomita Resrvoir, Brazil (Jose G. Tundisi) Sulejow Reservoir, Poland (Malgorzta Tarczynska)

IETC Technical Publication Series – Issue 12

ISBN 92-807-1810-X

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FOREWARD One of United Nations Environment Programme-International Environmental Technology Centre (IETC) mandates is related to the development, facilitation and transfer of Environmentally Sound Technologies (ESTs) for the conservation and environmental management of freshwater resources. Under the project “Planning and Management of Lakes and Reservoirs” (PAMOLAR) the book entitled “Planning and Management of Lakes and Reservoirs, An Integrated Approach to Eutrophication” was produced (IETC Technical Publication Series number 11) in 1999. This book provided a general overview about the problems and possible solutions of eutrophication in freshwater lakes and reservoirs. Knowledge needs to be transferred and information facilitated, hence capacity building becomes crucial in this process; based on this need, the present Training Module has been produced. The Module deals with the problems of eutrophication of lakes and reservoirs by considering its origins, consequences, solutions, and prognoses under an integrated approach. The training objective is to assist local authorities in their effort to prevent, reduce, and control the eutrophication of lakes and reservoirs through the application of sound management practices. This publication outlines a new approach to water resources management, particularly eutrophication, emphasizing the need to integrate and solve simultaneously social, cultural, economic, and other associated problems considering, at the same time, the natural setting of the lake or reservoir and its environment. The watershed approach, which should be adopted in successful management strategies for water quality in lakes and reservoirs, is highlighted. In January 2000, A Pilot Training Workshop took place in Naivasha, Kenya, using a draft version of the Training Module. At the time some of the experts involved in the preparation of the book as well as in the draft Training Module acted as lecturers in their respective areas of knowledge to ensure the best possible transfer and facilitation of knowledge. In total twelve participants including Government experts and sub-regional government representative from African countries participated in the Training Workshop and an expert from the University of Lodz in Poland participated as an Observer. Their comments, opinions and recommendations as experts were crucial in the finalization of the present Training Module. IETC sincerely hopes that local decision maker, government official or other professionals engaged in the planning and management of freshwater resources finds these publications to be useful and that they, in turn, could be used for training activities on eutrophication at a national, sub-regional or regional level.

Steve Halls Director UNEP-DTIE-IETC

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ACKNOWLEDGEMENTS

This training module is derived from and complements the book, PLANNING AND MANAGEMENT OF LAKES AND RESERVOIRS, AN INTEGRATED APPROACH TO EUTROPHICATION, published under IETC Technical Publication Series No.11

(1999) and also available on the IETC Web site (http://www.unep.or.jp) Experts contributing to the preparation of the training module are as follows: John M. Melack (Editor), Donald Bren School of Environmental Science and Management, University of California, Santa Barbara, CA, USA Francisco Brzovic, University of Chile, Santiago, Chile Genady Golubev, Moscow State University, Moscow, Russia Sven Jorgensen, Royal Danish School of Pharmacy, Denmark Charles Kolstad, University of California, Santa Barbara, CA, USA Christopher H.D. Magadza, University of Zimbabwe, Harare, Zimbabwe Monique Trudel, Educom Environnement, Montreal, Quebec, Canada Jose G. Tundisi, University of Sao Paulo at Sao Carlos, Sao Carlos, Brazil Participants in the Pilot Training Workshop held at Naivasha, Kenya, in January 2000 were as follows: Ahmed S.A. Hussein (Sudan), Jobo Molapo (Lesotho), Musa Kilonzo (Kenya), Ibraheem A. Olomoda (Niger), Peter Chola (Zambia), Fikremariam Kahsai (Eritrea), Alex M. Banda (Malawi), Vusumuzi Simelane (Swaziland), Judith Mwabeza (Tanzania), Lillian Idrakua (Uganda), Amie Jarra (Gambia), Malgonata Tarczynska (Poland), Vicente Santiago (UNEP-IETC), Yinka Adebayo (UNEP, Regional Office for Africa), Samuel M. Gitahi and Sarah Higgins (Lake Naivasha Riparian Asssociation), Christopher M. Warui (Lake Naivasha Growers Group), Mbogo Kamau (Kenya Marine and Freshwater Research Institute), Anderson Koyo (Kenya Wildlife Service), Ignatius Abiya and P.N. Chege (Kenya Wildlife Service Training Institute), Kitaka Nzula (Egerton University, Kenya), and Kenneth M. Mavuti, Otieno N. Amos, Murage D. Lionel, Judith Nyunja, Msafiri Wambua, G.M. Kivengea, Dorothy Nyingi, Wairimu Muohi and Chihenyo Muoyi (University of Nairobi). The project was fully financed by UNEP-IETC complemented by a contribution in kind from the University of California, Santa Barbara. The Kenya Wildlife Service Training Institute hosted the activity and the Regional Office for Africa of UNEP assisted in organization of the workshop.

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TABLE OF CONTENTS

INTRODUCTION 1 1. ENVIRONMENTAL ASPECTS OF EUTROPHICATION Introduction 2 Limnological Background 2 Characteristics of Eutrophication 4 Effects of Eutrophication 4 Assessment Approaches 6 Modeling Approaches 7 Study Questions 7 2. TECHNOLOGICAL ASPECTS OF EUTROPHICATION CONTROL Introduction 9 Sources of Pollutants 9 Wastewater Treatment Systems 9 Selection of a Proper Solution to Defined Wastewater Problems 14 Ecological Approaches to Sanitation 15 Waste Disposal Problems 17 Control of Land Use 18 Lake Restoration Methods 18 Sediment Control 19 Monitoring as a Management and Decision-Making Tool in Water Quality 19 Decision-Making for Eutrophication Management and Control 20 Study Questions 20 3. ECONOMIC ASPECTS OF EUTROPHICATION Introduction 21 The Economics of Eutrophication 21 Using Regulations and Incentives to Reduce Eutrophication 22 Choosing Regulations: Benefit-Cost Analysis 26 Measuring Costs and Benefits of Reducing Eutrophication 29 Study Questions 33 4. PUBLIC AWARENESS AND ENVIRONMENTAL EDUCATION Introduction 34 Environmental Public Awareness 35 Tools of Public Awareness Development 35 Information Sources and Dissemination 36

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Characteristics of the Most Effective Tools 36 Public Participation 36 Environmental Education 39 Funding 40 Study Questions 41 5. CULTURAL AND SOCIAL ASPECTS OF EUTOPHICATION Introduction 42 Societies and their Social and Cultural Aspects of Water 42 Study Questions 45 6. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK Introduction 46 Background 46 Strategies for Eutrophication Control 47 Institutional Framework 49 Regulatory Framework 50 Resources 51 Study Questions 52 7. MANAGEMENT ISSUES Introduction 53 Basic Components of a Management Structure 53 Lake Chivero, Zimbabwe 55 Lessons Learned from Lake Chivero 59 Management Experiences in Eastern and Central Europe 59 Management Concerns related to Climate Change 61 Study Questions 62

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INTRODUCTION

This training module deals with the eutrophication of lakes and reservoirs by considering its origins, consequences, solutions, and prognoses under an integrated approach. The objective is to assist local authorities in their effort to prevent, reduce, and control the eutrophication of lakes and reservoirs through the application of sound management practices. This publication outlines a new approach to water resources management, emphasizing the need to integrate and solve simultaneously the social, cultural, economic, environmental and other problems associated with eutrophication. The watershed approach is highlighted as a strategy to be adopted in the successful management of water quality in lakes and reservoirs. Eutrophication of lakes and reservoirs originates from inputs of nutrients, such as nitrogen and phosphorus. Accelerated eutrophication of lakes and reservoirs, experienced in most parts of the world and largely caused by agricultural run-off and untreated industrial and urban discharges, represents a serious degradation of water quality. Impairment of water quality due to eutrophication can lead to health-related problems and result in economic losses. The provision of access to clean and safe water is one of the major challenges of sustainable development. However, by 2025, the majority of the world’s population will live in water stressed areas. By 2025, there will be 33 megacities with populations above 8 million people and 500 cities with populations above 1 million people. The world’s population is growing at a rate of 100 million annually. Therefore, eutrophication is a chronic environmental problem that will not abate because there is no zero discharge option for humans, and organic and nutrient-rich wastes will continue to be added to lakes, rivers and reservoirs The prevention of eutrophication and the restoration of eutrophic lakes and reservoirs require proper planning and management of associated watersheds. Generally, human-caused eutrophication can be reversed through the elimination or reduction of nutrient supplies from sources such as municipal and industrial wastewater, agricultural wastes and fertilizers. However, it is not possible to eliminate all sources of nutrients. Therefore, sound management strategies require an understanding of the relationship between nutrient sources and degree of the eutrophication. The watershed, a physical unit with a hydrologically integrated ecosystem, has been adopted as a unit for integrating research and monitoring and for managing and administering water resources. Integrated management should be adaptive, producing new ideas and tools, and can only be achieved with local participation and political and managerial support. Education at all levels plays a fundamental role. Without the allocation of resources for educating and training scientists and engineers who manage water resources, there is no hope of finding solutions.

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Chapter 1 ENVIRONMENTAL ASPECTS OF EUTROPHICATION Introduction Eutrophication of inland waters ranks as one of the most widespread environmental problems. Symptoms of eutrophication include algal scums and toxins derived from algal blooms, massive infestations of certain aquatic plants, increased incidence of water-related diseases, turbid water, noxious odors and poor tasting water, depletion of dissolved oxygen, and fish kills. Eutrophication of lakes and reservoirs is the result of processes associated with enrichment with plant nutrients, mainly phosphorus and nitrogen. These nutrients enter lakes and reservoirs both as dissolved solutes and as compounds bound to organic and inorganic particles. Augmented nutrient inputs to inland waters usually result from modifications of watersheds, such as deforestation, agricultural and industrial development and urbanization. The scientific basis for evaluating the causes and impacts of eutrophication is derived primarily from limnology, the study of the physical, chemical, and biological processes in inland aquatic environments. Limnology has a long and successful tradition of applying scientific knowledge to the management of inland waters. Therefore, training in limnology should be an integral part of the education of those responsible for the management of lakes or reservoirs. Limnological Background Physical processes determine the extent of stratification and mixing in lakes, which, in turn, determine ecosystem structure and function, and ecosystem responses to enrichment. Based on vertical density profiles, limnologists divide lakes and reservoirs into an epilimnion (upper mixing layer), a metalimnion (region with a strong gradient in density), and a hypolimnion (region below the metalimnion). Flushing rate can have a significant influence on the responses of a lake to enrichment. Reservoirs and floodplain lakes can experience especially strong riverine flushing, at least in certain seasons. Shallow lakes with inflows and outflows can flush rapidly. Conversely, lakes which exchange water via seepage or those with large volumes, have much longer residence times. While inflows often supply nutrients that enhance eutrophication, rapid flushing can reduce the time available for plant growth and result in less accumulation of biomass. Biotic communities in lakes can be divided into those in the open water (pelagic region), those in deep-water sediments (profundal zone), and those in near-shore habitats (littoral zone). Responses to eutrophication vary among these areas, and physical processes and movements of organisms link the three regions. Pelagic organisms include phytoplankton, zooplankton, free-living and particle-attached bacteria, and fish. The

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biota inhabiting the profundal sediments includes a wide variety of invertebrates and microbes, and their abundance and species composition is influenced strongly by the extent to which the sediments are oxygenated or anoxic (oxygen-free). Emergent, submerged and floating vascular plants often are conspicuous in the littoral zone. These plants provide habitat for attached animals, algae and bacteria, and for free swimming fish and invertebrates. Limiting Factors Light and nutrients determine the growth of algae and aquatic vascular plants. Therefore, if these resources are in short supply, they can be considered limiting factors for plant growth. Although one factor seldom consistently limits plant growth under the varying conditions prevalent in aquatic ecosystems, dominant control, at a particular time and place, often can be attributed to a single factor. Light availability plays a key role in the development of submerged aquatic vascular plants, which are usually rooted and can access sediments for nutrients. Hence, waters made turbid by suspended sediments or algal blooms, or shaded by floating aquatic plants are not conducive to the growth of submerged, aquatic vascular plants. In contrast, floating plants are well positioned to receive sunlight, and derive inorganic nitrogen and phosphorus from the water. Phytoplankton abundance and species composition change as a function of the supply rate of nutrients and underwater light conditions. Some species of cyanobacteria, an algal group known to produce noxious conditions, can regulate their buoyancy and often become common as turbidity increases. External Loading to Lakes Rivers and streams are major routes of transfer of nitrogen and phosphorus to many lakes and reservoirs, and they integrate the various point and non-point sources of nitrogen and phosphorus within their watersheds. The mining of phosphate, the industrial fixation of nitrogen, and agricultural, industrial and domestic uses of nitrogen and phosphorus have increased during the last few decades. Other activities of modern societies, such as forest clearing, extensive cultivation and urban waste disposal, have enhanced the transport of nitrogen and phosphorus from terrestrial to aquatic environments. While point and non-point sources of nitrogen and phosphorus contribute to eutrophication, non-point sources often are dominant and present complex management challenges. Atmospheric deposition via rain, snow and aerosols is an increasingly important external source of nutrients to lakes and reservoirs. Major sources of nitrogen to the atmosphere include burning of fossil fuels and forests, operation of internal combustion engines, and volatilization from feed lots and fertilized fields. Augmented phosphorus deposition can originate from phosphorus-rich soil particles on fertilized and cultivated agricultural fields.

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Internal Recycling Internal recycling of nitrogen and phosphorus from sediments of lakes and reservoirs can sustain eutrophic conditions for long periods even if external loading is reduced. Empirical studies and models that incorporate biogeochemical and physical processes are usually employed to evaluate the likelihood that internal recycling will compensate for lowered external inputs. Shallow, warm water lakes with a history of receiving nutrient-rich inflows are especially likely to maintain high rates of internal recycling. Organic matter settles to the bottom and decomposes by aerobic or anaerobic processes. Decomposing organic matter reduces oxygen concentrations and can lead to or maintain anoxic conditions. Nitrogen and phosphorus release from the sediments to the overlying water is often increased under anoxic conditions. Characteristics of Eutrophication Lakes and reservoirs can be broadly classed as ultra-oligotrophic, oligotrophic, mesotrophic, eutrophic or hypereutrophic depending on concentration of nutrients in the body of water and/or based on ecological manifestations of the nutrient loading. These so-called trophic categories are often based on total phosphorus concentrations, chlorophyll concentrations and Secchi disk visibility. Strict boundaries for these groupings are often difficult to define because of regional variations in limnological parameters (See Figure 1.3 in IETC’s Technical Information Series number 11). In general terms, oligotrophic lakes and reservoirs are characterized by low nutrient inputs and primary productivity, high transparency and a diverse biota. In contrast, eutrophic waters have high nutrient inputs and primary productivity, low transparency, and a high biomass of fewer species with a greater proportion of cyanobacteria than in oligotrophic waters. Effects of Eutrophication Algal Blooms A pervasive result of enrichment of lakes with nutrients is increased growth of algae. Cyanobacteria are an especially troublesome group that are known to form unsightly surface scums, to cause severe oxygen depletion and fish mortalities, and to lead to death of cattle and other animals from ingestion of algal toxins. Filamentous species of cyanobacteria or green algae (chlorophytes) can clog filters in water treatment or industrial facilities. Dinoflagellates are another group of phytoplankton that can cause toxic conditions. One by-product of algal blooms can be high concentrations of dissolved organic carbon (DOC). When water with high DOC is disinfected by chlorination, potentially carcenogenic and mutagenic trihalomethanes are formed.

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Growth of Aquatic Plants Dense mats of floating aquatic plants, such as water hyacinth (Eichhornia crassipes), an aquatic fern (Salvinia molesta) and Nile cabbage (Pistia stratiotes ), can cover large areas near-shore and can float into open water. These mats block light from reaching submerged vascular plants and phytoplankton, and often produce large quantities of organic detritus that can lead to anoxia and emission of gases, such as methane and hydrogen sulfide. The material derived from these plants is usually of low nutritional quality and is not often an important component of the food for zooplankton or fish. Accumulations of aquatic macrophytes can restrict access for fishing or recreational uses of lakes and reservoirs and can block irrigation and navigation channels and intakes of hydroelectric power plants. Anoxia A by-product of increases in the abundance of algae and aquatic macrophytes is generation of more organic matter. As this organic matter decomposes in the water column or in the sediments, the concentration of dissolved oxygen decreases. In shallow lakes and where plant production is large, complete deoxygenation of the sediments and water can occur. Such conditions are not compatible with the survival of fishes and invertebrates. Moreover, under anoxic conditions, ammonia, iron, manganese and hydrogen sulfide concentrations can rise to levels deleterious to the biota and to hydroelectric power facilities. In addition, phosphate and ammonium may be released into the water from anoxic sediments, further enriching the lake. Species Changes Shifts in the abundance and species composition of aquatic organisms often occur in association with alterations of ecosystems caused by eutrophication. Reduction in underwater light levels because of dense algal blooms or floating macrophytes can reduce or eliminate submerged macrophytes. Changes in food quality associated with shifts in algal or aquatic macrophyte composition, and decreases in oxygen concentration often alter the species composition of fishes. Elevated Nitrate Concentrations High concentrations of nitrate resulting from nitrate-rich runoff or nitrification of ammonium within a lake can cause public health problems. The inhibition of the ability of infants to incorporate oxygen into their blood can result in a condition called blue baby syndrome (methylhaemoglobinaemia) if nitrate levels are above 10 mg per liter in drinking water. The condition can be life-threatening. Increased Incidence of Water-related Diseases In some situations eutrophication stems from untreated human sewage reaching lakes and reservoirs. If a portion of the population producing the sewage suffers from infections

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transmitted directly or indirectly via water, the spread of human diseases occurs. While such situations are especially prevalent in tropical countries where poverty is common and the number of diseases is large, avoiding the spread of disease via water is a concern for all countries. Indeed, municipal water supplies that pipe water throughout a city from central storage reservoirs are highly susceptible to spread of diseases, such as typhoid or cholera, that can be seeded by seemingly negligible fecal pollution from infected persons. Increased Fish Yields Yields of fish tend to increase as primary productivity increases in lakes, reservoirs and in aquacultural systems. Assuming that the fish whose yields are improved are edible and marketable, the increase in primary productivity often associated with nutrient enrichment can have a positive result up to a point (see Figure 1.7 in IETC’s Technical Information Series number 11). Assessment Approaches The ambient concentrations of nutrients sometimes can provide an indication of the level of eutrophication. Often the limiting nutrient is reduced to very low concentrations, while nutrients less in demand have higher concentrations. However, nutrients are present in different forms, which vary in their relevance to assessing eutrophication. In most studies of rivers and standing waters, the forms of phosphorus and nitrogen are operationally defined based on available analytical methods. The distinction between particulate and dissolved forms depends on the porosity of the filter used to separate the two fractions; filters with porosities approximately 0.5 µm are commonly used. Total dissolved phosphorus is often divided into soluble reactive phosphorus, which can sometimes be considered dissolved inorganic phosphorus, and dissolved organic phosphorus. Similarly, total dissolved nitrogen includes dissolved inorganic ammonium, nitrate, and sometimes nitrite and urea, and dissolved organic nitrogen. Total particulate phosphorus and nitrogen are determined as particulate inorganic phosphorus and nitrogen and particulate organic phosphorus and nitrogen. In some cases, concentrations of total phosphorus or nitrogen are measured; these include all the dissolved and particulate forms. However, only a portion of the total phosphorus or nitrogen is biologically available. The nitrogen to phosphorus ratio in particulate organic matter suspended in lakes is a potentially valuable index of the nutritional status of the phytoplankton. Healthy algae contain approximately 16 atoms of nitrogen for every atom of phosphorus. Ratios of nitrogen to phosphorus less than 10 often indicate nitrogen deficiency and ratios greater than 20 can indicate phosphorus deficiency. Often nitrogen to phosphorus ratios are low in eutrophic lakes and high in mesotrophic and oligotrophic ones, and blooms of nitrogen-fixing cyanobacteria have been induced experimentally in lakes after reducing nitrogen to phosphorus ratios in inflows. The rate of uptake of radioactive phosphate by particulate matter suspended in lakes is a widely used index of phosphorus demand by the plankton. Turnover times are typically rapid when phosphorus is in short supply and are slow when supply is adequate.

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Nutrient limitation can be assessed by experimental manipulation of nutrient levels. Experiments can be carried out on scales ranging from small flasks to enclosures containing many liters to whole lakes. Large volume experiments provide more realistic conditions than small containers. Enclosures with volumes ranging from tens to thousands of liters can be replicated with experimental designs that permit discrimination of interacting factors leading to changes in water quality. Phytoplankton species composition changes in response to eutrophication. Although general trends in the development of certain assemblages of phytoplankton are associated with trophic status, particular phyla or classes cannot be assigned exclusively to one level of eutrophication. While cyanobacteria are commonly observed under eutrophic conditions, other species can be important. Modeling Approaches A model is a graphical, statistical or mathematical approximation of a real lake or reservoir. Models used for understanding eutrophication focus on nutrient loading from the watershed and on processes within the lake or reservoir. While these models have considerable differences in their complexity, in most situations, simpler approaches are sufficient and are often the only practical option. Simple empirical regression models have been developed to predict the concentration of total phosphorus in a lake or reservoir as a function of annual phosphorus loading. Extensions of such models offer predictions of chlorophyll concentrations in phytoplankton, Secchi disk visibility or dissolved oxygen levels. Dynamic simulation models incorporate mathematical descriptions of physical, chemical and biological processes in lakes and reservoirs. If properly designed and validated, these models can assist with management decisions. However, the data requirements and process-level understanding demanded by dynamic models can be formidable. Evaluation of a model requires careful examination of the assumptions underlying the model and a rigorous analysis of the way the model responds to a range of inputs. It is prudent to be skeptical of their predictive power and realism. Study Questions 1. What measurements should be made to assess the level of eutrophication in a lake or

reservoir? 2. Since the eutrophication control employed will depend, partially, on the levels of

nitrogen or phosphorus, how can their relative importance be assessed?

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3. What precautions should be taken before using a model to guide a management decision?

4. What type of training is essential for a water quality decision-maker? 5. What are the implications of eutrophication for lakes and reservoirs? 6. Why is it important to understand the process of eutrophication?

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Chapter 2 TECHNOLOGICAL ASPECTS OF EUTROPHICATION CONTROL Introduction This chapter focuses on possible solutions to the eutrophication problems presented in Chapter 1. The solutions include methods to remove nutrients from wastewater and from non-point sources, techniques to reduce emissions at the source and methods to improve eutrophic lakes and reservoirs. Technological and cost-moderate approaches, which are directly applicable to developing countries, are emphasized. Guidelines, incorporating decision-making trees, are offered on how to select a solution to a specific environmental problem. Important recommendations are as follows: • Expect that a successful strategy will require several approaches. • Expect that effective management will require the application of a combination of

technologies. • Set up an environmental management plan at an early stage. • Consider prevention instead of correction, as ecosystem restoration is often costly. • Proper ecological knowledge of the ecosystem is a prerequisite for sound

environmental management. • An optimum solution can only be found if the entire watershed is considered. Sources of Pollutants The first step in lake and reservoir management of eutrophication is to assess the inputs of nutrients and their effects. A model of eutrophication may be helpful (for further discussion about modeling see Chapter 1). The measurement and modeling of sources can be used to help assess the priority with which to reduce the sources. Ecologically sound planning considers environmental issues at an early stage of planning and thus prevent pollution problems before they actually emerge. Wastewater problems can be solved by “end-of-the-pipe” technology or ecotechnology. Ecotechnology encompasses (a) ecologically sound planning, (b) use of natural or constructed ecosystems to reduce inputs, and (c) restoration of ecosystems. Natural or constructed wetlands are being used to treat wastewater and drainage water from non-point sources including agriculture. Restoration methods can improve lakes and reservoirs faster than otherwise would be the case, but they cannot be used alone. If the inputs are not reduced simultaneously, the restoration methods will have only short-term effects. Wastewater Treatment Systems As wastewater treatment is often costly (Table 1), the maximum allowable concentrations should not be set significantly lower than those that the ecosystem can tolerate without adverse impacts. The costs in Table 1 are valid for treatment of 2000 m3 per day, i.e., municipal wastewater for about 10,000 inhabitants. Costs per 100 m3 for smaller and larger communities will vary somewhat.

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Table 1. Generally applied wastewater treatment methods for reduction in organic matter and nutrients. BOD5 means biological oxygen demand over 5 days. ______________________________________________________________________ Method Goal Efficiency % Costs (year 2000)

with good practice ($/100m3) ______________________________________________________________________ Mechanical BOD5 reduction 20-35 3-8 treatment Biological treatment BOD5 reduction 70-90 25-40 Flocculation Phosphorus removal 30-60 6-9 BOD5 reduction 40-60 Chemical Phosphorus removal 65-95 10-18 precipitation BOD5 reduction 50-65 Al2(SO4)3 or FeCl3 Chemical Phosphorus removal 85-95 12-18 precipitation BOD5 reduction 50-70 Ca(OH)2

Ammonia stripping Ammonia removal 70-95 25-40 Nitrification Ammonium � nitrate 80-95 20-30 Denitrification Nitrogen removal 70-90 15-25 Ion exchange Phosphorus removal 80-95 70-100 Nitrogen removal 80-95 45-60 Waste stabilization Reduction of BOD5 70-90 2-8 ponds Nitrogen removal 50-70 Constructed Reduction of BOD5 20-50* 5-15 wetland Nitrogen removal 70-90 Phosphorus removal 0-80** Activated carbon Reduction of organic 40-95 60-90 adsorption toxic compounds, BOD5 _____________________________________________________________________ * Presumes a pretreatment (BOD5< about 75 mg/l) ** The removal is dependent on the adsorption capacity of the soil applied and whether harvest of the plants is foreseen.

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Waste Stabilization Ponds (WSPs) Traditionally, waste stabilization ponds are built as flow-through systems with the following processes being utilized in the pond system: settling (mainly in the first ponds), anaerobic decomposition of organic matter (mainly in the first ponds), aerobic decomposition of organic matter (mainly in the last ponds, where algae are present and produce oxygen), uptake of phosphorus and nitrogen by algae (maturation ponds), evaporation of ammonia (mainly where pH is high, i.e., in the last ponds), settling of algae, and denitrification (in the anaerobic zones). High removal efficiencies of biological oxygen demand over five days (BOD5), of chemical oxygen demand (COD), of microorganisms, of nitrogen, and of phosphorus may be obtained provided that the guidelines for design and maintenance are followed. Removal of phosphorus by WSPs can be in the range of 20 to 50% but depends on removal of algae from the effluent. Enhanced removal of phosphorus, which is often required for the discharge of wastewater to lakes and reservoirs, can be achieved by addition of precipitants such as calcium compounds and clay minerals, which often have local sources. Constructed Wetlands The transition zones between lakes and terrestrial ecosystems are crucial for protection of lakes against anthropogenic impacts. Transition zones prevent, to a certain extent, entry of undesirable substances into lakes, and, therefore, should be preserved. Hence, construction should not be permitted in a zone 50 to 100 m from shorelines. Non-point or diffuse pollutants from the environment flows toward lakes, but the transition zone is able to transform or adsorb the pollutants. The most important processes occurring in the transition zone are as follows: • Nitrate is denitrified by the anaerobic conditions. • Clay minerals adsorb ammonium. • Organic matter adsorbs phosphorus compounds • Biodegradable organic matter is decomposed aerobically or anaerobically by

microorganisms. • Macrophytes store nutrients. • Soils with a high calcium, magnesium, aluminum or iron content can adsorb

phosphorus. • Suspended matter is removed along with associated nitrogen and phosphorus. The denitrification potential of wetlands is often high. As much as 2,000 to 3,000 kg of nitrogen in nitrate can be denitrified per hectare of wetlands per year. In addition, denitrification is accompanied by oxidation of organic matter. However, phosphorus, bound in organic matter or adsorbed to the organic matter, may be released. The siting of artificial wetlands must be carefully planned because their effects are dependent on the hydrology and on the landscape pattern. Non-fertile land of moderate

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cost should be used. Constructed wetlands can be either surface or subsurface wetlands. Subsurface wetlands are based on flow of water through the soil, and oxygen is provided for biological decomposition via the root network. Subsurface wetlands are usually of higher efficiency than surface wetlands but require more maintenance to avoid clogging. When wetlands with open water are used, mosquitoes should be controlled, for instance, by stocking of insectivorous fish. Harvest of wetland plants will increase the efficiency of nitrogen and phosphorus removal. The harvested plants can be used to feed domestic animals, to produce methane or be composted. The combination of WSPs and constructed or reclaimed wetlands are attractive for the following reasons: • Wetlands offer a significant reduction of suspended matter from WSP pond effluents. • Wetlands buffer the pH of the effluent from WSPs. • Effluents from WSPs often need a polishing step as a post treatment. Wetlands offer a

cost-moderate solution. Mechanical-Biological Treatment Methods Mechanical-biological treatment is widely used in industrialized countries and in developing countries where the cost of land is high (see the decision tree in Figure 1). Treatment costs of 28-48 U.S. $ / 100 m 3 are about 2-3 times the cost of treatment based on the combination WSPs and constructed wetlands. However, where the cost of land is high and proper maintenance of the facilities is maintained, mechanical-biological treatment could be preferable. Mechanical treatment combines the use of a sieve, a grid chamber (with a retention time about 20 minutes during which sand settles and grease is removed) and a sedimentation chamber where finer particles are removed during a retention of 2-6 hours. Biological treatment follows mechanical treatment and uses air to accelerate the decomposition of organic matter. Two alternative processes are an activated sludge treatment or a trickling filter. The trickling filter employs uptake of air from the atmosphere by recycling the water over a large surface, while activated sludge uses input of air from an aerator or compressor. A retention time of 2-6 hours is usually required to obtain 85-95% removal of BOD5. The biological step is followed by a secondary sedimentation where suspended matter resulting from the biological activity is removed. The sludge is partly recycled to ensure a high concentration of active microorganisms in the biological step. The sludge can be used to produce methane, and the stabilized sludge can be applied as soil conditioner, provided that it does not have too high a concentration of toxic substances (for further details see chapter 6 in IETC’s Technical Information Series number 11). A mechanical-biological treatment plant can be modified and expanded to include removal of phosphorus and nitrogen. By addition of a precipitant in the grid chamber, it is possible to achieve a 75-95% removal of phosphorus during the primary sedimentation. Since phosphorus will be present in the stabilized sludge, it improves the quality of the sludge as a soil conditioner. Nitrogen removal by nitrification and denitrification is possible by increasing the retention time considerably in the biological step and by

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switching between aerobic and anaerobic conditions. Nitrification requires an increased recycling of sludge, as the sludge age has to be increased to about ten days. These modifications lead to an increase in treatment costs by a factor of 2-3 (see Table 1).

Scale ? Large Medium Small High cost of area Low cost of area Go to Figure 2. High cost plant acceptable Low cost solution required Mechanical-biological-chemical P-removal required; Treatment probably the best solution Partial BOD5–removal needed High BOD5 and P- Chemical precipitation

removal required (Recommended as a first treatment step under all circumstances)

Chemical precipitation in combination with WSPs or wetland Figure 1. Decision tree for the selection of wastewater treatment methods to be used for medium and large-scale facilities.

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Is the treatment of industrial wastewater with heavy metals

or organic toxic compounds needed? Yes No Treatment by use of High BOD5 Low BOD5 removal required WSPs, wetlands, removal required chemical precipitation and/or adsorption should be considered Area limited or Area available Correctly designed

high cost of land at moderate cost WSPs sufficient WSPs + aeration WSPs + wetland P-removal needed?

Yes No See Table 2. Nitrogen removal needed? Yes: see Table 3. No

Figure 2. Decision tree for the selection of wastewater treatment methods Selection of a Proper Solution to Defined Wastewater Problems The selection of the best solution to the municipal wastewater problem requires quantitative estimation of the relationship between the quality of the wastewater and the receiving water. The pertinent question is how much phosphorus, nitrogen, and BOD5 can be permitted in the treated wastewater to ensure acceptable water quality for the receiving water body. Figure 1 and 2 present two decision trees that may facilitate the selection of a proper solution.

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Table 2. Treatment processes for the removal of phosphorus by cost-moderate methods _____________________________________________________________________ Method Expected efficiency ______________________________________________________________________ Precipitation in WSPs 50-75% Harvest of wetlands (2-4 times/year) 40-180 kg P/ha Application of soil with high adsorp- tion capacity for phosphorus 100-300 kg P/ha Direct precipitation in conjunction with mechanical-biological treatment 75-95% ______________________________________________________________________ Table 3. Treatment processes for the removal of nitrogen by cost-moderate methods ______________________________________________________________________ Method Expected efficiency ______________________________________________________________________ Denitrification in a constructed wetland 1,000-2,500 kg N/ha* Harvest of wetlands (2-4 times/year) 250-1,200 kg N/ha ** Nitrification and denitrification 75-90% ______________________________________________________________________ * based mostly on experience from temperate climate (summer conditions). ** based on the concentration of nitrogen in the common wetland plants; number of harvests is dependent on climate Ecological Approaches to Sanitation Water-borne diseases are a common cause of illness and death in the developing world. Approximately 90% of the sewage in cities and 95% of the total amount of sewage in developing countries is discharged untreated. Hence, there is an urgent need for proper operation of conventional sewage treatment facilities and for new solutions to sanitation. Flush-and-discharge systems make the problem of sanitation and wastewater worse because a relatively small amount of dangerous material (i.e., human feces) is allowed to pollute a large amount of water. Yet, this approach is promoted in cities and towns around the world, even in poor countries where people cannot afford it and in arid areas where there is insufficient water for drinking. Ecological sanitation is an alternative appropriate in some circumstances. The approach is not to mix the various components of wastewater: 1) human urine and feces (in the toilet), 2) human excrement and water, 3) black water (from toilets) and grey water (from kitchens and laundries), 4) household waste and industrial waste, and 5) waste and rainwater.

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Urine contains forms of nitrogen and phosphorus which are readily available to plants. Urine diluted by water can be used directly in gardens or in agriculture or it can be stored for later use. If it cannot be used as a fertilizer, it may be infiltrated into the ground. Urine is separated from feces by use of a dry toilet with urine separation. Feces are preferably processed in two steps before they are reused: dehydration locally in pits, followed by high temperature composting to ensure destruction of pathogenic organisms. The compost product can be used as a fertilizer or soil conditioner. Grey water from households has a much lower BOD5 and phosphorus and nitrogen concentrations than mixed wastewater. It is therefore easier to treat grey wastewater by the methods already presented. Other possibilities are use of wetlands directly or for infiltration. Grey wastewater may be used after simple filtration (for example, by settling) for irrigation. By not mixing storm water and wastewater, one can store, treat, and recycle storm water locally. However, maintaining separate streams requires two systems of drains and is expensive. Industrial wastewater may contain toxic chemicals and must, in most cases, be treated at the source. Wastewater Municipal wastewater Industrial wastewater Wastewater Stormwater Treatment at the source Black wastewater Grey wastewater Used for irrigation or treated in wetlands Feces Urine Treated in WSPs and/or in wetlands Composting followed by Used directly as fertilizer use in agriculture Figure 3. The principle of the not-to-mix approach: municipal and industrial wastewater are not mixed. Storm water and wastewater are not mixed. Grey and the black wastewater are not mixed and feces and urine are not mixed. Available methods (not necessarily the best solution in all situations) for each fraction are indicated in italics.

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Waste Disposal Problems Solid waste may be classified as follows: • Sewage sludge originating from mechanical-biological-chemical treatment, chemical

treatment, or WSPs. • Solid wastes produced by urban and rural households from single family dwellings,

villages and small-to-medium towns. Non-treated solid waste can accumulate in large amounts. The non-treated waste becomes a non-point source of nutrients and other compounds, which contribute to eutrophication and contamination of freshwater resources. Accumulation of solid waste may be reduced by recycling, by changing production methods, by decomposition to harmless compounds or by disposal. Solid waste Sludge Contains toxic substances Contains toxic substances Contains toxic substances above the standards below the standards above the standards Reuse and recycle as Reuse and recycle as Find sources and treat much as possible much as possible industrial wastewater followed by composting accordingly Find sources and eliminate them

Use landfills with membrane Use as a soil conditioner not possible before standards are met – use

landfills with membrane

Figure 4. Decision tree for the selection of appropriate solutions to solid waste problems of small to medium towns The above discussion is summarized in a decision tree shown in Figure 4. Reusing and recycling, in combination with composting, is a central solution, provided that the concentrations of toxic substances can meet the standards. Anaerobic digestion of sludge and air-drying may be used as a pretreatment of the sludge, but it is not included in the decision tree. Incineration may replace composting, but for medium and small towns and villages composting is more attractive. Proper control at the source of the problems associated with the presence of toxic substances is also a key to acceptable management of the solid waste.

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Control of Land Use Proper solutions of the wastewater and solid waste problems are a prerequisite, but are not sufficient, to ensure a high water quality in aquatic ecosystems. The application of the solutions mentioned above must be combined with a comprehensive land use plan. The entire watershed influences water quality. Intensive agricultural or industrial use of the watershed will inevitably influence the quantity and quality of the water and the ability of the ecosystem to cope with pollutants. Green areas are therefore not only important for recreation, but also for reduction of diffuse pollution which results from intensive use. A mosaic of land uses should be represented in the landscape to ensure healthy ecosystems and sustainability. Lake Restoration Methods A detailed overview of methods applicable to aid recovery of lakes is given in EITC’s Technical Publication Series number 11. A summary of restoration methods is given in Table 4, and a few important, relatively cost-moderate, methods are mentioned below. Siphoning of hypolimnetic water requires installation of a suitable pipeline from the bottom of the lake to the outlet. The method is not recommended if there are downstream lakes unless the water is treated. It is only applicable to lakes with a thermocline (or halocline) for a significant period. Harvest of macrophytes is recommended, particularly in cases where the macrophytes can be used to feed domestic animals or for production of methane. Herbicides should not be applied as they contaminate water and biota. Biomanipulation, i.e., removal of small fish feeding on zooplankton and stocking of carnivorous fish, is another cost-moderate method which is only effective in the total phosphorus range of 0.05-0.15 mg/l. However, the potential hazards of introduced species must be carefully considered. Sediment remediation can be carried out either by in situ methods or by removal of the sediment from the bottom of the lake or reservoir. In in situ remediation, air, or a mixture of air and oxygen, is pumped and released at the sediment-water interface to eliminate anoxia in the bottom water. Capping sediments with clean material is one technique for sediments polluted with metals and organic compounds. Chemical treatment has been used to immobilize phosphorus at the sediment-water interface. Additions of chemicals, such as ferric chloride and calcium nitrate, to the sediments can be used as chemical treatment. However, the treatment must be designed for a specific lake.

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Table 4. Methods for restoration of lakes and reservoirs. Method Application Costs In situ precipitation often not applicable to shallow lakes low Removal of sediment limited to shallow lakes very high Algicides not recommended medium Coverage of sediment general medium-high Shading by trees has only long-term effects for small lakes very low Wetlands removal of nutrients from inflow water medium Aeration only applicable to lakes with thermocline high to very high Siphoning only applicable to lakes with thermocline medium, high if P- removal is required Biomanipulation only in the P-range 0.05-0.15 mg/l usually low Diversion the problem is moved not solved case dependent ______________________________________________________________________ Sediment Control The prevention of soil erosion in watersheds draining into lakes is an imperative step in the control of non-point sources of nutrients and agricultural chemicals. Human-made changes to river and stream banks, and changes in flow characteristics result in increased erosion of exposed riverbanks. Changes are caused by removal of tree cover and of ground cover for agricultural production. Cattle, sheep, and other animals with free access to streams and rivers cause bank collapse and damage. To prevent this type of erosion, fences to exclude access of animals to the stream or river are required; access for drinking must be provided by construction of an access point. Monitoring as a Management and Decision-Making Tool in Water Quality and Eutrophication In most countries, including most developing countries, monitoring of water quality has occurred for many decades. In the past, and even today in some lesser developed countries, monitoring has been mainly focused on public health issues with a principal interest in microbiological vectors that are the main causes of water-borne diseases. In such cases, water quality monitoring is generally under the control of ministries of health, and the larger dimensions of aquatic pollution may not be included in such programs. However, as countries become more developed and the range of aquatic impacts from water pollution increase, monitoring becomes more comprehensive with the hope that it will provide information on a wide range of water quality management issues. Unfortunately, in many countries, including many developed countries, it has been the experience of many professionals that monitoring tends to be poorly focused and without clear sets of program objectives. The consequence is that these programs are inefficient and do not provide the level of information that is needed to provide an effective tool for managing environmental concerns.

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Decision-Making for Eutrophication Management and Control The scientific understanding of eutrophication, at least in temperate middle latitudes, is sufficiently well known that the control of eutrophication is a matter of political will, necessary finance, and effective institutional organization. The principal technical deficiencies, especially in developing countries, tend to be: (a) the absence of adequate water quality standards (and enforcement of these) against which to assess the severity of eutrophication, and (b) the absence of data with which to develop remedial options. Monitoring programs should reflect the types of decisions that need to be made to carry out the following management tasks: • Identify relative contributions of different pollutant sources. • Allow calculation of nutrient input/output budgets into the receiving river, lake, or

reservoir. • Predict change in ecological condition that would result from specific management

interventions. • Assess alternative management interventions in terms of cost/benefit. Study Questions 1. Explain why a proper environmental strategy requires a wide spectrum of approaches. 2. Explain why prevention is more cost moderate than solving the problems after they

have emerged. 3. By which methods can ammonia be removed from wastewater? 4. Which advantages have WSPs and constructed wetlands as applicable technology for

developing countries? 5. Which components can be removed by WSPs and by constructed wetlands? 6. Give three major advantages associated with the use of ecological sanitation. 7. Give a solution to solid waste and sludge problems for a medium-sized town in which

both sludge and waste contain toxic substances above the standards. 8. What is gray wastewater and black wastewater? Separate treatment of these two types

of wastewater offers what advantages? 9. Why should we consider the entire drainage area to develop a good environmental

strategy? 10. What are some important functions of riparian wetlands.

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Chapter 3 ECONOMIC ASPECTS OF EUTROPHICATION Introduction The economic dimensions of eutrophication are considered in this chapter. As was described in Chapter 1, eutrophication is viewed as a problem associated with domestic, agricultural and industrial activities: factories processing foodstuffs, fertilizer application in agriculture and municipal sewage discharge. Furthermore, eutrophication can detrimentally affect a range of activities that involve the direct or indirect use of water. Factories discharge effluent to save money, agriculture applies inorganic fertilizer to boost output and profits, waste from raising animal is costly to collect and treat, sewage is inadequately treated because of the cost of more complete treatment and, in many cases, the reluctance of customers to bear the extra cost. Water users incur higher costs or tolerate lower water quality as a result of eutrophication. This chapter addresses two basic questions faced by regulatory authorities in designing policies to reduce nutrient loadings. Since those generating pollutants are often doing so for economic reasons, an important question concerns what economic incentives can be put in place to encourage a reduction in nutrient loadings. A second question concerns how a regulatory authority weighs all of the positive and negative economic effects of reducing nutrient loadings in order to choose an appropriate set of interventions in the economy. The sectors producing pollution are often important to local economies; imposing extra costs may lead to job loss and other undesirable consequences. On the other hand, many sectors of the economy as well as residents will benefit from reductions in eutrophication. Regulatory authorities will want to evaluate both the positive and negative aspects of controlling eutrophication. This chapter consists of three parts. In the first part we review the problem of eutrophication through the lens of economics, introducing concepts and highlighting the economic reasons for eutrophication problems. In the second part we turn to the economic dimensions of regulatory approaches for controlling eutrophication. In the third part we consider how the costs and benefits of controlling eutrophication can be measured and tallied. The Economics of Eutrophication As was explained in Chapter 1, nutrients leading to eutrophication are generated as byproducts of industrial and agricultural activity as well as being contained in the discharge of municipal waste. In all of these cases, nutrient generation is done inadvertently or to save money. For example, agricultural processing generates large volumes of waste which at a cost may be composted or treated; it is cheaper to simply discharge the waste into a water body. Nutrient discharges which lead to eutrophication degrade the quality of water bodies causing harm to water users. Harm may be increased costs for water users, such as hydroelectric facilities or drinking water suppliers. Fishermen may suffer yield losses

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that translate into lost income. The well being of people may suffer from lost recreation opportunities or a loss of biodiversity. The phenomenon whereby one agent (a farmer or a factory) discharges pollution to reduce its own costs but in the process increases costs for others is known as a negative externality. For example, a coffee processing facility saving money by discharging its wastes into the lake is increasing the costs of those who use the lake. The coffee waste discharge is an externality, increasing costs for water users. If the coffee processor took the effect of its discharges into account, it would most likely take steps to treat the waste and there would be no problem. But in fact, those effects on others are external effects which are not considered when the coffee producer decides how to operate. Thus, it is necessary for a regulatory body to correct the externality. A distinction should be made between point and non-point sources of nutrients. Point sources, defined as a stream of pollution coming from a pipe or other "point" are easier to control because of the ease of monitoring and the ease with which the responsible party can be identified. Non-point sources, such as agricultural fields, are more difficult to deal with because of problems in identifying which of many possible sources is responsible for the pollution and also because of the difficulty in measuring discharges. Using Regulations and Incentives to Reduce Eutrophication A government can use various tools to reduce nutrient loadings to appropriate levels. It is not sufficient to simply decide that nutrient inputs into a certain lake should be cut in half. It is necessary to develop techniques for translating this objective into actions that specific polluters undertake. An agency may rely on direct regulation of polluters or institute economic incentives, such as a tax reduction for investment in pollution control. We will use the term "instrument" to describe a specific approach an agency chooses to control the polluter so that discharges are brought under control. For example, the agency may choose a tax instrument or a direct regulatory instrument. We discuss these below. Classification of Instruments. There are three main categories of environmental management instruments: • Direct regulatory instruments: Direct regulatory instruments, also called"command and control" instruments, correspond to institutional measures oriented to influence directly the environmental behavior of economic agents (polluters) in order to regulate production processes or product characteristics, and/or limit the discharges of certain pollutants to the environment, and/or restrict activities in certain periods of time or areas. These actions require a previous definition of environmental standards incorporating government environmental objectives with reference to human health, natural resource conservation, ecological considerations and other issues. For instance, pollutant quantities that can be discharged are specified, technologies that can be implemented by particular industries are

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prescribed, or criteria or quotas are authorized when exploiting natural resources. Direct regulatory instruments include emission standards, permits and licenses, land use and water control, and urban planning, among others. An instrument that sets an upper limit on the nutrient level in water discharges from coffee processing facilities would be an example of a direct regulatory instrument. • Persuasive instruments: Persuasive instruments consist of non-economic programs, activities and actions oriented to make agents internalize environmental responsibilities in their decision-making processes. Information, education, training and volunteer agreements among government and entrepreneurs are valid examples of this group of instruments. The perception that a company is a good company or a green company can provide an incentive for them to reduce emission levels. Governments may have a role in making consumers aware of the deleterious effects of eutrophication and encourage consumers to place pressure on those from whom they buy their goods. This type of incentive process corresponds to the persuasive group of instruments; however, is difficult to manage and will usually only occur over the long run. It is not suitable where the problem is immediate. There may also be opportunities for direct bilateral negotiation between the government and the polluter, in order to reach agreement on steps to control emissions. • Economic instruments: Economic instruments are a specific form of persuasive instrument whereby generating less pollution can save the polluter money. In the context of eutrophication, there are two basic classes of economic instruments: fiscal and financial instruments and market instruments, including property rights instruments. Fiscal and Financial Instruments. This is the most significant class of economic instruments and includes emission charges, product charges, subsidies, preferential tax treatment, and financial incentives. Emission fees. Emission fees (also called effluent fees) involve charging polluters a fee per unit of pollutants generated. Thus if food-processing waste is being discharged into a lake, the generator would pay a fee per unit of pollution emitted. Such a fee should not be confused with a fine for emitting more than allowed. The idea behind this measure is that there is no correct amount of pollution but, all other things equal, less pollution is better. It is always appropriate to send a signal to polluters to try to reduce pollution (though not at any cost). The emission fee makes discharging pollution a little less attractive to the polluter. No matter what amount of pollution is generated, the polluter must pay a fee to the regulatory body covering those emissions. Such fees are probably less effective for controlling pollution that comes from government agencies or other institutions that may be less concerned about costs or budget balancing. The fee will be lower when the assimilative capacity of the water body has not been exceeded, compared to the case where it has been exceeded.

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User fees. In the context of a municipal wastewater collection and treatment system, the users of the system can be charged according to the load they place on the system. Clearly, a sewer use charge that is unrelated to the amount of waste generated (for instance, a fixed monthly charge) provides little incentive to reduce wastewater discharges to the system. When proper financing of wastewater treatment is difficult, as it is in many developing countries, it is particularly important to relate the charges paid by users to the cost of providing services to those users. If metering wastewater generation is too costly, charges can be based on closely related variables, such as water use or size of facility. Product charges. A product charge is a charge on a good or service that is closely related to pollutant emissions. For instance, a charge per unit of fertilizer purchased by farmers would be a product charge whereas a charge per unit of fertilizer runoff into a lake would be an emission charge. It is easier to monitor fertilizer use than runoff and thus easier to tax fertilizer than the pollutant emissions directly. Subsidies. Although a fee placed on emitting sends a signal that emissions should be avoided, such fees are often politically difficult to institute. Those subject to the fees may protest that they cannot afford them. This may be a particular concern in developing countries that are trying to encourage industry. An alternative is to subsidize pollution reduction. For instance, a food processing facility which has been emitting a certain level of nutrients can be paid for every unit of emissions reduced below the baseline. The problem with subsidies is that they require a source of funds, which may not be readily available. Market Instruments. Markets can be very effective for helping to efficiently manage resources. It is sometimes possible to harness market forces to solve water and pollution management problems. For instance, markets can be established for the rights to use water for industrial and agricultural use. Such a market assures that scarce water is used in the highest value activities. For managing the eutrophication of lakes, markets can be established in the form of permits to discharge nutrients into the environment. Under a tradeable permits system, the regulatory authority determines the total amount of emissions of nutrients into a given lake and its tributaries during a year or other period. The agency allocates the total allowed nutrient load among the various emitters in the region. Thus, if emitters are only emitting what is allowed, the pre-chosen overall level of emissions of nutrients will not be exceeded. The problem is that some polluters may have a very difficult time complying with their ceiling on emissions. Others may have no trouble at all. If trading among emitters is allowed, those which have a difficult time with control will be able to acquire (buy) permits from those who find control easy. The one thing we can be sure of is that the total amount of permitted emissions stays the same before and after trade. What is different is that the system is much more flexible with trading, giving polluters more options. The advantage of allowing trading is that the cost of pollution control is as low as possible.

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Issues in Implementing Economic Instruments The use of economic instruments is at the top of the agenda of the environmental management sector in an increasing number of developing countries and emerging economies all over the world. They are widely regarded as being economically efficient and environmentally effective alternatives to direct regulatory instruments. In theory, by providing incentives to control water pollution or other environmental damage, economic instruments are believed to have lower compliance costs and can provide much needed revenue for local government coffers (though not all economic instruments generate revenue). Administrative costs associated with economic instruments, however, may be high. Monitoring requirements and other enforcement activities remain as for traditional instruments, and additional administration efforts may be required to cope with the design and institutional changes arising from the implementation of economic instruments, at least initially. The following are some key findings of a study1 on the application of economic instruments in eleven countries of Latin America and the Caribbean: • Economic instruments are widely used. • The primary historical role of economic instruments is to raise revenue. Other

potential objectives, such as reduction of environmental impacts or improving cost-effectiveness of regulations, have been under-emphasised or not attained.

• Public awareness is low and uncertainty is high. There is a weak participation among stakeholders, which poses a real constraint to the rapid implementation of complex mechanisms for the implementation of economic instruments.

• Economic instruments can be an important, if not the only, means for introducing some added efficiency to existing control mechanisms. The proposed scope must, however, match the institutional capacity to implement them. To this extent, approaches that introduce gradual and flexible reforms are more likely to be consistent with ongoing institutional changes.

• While the revenue collection task of economic instruments has been highlighted, there still exists a strong need to channel revenues to local authorities to assist in building institutional capacity.

• International donor agencies are prone to recommend solutions from the Organization of Economic Cooperation and Development with little regard to institutional issues; to date most of the information flow regarding economic instruments has been of a "North-South" variety. An important opportunity has been missed to share environmental management experiences among developing countries; increased information sharing in a "South-South" dialogue will benefit all parties.

1 Motta, S., Ruitenbeek, J. and Huber, R., 1997. Applying economic instruments for environmental management in the context of institutional fragility: The case of Latin America and the Caribbean, in Finance for Sustainable Development: The Road Ahead, Proceedings of the Fourth Group Meeting on Financial Issues of Agenda 21 held in Santiago, Chile, 1997, New York, U.S.A.

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A common assumption regarding economic instruments is that they constitute a ready substitute for out-dated or inefficient direct regulatory procedures. However, and certainly initially, economic instruments should be considered complements to existing regulatory approaches, not substitutes. Choosing Regulations: Benefit-Cost Analysis In the previous section a variety of different instruments were considered for controlling eutrophication. In practice, a government agency will design a much more specific set of regulations which draw from the broad classes of instruments. In fact, the agency may have several candidate "solutions" to the eutrophication problem, and a finely honed set of regulations or incentives to apply to the eutrophied lake in question. The problem then arises of how to choose the best regulatory approach? Benefit-Cost Analysis (BCA), also called Cost-Benefit Analysis, is a useful tool for assessing the economic effects of projects, policies or programs. Simply put, this approach entails enumerating all significant benefits and costs of a given policy or management objective. The purpose is to provide a filter that would systematically eliminate projects that do not provide enough benefit relative to their costs. Implementing Benefit-Cost Analysis It is important to realize that BCA has a very specific purpose: to help decision makers choose among several very specific proposals for controlling a specific eutrophication problem. These may be new policies or modifications of old policies. BCA is not used to study a problem or explore solutions to a problem. When an agency has winnowed down its candidates for controlling a eutrophication problem to a few alternatives, BCA can be used to help make a choice and help defend that choice in deliberations within and outside the agency. In implementing BCA, the first task is to enumerate the physical consequences of the several regulatory options under consideration. The second step is to convert these physical estimates into a common denominator. The costs of a policy that improves water quality in a lake or reservoir would first include the monetary expenditure required to implement the policy and the necessary pollution controls. These expenditures include any necessary investments (for example, investments in water treatment plants), operating costs (for example, dredging costs) and monitoring and evaluation costs. Costs represent resources that have to be diverted from productive uses elsewhere in the economy. The value of the foregone opportunities is the appropriate measure of the cost of combating eutrophication. A commitment of resources to improving water quality may affect economic growth as well as affecting the distribution of economic welfare among various social groups. For example, it may reduce investments in industrial development while also providing jobs for rural people. The consequences for growth and income distribution are particularly important in developing countries. It is important to realise that costs need not involve any out-of-pocket expenditures. If the government owns land that is used for a constructed wetland (see Chapter 2), then there is a cost associated with

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using that land, even though it was not purchased. The land is not unusable for other purposes; there is an opportunity cost of using it for the wetlands which is just as real as if it had been purchased. Environmental costs are another set of costs that need to be taken into account. For example, reducing eutrophication may reduce yields of certain fish species, which is an environmental cost. The value of the existence of a wide range of different species in a specific water body or during a specific period of time also needs to be considered in benefit-cost analysis. Issues in Benefit-Cost Analysis Benefit-cost analysis alone is not enough upon which to base a decision but provides important information for the decision making process. It can be used as a filter, ranking device or contribute to other forms of social and economic information. Whatever the circumstances of the benefit-cost analysis application, it is important to ensure quality control in the implementation of the procedure. Two important issues relating to quality control are: first, the principles are clearly specified for empirical benefit-cost analysis and are based on sound economic principles; and second, the benefit-cost analysis documents are available for public scrutiny to expose the improper use of theory and practice. Benefit-cost analysis can be applied to a spectrum of policy choices. For instance, eutrophication can be examined at the farm level, industry level, local level, State or Provincial level and Federal level. Each requires a different set of information about the benefits and costs. Generally, the appropriate scope to use for a particular BCA is that associated with the agency doing the analysis or the reviewing agency. For instance if a lake is shared by two countries and one of the countries is considering action, then costs and benefits are typically restricted to the single country, for the purposes of decision-making. The estimation of costs is relatively simple compared the estimation of the benefits. In many cases a policy change has low costs but determining the benefits and or beneficiaries can be difficult. This is particularly prominent when markets are not working well or a market does not exist for the good in question. Benefits from natural resource conservation are the gains that result from the sustainable uses of biodiversity. Presently, there is a serious lack of data available on the value of biodiversity. The absence of such data may induce people to assume that these values are small or even insignificant. The benefits of a policy that reduces eutrophication might include an increase in recreational activities, an increase in fish yields, improvements in human health, a reduction in water treatment costs for potable water and increases in the aesthetic values of water based on appearance, taste and odor. It is useful to distinguish between private or individual benefits and collective benefits. Private benefits are enjoyed by one individual while collective benefits are enjoyed simultaneously by many individuals.

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Many of the benefits associated with improved water quality are enjoyed collectively. Collective benefits are not easily included in markets and, accordingly, are difficult to measure. Benefit cost analysis is typically done in two stages. First, the benefits and costs of a given measure are calculated for each year that it is effective. Second, these are added up over the different periods of time to obtain an aggregate, or "net present value." This is done by weighting ("discounting") benefits and costs at different points in time, with the future having slightly lower weights than the present. If the net present value is positive, that is, present value benefits exceed present value costs, the policy makes economic sense. Discounting is done so that benefits and costs occurring at different times can be aggregated and expressed in composite form. There are two justifications for discounting. First, most consumers consider present day benefits to be more valuable than future. This explains the willingness to borrow funds and pay interest. Second, resources invested now will increase well-being in the future. This explains the willingness to borrow funds and pay interest to invest in new businesses and technologies. In both cases, people are willing to pay a premium in the future to have access to funds in the present. The discount rate, r, is the premium they are willing to pay, expressed as a percentage over a specified period. Funds received today are worth, at the end of the first period, a total of (1+r) times the amount of funds. Equivalently, an amount of funds to be received at the end of the period are worth 1/(1+r) times that amount at the beginning of the period. While discounting is a common procedure, the issue of what is an appropriate discount rate to use for public projects can be debated. Since higher discount rates disadvantage investments that take many years to pay off, the choice of a discount rate can directly influence the choice of policies to implement. For investments in projects that yield tangible products and services, such as waste treatment plants, dams and recreational facilities, the appropriate discount rate should be guided by market rates, at least equal to the interest rate on government bonds. For policies or programs, particularly those having consequences lasting well beyond the typical 10 to 25 year life spans of most private sector investments, a lower discount rate may be warranted, reflecting the fact that society may be less impatient than the private sector. This is also based on the idea that consumption by distant generations is a public good and current policies should take that into account. The treatment of inflation is another issue in the determination of a discount rate. The nominal rates observed in the market place include a component that reflects expected inflation. An interest rate that removes the inflation is called a "real" interest or discount rate. Real discount rates between 3 and 8 percent are most often used in benefit-cost analysis in developed countries while in developing countries it can be as high as 10 or 12%. Often, rates used by government agencies or international organisations such as the World Bank are used as benchmarks. Finally, in a benefit-cost study, a sensitivity analysis should be done to see how net benefits are affected by different discount rates.

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Examples of Benefit-Cost Analyses in Lake Management. At present, the average cost of treatment of water for drinking or public supplies amounts to US$ 10 per thousand m³. However, the cost decreases to US$ 2 per thousand m³ when the water treated is of good quality. Therefore, the costs of water treatment increase in eutrophic systems. There are also different indirect economic effects of eutrophication, such as the loss of days of work from health failures due to exposure or drinking of water with algal toxins. Economic losses due to eutrophication of lakes and reservoirs may be severe. In one case in Brazil, in São Paulo State, a devaluation of 50% of the price of properties occurred as a consequence of algal blooms and macrophyte growth, and a loss of recreational capacity of a water body. Bad odors and danger of toxicity contributed to this devaluation. On the other hand, at a small recreational reservoir, also located in São Paulo State, water quality, which was maintained in good condition during 25 years, stimulated economic investment in tourism, provided job opportunities, and created a booming regional industry. The reservoir, which is only 7 km² large, has stimulated an investment of US$ 250 million in 25 years, showing the clear advantage of prevention over remediation. In contrast, the recovery of the Tietê River in São Paulo City cost an estimated US$ 4 billion over 10 years. The need to control and manage the effects of urban, industrial and agricultural development on Japan’s largest lake, Lake Biwa, led to the formation of the Lake Biwa Comprehensive Development Project. Although the basic objective of the project was to promote development of the Keihanshin region by providing additional water, other important objectives included the conservation of the natural environment, the promotion of public welfare, and the restoration of water quality. The planned cost of the project was Japanese Yen 426,637 x 106 in 1971. However, the actual cost of the project, carried out from 1972 to 1992 was Japanese Yen 1,524,850 x 106. Under controlled eutrophic conditions, aquaculture in lakes can be a source of revenue and of job opportunities. Benefit-cost analysis was carried out to evaluate the economic effect of fertilization of Lake Kootenay, British Columbia, Canada, in 1995 (K. Ashley, Ministry of Fisheries, British Columbia, personal communication). The surface area of the lake is approximately 390 km2. Total costs for fertilization of the lake were estimated at Can$ 511,000. Of this sum, the cost of a liquid fertilizer and its application to the lake was Can$ 310,410. The rest of the total cost (i.e., Can$ 199,590) was spent on sampling, monitoring, travel and data processing. Estimated gross benefit for the same year was Can$ 2,000,000. Calculated cost per km2 was Can$ 1,293, and the benefit was Can$ 5,063 per km2. The total cost is expected to decrease in 1999/2000 to approximately Can$ 300,000, and therefore the benefit-cost ratio will be greater than that of 1995. Measuring Costs and Benefits of Reducing Eutrophication Measuring the benefits and costs of an improvement in water quality is often difficult. First, for a complete analysis, all relevant benefits and costs have to be measured. If some

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consequences cannot be monetized, then analysis becomes more complex, though feasible. The effects on all parties concerned have to be taken into account. Second, the physical benefits and costs have to be measured in monetary units. Some environmental goods and services are marketed and thus have prices associated with them, for example, commercial fishing. There are methods for estimating costs and benefits in such cases. These "market-based methods" involve tallying the payments that consumers actually make for better water, better recreational sites, more desirable fish species, or other attributes of a cleaner water body. Also, the cost savings to consumers such as those due to fewer illnesses and lower use of water filters have to be taken into account. Other values associated with improved water quality, such as aesthetic values and species diversity have no connections to markets. These values must be measured by other means. The concept of "willingness-to-pay" (WTP) is widely used to represent how much of a person's resources they would be willing to contribute to solving an environmental problem. It might more appropriately be called "willingness-to-sacrifice." This is a subtle point because in general we are not asking a person to pay, only trying to determine the maximum amount of resources they would divert from other worthwhile activities to enhance environmental quality. In a market economy, WTP is a relatively easy concept to grasp. However, a monetary measure of WTP is meaningless to a subsistence farmer. Economic effects of eutrophication and types of benefits derived from reducing eutrophication are outlined in Table 5. Common economic methods used to measure different types of benefits outlined in the table and commonly used valuation techniques are discussed below. Market-based Methods Market-based methods are used when people make choices in the market place among goods or services that have some environmental characteristics. The observed market choices can be used to estimate the value consumers place on environmental factors. For example, when people rent or buy property, one of the factors they may consider includes water quality in the area. The price they pay for a particular property will reflect the value they place on the environmental qualities, as well as other characteristics of the property. By statistically analyzing differences in prices and differences in environmental quality, it is possible to estimate peoples’ WTP for particular environmental qualities as distinct from other characteristics of the property such as lot size and location. This method is known as the "hedonic" method. A second method that uses market information is called the "travel cost method," which is typically used to estimate value of recreation sites. Visitors to such sites incur time and travel expenses, which is a proxy for price and reflects the willingness to pay for the characteristics of the site. The method uses data on the type and number of recreation trips that people make to different sites at varying levels of expenses. Statistical analysis is used to estimate the relationship between the attributes of the trips and travel costs.

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This is a useful method when trying to understand the benefits of improving environmental quality at particular sites, such as the benefits of reducing eutrophication at one lake versus another. Table 5. Economic effects of eutrophication and benefits of reducing eutrophication

Effect of eutrophication Benefits of reducing eutrophication

How benefits can be measured

Increased taste and odour problems in water supply

• Lower costs of treating water

• Happier consumers • Less need for substitute

water (e.g., bottled water)

• Treatment cost savings • Increased consumption of

water and differential between prices of substitutes and municipal supply

Reduced visual and tactile qualities of water body

• Happier nearby residents • Increased development

around water body • Increased recreation • More diverse biota

• Increased value of properties

• Increased development of land

• Increased expenditures on recreation

• Prices for different fish caught

• Public’s WTP for improved ecosystem

Increased possibility of toxins in water

• Increased commercial and recreational fishing

• More diverse biota • Increased water contact

• Increased number and value of fish caught

• Public WTP for improved ecosystem

• Increased expenditures on recreation

Loss of water depth, surface area, and storage capacity

• Reduced need for alternative water supplies

• Values of shoreline property preserved

• Continued viability of fisheries

• Continued viability of recreation

• Avoided costs for dredging and substitute water supplies

• Avoided losses in property values

• Value of fish catches, which would not have taken place

• Recreational expenditures which would have been lost

• Public WTP for existence of lake, apart from use values

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A third type of market-based valuation relies on observing changes in the cost of what is used by individuals and firms. For example, if a particular environmental improvement promises to reduce illness in a population, there should be fewer doctor visits, fewer workdays missed, and less medication prescribed. The savings from fewer visits to doctors, the income that results from more days worked, and the reduced expenditures on medication together might be used to assign value to the environmental improvement. This will be a lower-bound estimate of value, because people probably value the freedom from illness more than the monetary cost of remedies or lost wages. All of these market-based approaches are more realistic and meaningful where markets are the predominate places where goods and services are exchanged and where prices are freely determined, not administered. These circumstances more closely describe the economies of developed nations than developing nations. In developing nations, analysts may be forced to seek non-market alternatives for assigning values. Methods Based on Hypothetical Markets Often, the value of environmental quality cannot be estimated from market information. In such cases, methods based on hypothetical situations are often used. Also known as the contingent valuation method, these methods typically involve survey research to solicit verbal willingness to pay for specified environmental amenities. People are surveyed, through mail, phone, or personal interview, and asked to state their preference for alternate scenarios. They are also asked to specify their willingness to pay for the scenario as if it were available to them. For example, the survey may ask the willingness to pay to reduce eutrophication such that water clarity increases by a specified amount or that fish species increase by a certain number. The contingent valuation method allows the estimation of value directly from survey responses. The method is flexible and statistically less challenging than many market methods, but may also be subject to inaccuracy due to the hypothetical nature of the investigation. It has been strongly criticised when governments have used the results to formulate policy. The major criticism of the contingent valuation method has centered on its hypothetical nature. The method is useful for extracting information relevant to a particular issue but the monetary values are hypothetical and non-replicable. The aim when applying the contingent valuation method has been to determine the benefits of a particular policy. Searching for accurate data and carrying out interviews for contingent valuation incurs costs that can be substantial for developing countries. If the decision has been made by government that eutrophication is a problem then the questions arises, do we need to know the benefits (financial and/or economic) given that eutrophication has been established as an environmental problem? Rather than invest in contingent valuation it may be more appropriate to implement a policy and invest in monitoring activities, thus dealing with the problem directly. Policies can be implemented at low cost and scarce funds can be used to monitor the impact.

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Study Questions 1. Lake Oswela in Central Africa is eutrophic with nutrient loadings from several food

processing plants, untreated sewage from the town of Oswela, and agriculture that has traditionally been quite productive using animal manures but has been encouraged to switch to commercial fertilizers. Discuss a set of economic incentives that might be put in place to control this eutrophication problem.

2. Lake Oswela also has a hydroelectric facility that spends a considerable money

keeping water hyacinth out of the intake pipes, a water purification plant that serves the town of Oswela and a valuable fishing industry. Outline the types of positive and negative effects that might be associated with the regulatory policies outlined above.

3. Outline a study you might undertake to determine the benefits to the fishing industry

on Lake Oswela from a reduction in nutrient loadings. 4. How would you assess the economic effects of eutrophication?

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Chapter 4 PUBLIC AWARENESS AND ENVIRONMENTAL EDUCATION Introduction The importance of public participation in the decision-making process for lake and reservoir management cannot be emphasized enough. Public participation means involving, informing and consulting the public in planning, management and other decision-making activities that are part of the political process. It is that part of the process that provides opportunities and encouragement for the public to express their views. To achieve active public participation in the protection of lakes and reservoirs, a public environmental culture should be promoted through measures, such as the following: • Raising public awareness of the environment using all forms of education and mass

communication. • Promoting acceptance by the general public of a system of values that recognises the

intrinsic value of the environment by environmental education employing both formal and non-formal methods.

• Increasing the sensitivity and involvement of community members in resolving the problems occurring in their environment.

Raising environmental public awareness is the strongest way to build public support for the implementation of environmental action plans. Public awareness and concerns about the quality of the environment have triggered several forms of public participation to protect the environment. Perhaps the most important and common form of participation is through environmental groups. Free and open public access to information about the environment, in general, and eutrophication, in particular, is a basic step to achieve effective public participation in the decision-making processes. Everyone wants to drink clean water, breathe clean air, and enjoy the beauty of the landscape. Therefore, they must assume responsibility for the quality of their environment. Because women and young people are disenfranchised from public policy-making in some societies, it is especially important to engage them in a public environmental culture. Decisions concerning the protection of lakes and water reservoirs should result from consultation with all parties, and upon approval of the public. Even sophisticated and technical plans cannot succeed if they are not understood and accepted by the community and implemented by joint effort.

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Environmental Public Awareness Environmental public awareness depends on the level of environmental awareness of particular members of the community and is affected by many factors, including cultural, ethnic and religious connections (see chapter 5), organization of family, professional and social life, type and level of education, and social status. The aquatic environment affects the quality of human life, and is directly dependent on the behavior of individual members of the community. Hence, an environmentally aware individual should have some appreciation or knowledge of the following: • Inter-relationships between air pollution, soil contamination, and the quality of

surface and underground water. • Eutrophication, and its causes and environmental implications, including cause-and-

effect relationships between human activity and the quality of surface waters. • Public health hazards caused by the algal blooms in lakes and reservoirs. • Approaches required for the reduction of water pollution. Tools of Public Awareness Development The main tools for development of public environmental awareness are environmental education and public communication. These tools should be prepared by experts who use an interactive approach that engages all parties by taking advantage of people's special interests, indigenous knowledge and traditional practices. Effective environmental education and communication activities (EE&C) should be made available to the widest possible audience: pupils and students in formal education and training institutions, individuals in key positions, out-of-school youth, urban and rural dwellers, and staff of governmental and non-governmental institutions and organizations. A proper participatory approach ensures relevancy and creates a sense of ownership by stakeholders. It also ensures that the views and rights of women and other under-represented groups are taken into consideration. Those people least empowered to influence water management policy may also be the group least able to avoid the problems from poor water quality, or least aware of their own role in protecting water quality. Research studies should be implemented to identify the characteristics and needs of target audiences. EE&C activities should be designed to make maximum use of existing facilities, resources and infrastructure. For example, colleges, in collaboration with other institutions, could host short courses. The programs should be designed to assist the acquisition of knowledge, skills, and attitudes that are necessary to solve actual environmental problems. All EE&C activities should be designed to be sustainable, even in the case where outside assistance is required to initiate them.

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Information Sources and Dissemination Free and open access to information about the environment is a basic step to achieve satisfactory public involvement in the decision-making processes. The sources of environmental information are decision-makers in government, environmental protection agencies, research institutes, non-governmental organizations and local inhabitants. Where the watershed of a lake or reservoir includes the territory of several countries, the relevant parties in all the countries should be encouraged to share their information.

The information should be addressed to the society at large. The basic tool of mass communication is a public involvement plan that provides a community-specific plan for interacting with a community regarding the permitted or corrective action. A public involvement plan includes the following components: • Assessment of the public awareness level. • Strategy of communication. • Identification of particular social groups and stakeholders. • Development of techniques for mass communication. • Analysis of probable barriers in the implementation of the communication process,

such as available funds, equipment, staff, and skills. • Measures of assessment of the communication plan’s implementation. Characteristics of the Most Effective Tools Effective tools of public awareness, mass communication techniques and teaching and learning approaches, include the use of simple, low-cost visual aids. Traditional ways of communication based on cultural heritage should be taken into account. A brief description of mass communication techniques, specifying their advantages and disadvantages, is presented in IETC’s Technical Publication Series number 11 (chapter 4, p.131). Simple materials and approaches are often more effective because they use readily available resources and can take into account local knowledge and existing communication channels. (see Marionnettes and puppet show in Mali, p173, IETC Technical Publication Series number 11). Public Participation Decision-making process with public participation To achieve the objectives of eutrophication control, public participation throughout the period of decision-making is required. Public participation means involving, informing, and consulting the public in planning, management, and other decision-making activities that can be considered part of the political process. Active public involvement in the decision-making process is one of the strongest ways to obtain public and political support for the implementation of environmental programs. In addition, planning and implementation is facilitated if the public has direct involvement in the planning and decision-making process.

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Decision-makers should consider environmental education and community participation as a priority in their national and local environmental policies. It is crucial for effective public participation that communities and environmental groups be aware of national and local priorities for development. It is often easier for people to accept policies, even difficult or controversial ones, when the importance and nature of the problem is properly presented to them. Specific objectives for public participation in decision-making for control of eutrophication in lakes and reservoirs are as follows: • Obtaining public acceptance for the principal goal of eutrophication control. • Obtaining public acceptance of remedies prepared by expert panels to eliminate water

pollution sources. • Ensuring public control of implementation of remedies for protection of water in

lakes and reservoirs. • Obtaining public involvement in monitoring of water resources. • Reinforcing the position of the local government as a public entity responsible for

environmental quality. The essential stages of the process are identification of particular stakeholders concerned with the problem and selection of persons who will represent those groups, selection and organization of public involvement, and stimulation and integration of stakeholders. Identification of stakeholders and methods for screening Planning contacts with the public and public involvement activities for protection of lakes and reservoirs requires the identification of stakeholders. Careful selection of participants in the social dialogue is essential for effective public participation in the decision-making processes. The selection of stakeholders is based on the identification of interests and level of public awareness of the aquatic environment. In some cases, the stakeholders include local, national, or even international communities. Usually, individual users of the environment have different, often conflicting interests. The manner in which particular stakeholders express their interests may vary significantly. Interests may vary from personal ones with strong emotional intensity to the public ones, represented by local authorities. Perceptions are often connected with myths extant in a community. The identification of stakeholders in a given community can be carried out by screening existing organizations on the basis of published materials, direct contact with organizations, and by using the experience and knowledge of local communities and administrative authorities. A key way to identify stakeholders is to approach water resource users: (1) Groups connected with fisheries, whose existence depends on the quality of surface waters. (2) Groups connected with urban settlements because households are one of the major sources of the discharge of nutrients causing the

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eutrophication of surface waters. (3) Groups connected with industry because the industrial sector can be a significant water consumer and a source of emission of pollutants. (4) Farmers are an important group as the runoff of nutrients from agricultural land is often a major cause of nutrient enrichment of rivers and lakes. (5) Institutions indirectly or directly involved in water resource management including local governments, regional water authorities, businesses, and local and regional financial institutions. Other stakeholders include the scientific community, naturalists, and enthusiasts engaged in environmental protection. When selecting the stakeholders, attention should be paid to those social groups that influence social acceptance of aquatic environmental protection. These groups can be identified through visits, surveys and discussion within communities concerned with water resource management. Women, the young, and representatives of the media can be counted in such groups. Community representatives Personal characteristics of representatives, their skills, their position in a given community, and their connections with other groups of stakeholders are important in the selection of participants. Any group of people has its leaders, i.e., persons who are distinguished by their knowledge, experience and social activity, and who have the respect of a given group. Such persons will best represent the interests of particular groups. It is desirable that the persons chosen to represent a given community or a particular group of stakeholders have the following attributes: ability to communicate well, ability to convey information and acquire knowledge, and social commitment. The representatives should be moderate in their judgments and open to the views of others. Attention should be paid to having balanced representation of all groups who use the environment; omitting a group may jeopardise the effectiveness of the communications. Role of scientific groups and non-governmental organizations Scientific groups and non-governmental organizations play a major role in the public participation process. Scientists are among the first to discover evidence of significant environmental risks and changes resulting from human activities. However, this group seldom has taken a proactive approach to solutions. It is recognized increasingly that interactions among scientists, citizens’ groups, non-governmental organizations, and the media create an increasing public awareness of environmental issues. This, in turn, creates public pressure that stimulates the decision-makers to act. Non-governmental organizations have a special role in the integration of communities. As independent entities, they constitute an important element in public dialogue. They are usually regional organizations, experienced in public environmental education, particularly in conducting educational campaigns, organization of education for children, and public involvement in decision-making processes. Non-governmental organizations

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often include practitioners who can plan and conduct public dialogue. Through their contacts with international organizations, they can also be useful in finding financial support. Environmental Education Environmental education is one of the most effective ways of increasing environmental public awareness and constitutes a crucial factor in the success of public involvement for environmental protection. Environmental education is a continuous, lifelong process and involves learning about nature through scientific knowledge, the arts, personal experience, and imagination. Education of children in school - Environmental education for children provides basic information about environmental protection, aquatic ecology and the relationships between human activity and water quality. Pre-school and primary school education should make use of the natural curiosity of children and stimulate it accordingly. The following guidelines are useful when designing an educational project: • The exchange of information should be reciprocal. The student should not be only a

receptor of the information. • The exchange of information between the students and their communities should be

promoted. • The material should be specific to the children and their community, e.g., refer to

“our water” and “our lakes”. Education that produces the best results, regardless of age, is that which is conducted in direct contact with nature, enabling emotional links to develop. Education within the environment is essential for developing a sense of responsibility in children for the environment. The use of parent-teacher associations in schools to enhance the link between children and their communities can increase the dissemination of environmental issues and create public awareness. Environmental education in high schools and universities - Environmental education in high schools and universities should aim to train students to solve problems on local, regional, national and international scales. Every student should have some exposure to issues concerning environmental protection. Students of journalism should be encouraged to gain the knowledge necessary to be able to transmit reliable information on environmental activities. The training of teachers is especially important in the development of environmental education programs. Education of decision-makers - Employees of the government should learn how to collect, develop, and transmit information about the quality of the aquatic environment, and obtain financial resources for these activities. They should have the opportunity to

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acquire these skills by attending workshops, seminars, professional courses and training in law and environmental management, and by working in partnership with relevant entities. Non-formal education - Special attention should be given to the education of out-of-school youth, and urban and rural dwellers. The use of non-formal education approaches, such as religion, drama, art and popular singers, should be encouraged. Adult literacy classes provide a good opportunity to transfer knowledge, skills and new practices to these groups. Dissemination of educational materials - At the national and regional levels, mass media and commercial advertising stand the best chance of being effective. These include the use of newspapers, journals, television, radio, and electronic notice boards. Since radio ownership is high almost everywhere, even in the poorest communities, radio allows messages to be communicated to large numbers of people at low cost. Where radio campaigns, or better still “soap opera - drama” style programs containing the required messages, are re-enforced by strong political support, changes can be widespread. Educational magazines and newsletters for children and adults, containing articles, stories, games and crosswords on environmental issues are also quite useful (see Walia Magazine approach, IETC Technical Publication Series number 11, p167). The role of culture in education - Cultural expression such as drama and art play a role in environmental education. In situations where people are passive recipients, art inspires their imagination and sensitivity. Alternatively, one may express feelings in painting or graphics or in words. The example of “the month of art” in Senegal shows how it is possible to link children, work, and thoughts, with scientific research. (IETC Technical Publication Series number 11; chapter 4, p. 172). Funding The funding mechanism for environmental education and public communication in developing countries depends on priorities of national environmental politics and wealth. Many environmental education and communication programs are funded through international funds. This needs to be changed, and decision-makers should be encouraged to consider environmental education and community participation as a priority in their national agendas. International organisations and funding agencies can help if pressure is put on national entities and governments which are requesting loans from these agencies related to agriculture, forestry, management of natural resources, or rural development to include education.

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Study Questions

1. Public participation and environmental education should be a two-way communication. What elements should you take into account to ensure appropriate communication?

2. In order to help people become aware and to take part in decision-making related

to eutrophication, what basic knowledge is needed? Where can this information be found?

3. To build a public involvement plan, what elements and processes will encourage

public participation in decision-making?

4. Many approaches and tools can be used in environmental education. What would be the most useful ones in regard to your target groups?

5. Build a case study where the issues and approaches discussed throughout the

chapter are used to control eutrophication in a lake or reservoir on which you intend to work.

6. Why is environmental education and public awareness important when dealing

with eutrophication?

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Chapter 5 SOCIAL AND CULTURAL ASPECTS Introduction The social and cultural aspects of water use are important for decision-makers and managers of water resources. These aspects underlie planning public participation and awareness (see chapter 4). The value of water is often founded on traditional water uses from which people have developed their perception of water and their water-related culture. Natural and cultural environments interact; among cultural factors, religion is one of the most influential. The current value of water and disposal of wastes in water is crucial to understanding of the perception and use of water in order to meet the challenges of management of water resources. Public awareness and environmental education can help the managers and decision-makers by a creating a better understanding of the value of water within the society (see chapter 4). Changes in regulatory mechanisms (see chapter 3), industrialization of a country and associated urban development, new land-use practices, and change in traditional use of water by the population, are among the many factors that affect water quality. Hence, the integration of scientific, social, economic and cultural aspects is crucial to the control of eutrophication in lakes and reservoirs. People have their own values and ways of using water. These values and practices have been formed by tradition, religion, culture and the natural environment. Current water values and water use patterns must be examined and, if necessary, changed to preserve the freshwater environment. For example, people tend to perceive water acquisition as more important than water disposal. After the water is used, it receives less attention resulting in some health problems and in eutrophication of many lakes and reservoirs. In order to encourage social conditions by which changes can be initiated, the support of the natural sciences and technology is needed, along with help from sociology, anthropology, theology and economics. Societies and their Social and Cultural Connections with Water Drinking, cooking, and washing are basic uses for water. When a community’s lifestyle is simple, water uses are limited. When a society’s lifestyle becomes complex, water uses increase, particularly in urban, industrial and agricultural areas. Hence, an understanding of traditional and non- traditional water uses is necessary to be able to develop a management strategy for sustainable use of lakes and reservoirs. During the middle of the 19th century, the industrial revolution enabled many cities to install two types of water infrastructure: sewage systems and water supply systems. Public health in the urban environment was drastically improved by these systems. Following the industrial revolution, political change in many societies led people to

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develop a public health consciousness and a scientific approach to solve public health problems and, later, environmental problems. Perceptions about the utility of water bodies differ according to the nature of the relationships of people with water. While lakeshore communities are directly and psychologically involved in the well-being of a water body, communities higher in the watershed may not perceive the impact of their activities on downstream water bodies with the same seriousness. An understanding of the social and cultural aspects of water use in different societies is important for decision-makers and managers and will be helpful in planning public awareness programs and a greater involvement of citizens in the management of water. Religious influences on water-related practices, such as clean water acquisition and sanitation, affect the use of water by different societies. These practices are rooted in past eras but strongly affect present water-related culture. The role of water in religion Religions have rituals and practices pertinent to use of water or the worship of water-associated gods. In the Islamic religion, the Koran states that “water is what everything is made of including man”. In Islamic societies water is used for washing before praying and is considered precious for all living things. In Christian societies in Europe, North America, South America and Asia, water plays an important role in the rite of baptism. The rite does not require a large amount of water, but high purity of water is important. The Hindu religion emphasizes the importance of water in religious services. Among various rites, ablution is essential for praying to gods and goddesses; water use for ablution is much larger than that in the Islamic rite. Requirements for water in religious rites in Buddhism are similar to those of Hindu. Confucianism and Taoism were more influential religions than Buddhism and other religions in China and Korea in the past, and these two religions do not specifically require water in religious rites. Japanese Shintoism always requires clean and clear water in front of shrines. Although good water quality is required for many religious practices there is, in general, no focus on the need to maintain clean water through appropriate behavior within the watershed. Hence, it is important for the water managers to directly or indirectly emphasize that a “clean water culture” should be developed or strengthened. This should reflect the community’s behavior towards water bodies and the possibilities of reducing their degradation. Water supply and waste water European societies, in spite of having safe public water supplies, have developed the custom of drinking bottled water. The drinking of bottled water is a cultural phenomenon,

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not a public health measure. In North America, provision of safe water supplies has been solved using approaches similar to those in Europe. However, using bottled water for drinking in the USA is not as popular as in many countries in Europe and in Mexico. This costly custom solves only the problem of safe drinking water; it does not solve all the problems of public health or the aquatic environment. Wastewater technology has not been universally introduced in African countries due to several factors including finances, human resources, and environmental education of the public. Unhealthy habits in some countries result in fecal contamination and eutrophication of water bodies. The Indian subcontinent embraces many ethnic groups, and while clean water is important to many, limited attention is paid to wastewater discharge. One Hindu social practice is that only people of the lowest caste handle human wastes. It may be difficult to solve problems of water pollution when the whole society may not confront the fate of their wastes. Such general indifference occurs not only in Indian society but in many societies around the world. Agriculture and land use practices The Chinese civilization is unique when compared to other civilizations in terms of use of human waste for agriculture. The Chinese people used human wastes as fertilizer from their early stages of civilization, while others, such as the Egyptian, Mesopotamian, and Indus civilizations, developed the practice of animal dung use as fertilizer. The use of human waste as fertilizer in northern and southern parts of China helped to increase crop yields. The use of human waste in agriculture provided positive, as well as negative, effects on the environment. While the practice reduced eutrophication of lakes and reservoirs in the past, it contaminated agricultural food with microbes and parasites. Japan adopted the Chinese agricultural practice of using human waste as a fertilizer. When western civilization was introduced to Japan in the middle of the 19th century, because of the loss of human waste as a resource, there was a strong opposition from the agricultural sector against installation of sewage pipes in urban areas. The introduction of chemical fertilisers to Japanese agriculture reduced the traditional use of human waste. Nevertheless, the separation of the faeces from urine in human wastes, so that ammonia can be used as a fertiliser in agriculture, is still practiced. While this procedure could be acceptable in some societies, for others it would be unacceptable due to religious or cultural beliefs. In Africa, leading causes of eutrophication include deforestation, overgrazing, inadequate solid and sewage waste treatment, industrial effluents, and non-point pollution from urban and rural areas. Assessments of indigenous knowledge systems for resource management, such as agro-forestry practices and land tenure, have revealed that farming practices have traditionally taken diverse forms. In contrast, recent cultivation of single crops, that promote erosion, is partially a consequence of colonial and postcolonial

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intervention to the extent that these agricultural policies repressed the original diversity in traditional farming techniques. Aquaculture Aquaculture has been practised for many years in southeast Asia, China and Japan. Today, due to the rapid population growth and the need for protein for human consumption intensive aquaculture has been increased and spread to many developing countries. This situation has resulted not only in changes in food production but also in the degradation of many freshwater bodies because of eutrophication from nutrients in the food provided to the fish or shrimp. Study questions 1. In the decision making process, what are the main cultural and social aspects to be

considered when addressing the potential occurrence of eutrophication in lakes and reservoirs?

2. Why are social and cultural issues important with regard to eutrophication? 3. Why should you consider local or regional factors when addressing social and

cultural issues within the context of the eutrophication of lakes and reservoirs? 4. Why is there a need to interact with social and cultural practises to avoid the

degradation and eutrophication of lakes and reservoirs?

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Chapter 6 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK Introduction Anthropogenic eutrophication of lakes and reservoirs usually results from human intervention in the watershed. The effects of human intervention includes increased loading of nutrients and other pollutants, and the alteration of physical and biogeochemical conditions in the drainage and lake basin. Eutrophication management focuses on the prevention and reduction of pollution from point and non-point (or diffuse) sources as well as measures within the lakes and reservoirs. While end-of-the-pipe technologies may be suitable to mitigate point sources, control of non-point sources, as well as the implementation of waste reduction measures and within lake remediation, require a comprehensive approach to water resources management. The effective implementation of sound water management practices for eutrophication control implies simultaneous incorporation of top-down and bottom-up measures within the social system. Top-down measures involve the incorporation of environmental concerns into policies, planning, and decision-making at the highest level. Initiatives then pass into the institutional and regulatory frameworks of jurisdictions sharing the watershed. Bottom-up measures involve incorporating environmental concerns into civil society at the community level. Background Relevant principles in water resources management Mar del Plata 1977, Dublin 1992, Río de Janeiro 1992, and other renowned international meetings are milestones at which basic understandings, such as rational use of water, integrated management of water resources, the watershed as a basic planning and management unit, the social and economic value of water, and the role of water in ecosystem protection have been recognized. These concepts, together with the need for sound management tools, such as proper regulatory frameworks, environmental education, public participation, economic and financial instruments, and promotion of sustainable practices, have gained international consensus as being important. However, in many cases, effective incorporation of these ideas and tools into the policies, strategies, and legal and institutional frameworks remains to be achieved. It demands a strong commitment of the State authorities to agree upon, formulate and enforce laws that, in emerging economies, are suspected to constitute a barrier for investment and private sector initiatives and competitiveness. If top level commitment fails to develop, short-term needs outweigh the need to build sound and stable legal and institutional frameworks. In contrast, if these ideas become embedded at the highest level in the legal and institutional framework, the issuing of policies, strategies, initiatives, regulations, and management tools to achieve the desired goals will be expedited for the society. Such

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actions will also foster regional cooperation and agreements regarding the use of shared water resources. Shared water resources are a significant issue growing in importance. A scheme is needed to foster consultation with national communities without ignoring government prerogatives and issues such as sovereignty. Consensus based planning of shared use of resources should be harmonized with legal and institutional frameworks. An integrated approach in management Water resources have been traditionally managed with a non-integrated approach. Two consequences of this approach are the aggravation of water scarcity and increasing degradation of water quality. However, incorporation of an integrated ecosystem view implies serious changes to institutional organizations, regulatory frameworks, and training of decision-makers and managers. Integration of biogeophysical, social and economic issues, as reflected in the watershed approach, is recommended. The watershed is a physical unit with identifiable boundaries that integrates the hydrological system and ecosystem. Societal advantages of the watershed approach arise because it fosters development of partnerships, enhances local community participation in decision making, provides a framework for training in water resources management and eutrophication control, and leads to integration of scientific data with management decisions. Stategies for Eutrophication Control The main objective of water resources administration is to achieve sustainable utilization and protection of freshwaters based an approach that integrates technological, socioeconomic, environmental, and human health considerations. Specific measures to prevent, control, and remediate eutrophication need to be properly planned and implemented within such a policy framework. Eutrophication management is closely related to objectives and policies dealing with prevention and control of environmental degradation caused by pollution and unsustainable use of natural resources. Appropriate strategies comprise pollution reduction-at-source, environmental impact assessments, and enforceable standards for major point-source discharges and high-risk non-point sources. Closely related strategies protect the public from illnesses attributable to contaminated water supplies by controlling disease vectors in aquatic environments. To ensure the effectiveness of pollution prevention and control programs, they need to be supported by a proper institutional and legal framework and there must be adequate access to reliable information, trained human resources, and appropriate technologies. Pollution prevention and reduction programs Technologies - Policies should aim to minimize and prevent pollution through the use of new technologies, pollution reduction at the source, effluent reuse, recycling and recovery, and environmentally safe disposal. In addition, policies should aim to protect

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watersheds by reducing degradation of their forest cover and erosion and siltation of lakes and reservoirs. Long-term and cost-efficient use of technologies, especially in developing countries, is a matter of particular concern. Sound traditional and indigenous practices should be considered when developing appropriate methods for water pollution control. Public awarenes and participation - Participation and community awareness and involvement is another critical aspect of pollution control programs. They comprise actions fostering the education of communities about pollution related impacts, promoting environmental awareness by means of information and education programs, the promotion of public participation in planning and decision-making processes, and sensitizing the public to rational use of water and protecting water quality (see chapter 4). Water resources assessment and monitoring - In order to develop sound pollution control programs, a comprehensive assessment of water resources is required. Programs for the systematic monitoring of surface and groundwater quantity, quality, and use, preferably organized in geographically referenced databases should be established. The monitoring of point and diffuse sources of pollution, including the utilization of chemicals in agriculture, is necessary and should be accompanied with regular surveillance to improve compliance with standards and regulations. Training - Training programs that build expertise on water issues among government staff, water users, and decision-makers are essential. The effective protection of water resources and ecosystems from pollution requires considerable upgrading of most countries’ present capacities, including a minimum infrastructure and staff to identify and implement technical solutions and to enforce regulatory action. Economic Instruments - Economic mechanisms, such as economic incentives to encourage the adoption of technologies focusing on pollution prevention, should be implemented. These kinds of mechanisms, which include property rights, water markets, fiscal and financial instruments and liability systems, are gradually becoming a substantive component of the management tools used for pollution control and water allocation decisions. By assigning an economic value to water and internalizing environmental costs into productive activities, these policies aim to develop an economic framework for environmentally sound water management. Private sector involvement is inherently related to economic mechanisms, since the majority of these are designed to provide incentives to comply with environmental regulations, improving water quality management, and reducing and preventing pollution. Chapter 3 deals with economic instruments and valuation, as well as cost-benefit analysis. Institutional and regulatory frameworks - Central to pollution reduction programs is the development of an institutional and the regulatory framework to ensure the functional and sustainable implementation of policies and goals. It is imperative to strengthen and build technical and institutional capacity to address environmental priorities, such as pollution control, waste management and improved water quality. The improvement or building of legislative and management structures in land-use planning, coastal zone management,

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environmental impact assessment, and water-quality objectives are key elements of any pollution reduction program. As legal and regulatory rules are being established, it is usually more effective to begin with simple, enforceable actions rather than with complex rules that are difficult to enforce. Coordination - In addition to institutional frameworks, the strengthening of technical and institutional capacities involves the establishment of high level mechanisms to formulate, review or update water resources policies, laws, and technical standards. This requires the establishment of mechanisms for cooperation among agencies, including those in the legal and enforcement areas, and delegation of water resources management to the lowest appropriate level, including the utilization of non-governmental organizations (NGOs), the private sector, and local communities. The establishment of partnerships The recent, large-scale privatization taking place worldwide in water treatment for public supply and in wastewater treatment can help stimulate the establishment of partnerships for management that can become another tool for the control of eutrophication. The public sector is a fundamental component of such partnerships. Universities and research institutions provide basic information, organize and improve data, and propose specific monitoring actions. The private sector can develop joint ventures and consortia with universities aiding the implementation of new and innovative environmental technologies. Community participation has the important role to criticize and offer alternatives to development plans. Without this participation a regional development plan is likely to fail. Universities need to develop strong links with the local community and to decode the scientific information for the general public. NGOs, school teachers and professional associations can assist in the process of increasing communication and awareness and improving the visibility of scientific programs and projects. Institutional Framework Agenda 21, approved by the governments participating in the United Nations Conference on Environment and Development (Rio de Janeiro, 1992), recommended the review, strengthening, and restructuring of existing institutions in order to enhance their capacities in water-related activities, while recognizing the need to manage water resources at the lowest appropriate level. The traditional approach to water resource management consists of various governmental agencies administrating, in a rather independent way, the utilization of each natural resource and in some cases each different water use. Thus, fragmentation and overlap of responsibilities characterize institutional approaches which impairs the integrated and sustainable management of natural resources. Hence, there is the need for reviewing the organizational structure, functional relationships and linkages among ministries and departments within governments and agencies. Further, there is a need for establishing mechanisms for cooperation among government agencies, including those in the legal and enforcement areas, to facilitate environmental information exchange, technology

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cooperation and capacity building. Institutional strength relies on the establishment of high level coordination to formulate, review, or update water resources policies, laws, and technical standards, and to bring together all sectors of society. Recent developments in institutional organization are based on the following concepts:

• A decentralized system with national, state and municipal responsibilities and networking among all levels.

• Strategic actions based on the local demands for water and participation of local users.

• Strong participation of the community and stakeholders organizations. The decentralization process with the participation of the community places the focus on water quality and quantity at the local level and promotes partnerships of public and private sectors. Key issues concerning institutional organization for eutrophication management The United Nations Conference on Development and Environment found many developing countries in the process of modifying market economies with a reduced role of the public and an increasing role of the private sector. In many countries, economic policies launched during the last decade have induced a shift from the government being the provider of water services to its being the creator and regulator of an environment that allows involvement of communities, the private sector and non-government organizations in the provision of water supply and sanitation services, as well as in the development and utilization of water in other sectors of the economy. The responsibility for the implementation of projects and the operation of systems, particularly in water supply and sanitation programs, should be delegated to all administrative levels down to the community and individuals served. The utilization of the skills and potential of non-governmental organizations, as well as the private sector and local communities, should also be promoted. However, administration of water rights, economic incentives, regulations on pollution, and erosion control or groundwater withdrawals are often best accomplished through governmental water- or land-use agencies. Regulatory Framework The regulatory framework is configured by the set of laws, decrees, resolutions, guidelines, standards, and regulations that establish the conditions, criteria, procedures, and requisites with which all water users should comply. It establishes the sanctions and penalties to be applied by administrative or judiciary authorities when compliance fails. Management of the eutrophication of water bodies demands the effective application of a broad set of actions to cope with untreated sewage from cities, industrial discharges, and non-point pollution from agricultural activities and urban run-off. End-of-pipe measures

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to avoid point source pollution from industries and urban settlements require large investments in effluent treatment facilities. Public and private investors require proper institutional, legal, and regulatory guidelines to operate efficiently. The regulatory framework should stress prevention. Monitoring should contribute by issuing early warnings to optimize preventive actions. Environmental quality and emission standards, land use planning, environmental impact assessments, and permit and licensing procedures are considered key elements of any regulatory framework and, together with economic incentives, make up the tools for inducing sustainable management of water resources. Although these tools complement each other and need to be incorporated into the policy framework, their formulation, particularly in developing countries, appears to be heterogeneous. Tools, such as permits and licensing procedures or emission standards, have been implemented and their use has become common in many countries. However, the application of the “polluter pays” principle in relation to the enforcement of emission standards generated controversy when viewed as the “right to pollute”. Others tools, such as environmental impact assessments, have become widely applied in recent decades to an increasing number of development projects, to a large extent due to the pressure exerted by international funding agencies. Unfortunately, ambient quality standards and land-use planning have not followed the same trend in most developing countries. Command and control, market-based incentives, and voluntary action of the private sector are some of the most common policy options. Since changing behavior involves cultural transformations, it is now accepted that the best solution is a combination of these approaches in the context of an intensive effort of environmental education and awareness aimed at all levels of society as prerequisites for active and effective citizen participation. Resources Institutional strengthening Institutional strengthening involves improving the legal and regulatory framework to ensure sustainable management of water resources and the protection of aquatic ecosystems. Institutions are the formal and informal rules of society which define property rights to land, water, and other natural resources, and spell out the rights and obligations of individuals and groups regarding the use of and access to the benefits of the resource. They also comprise the rules under which the organizations operate. Organizational strengthening involves improving the capacity of the groups of people in administrative or functional structures to apply the regulatory framework and the administration of the implementation tools. To achieve management effectiveness, the basic components of the organizational structure, such as the sectoral agencies, must have the legal authority and the administrative capability to perform effectively the management tasks within their area of responsibility. Organizations require appropriate

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human, technical, and economic resources at the local level to ensure that the whole set of water management activities is properly, fairly, and rigorously carried out by the corresponding organizations. Training of human resources Efforts should be devoted to training of graduate and post graduate students and of government staff to build an integrated vision of water resources management and improve capabilities in managing water resources. The preparation of qualified human resources is a fundamental component of any environmental policy. Training activities should be based on the following criteria:

• Enhancing the ability to integrate environmental management into planning and public policy.

• Stressing the need for incorporating scientific information into the management, regulatory and policy processes.

• Emphasizing the need for a new approach to environmental management and eutrophication control based on the development of partnerships of the public and private sectors and the participation of the community.

Study Questions 1. Consider a lake or reservoir in your country. Is it managed as part of a watershed or

as a local problem? What institutional linkages are there to manage eutrophication? 2. Consider the water resource policy in your country or region. What provisions are

there in the policy for eutrophication control? 3. In the land use policy in your country, what guidance is there towards eutrophication

prevention through integrated land use planning? 4. The successful control of eutrophication is a multidisciplinary activity. To what

extent does water resources policy and regulatory framework optimize institutional linkages?

5. What direct regulatory instruments are in place in order to prevent nutrient loading in

lakes or reservoirs in your country or shared with neighboring countries?

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Chapter 7 MANAGEMENT ISSUES Introduction The management of eutrophication requires a sound administrative environment, able to provide technical, financial, legal and human resources for the sustainable use of lakes and reservoirs. This chapter deals with management issues of eutrophication. Given the interrelated technical, economic, institutional, educational and social tools discussed in the preceding chapters, this chapter makes suggestions for administrative tools needed for a sustainable program of eutrophication management and control. As circumstances differ from case to case, it is not possible to provide a prescription for the management of all situations. The chapter will illustrate management issues with selected case studies. Basic Components of a Management Structure. A management system for lakes and reservoirs requires the following support systems: • Institutional support • Policy support • Legal support • Technical support • Fiscal support • Infrastructural support • Educational and public awareness support Institutional support system. The institutional support system includes all government institutions: the legislature, the judiciary, the administration (i.e., government departments), educational institutions, law enforcement agencies, and any statutory institutions set up for the management of water resources, as well as non-governmental organizations. Policy support systems Environmental policies are an embodiment of national or regional perceptions of and values about the role of the environment in the national and regional economy and sustainable development. Without clear perceptions of the role of the environment, and especially the pivotal role of water resources, economic gains are liable to be short lived. Legal support system Legal support systems reflect society's obligation to the maintenance of a sustainable environment for economic and social well being. They embody a collective code of conduct in the protection and sustainable use of the environment. The management of eutrophication may dictate the need for periodic review of the legal system to ensure that it keeps abreast of developments in the watershed. Technical support system Eutrophication reflects land use and industrial processes that result in nutrient increases

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in lakes and reservoirs. It is now evident that the control of eutrophication requires innovative technology to cope with new threats that arise from economic activities. A eutrophication management system requires the constant review of technological capacity for its efficacy in eutrophication management. Partnerships between water managers and the private sector, universities and technical institutions can lead to the development of technologies appropriate for the local conditions. Fiscal support systems The allocation of sufficient funding is a good barometer of national awareness and commitment towards environmental sustainability. In preceding chapters it has been made clear that eutrophication management carries with it financial costs. While such costs can be shared with the private sector, such partnership can only meaningfully occur in the face of evidence of state fiscal commitment towards eutrophication management. Infrastructural support systems. The day to day activities of eutrophication management require infrastructure support of various types, such as well maintained research and monitoring facilities, plant and equipment maintenance capacity, and data and information management systems. Education and public awareness. No environmental management program can succeed without the full support and cooperation of the public, stakeholders and land users. This support can only be achieved through an effective information and public awareness support system. The configuration of the institutional framework will vary according to local circumstances, such as whether the lake or reservoir is a provincially, nationally, or internationally shared resource. Water bodies such as Lake Kariba, Lake Chad, and Lake Victoria, are internationally shared resources. The institutions set up for the joint management of such water bodies will reflect multiple political boundaries and mutual concerns. Nevertheless, the management of a lake or reservoir straddling international boundaries requires the harmonization of institutions and procedures within the riparian states. This harmonization means that the objectives of the sovereign institutions in the management of their resources and economic development do not conflict with the common objectives and shared values with respect to the management of the shared water body. These common objectives can be broadly described as the sustainable utilization of lake or reservoir resources by ensuring good water quality and minimizing stakeholder conflicts, while maximizing stakeholder benefits. Any investment in the sustainable use of a water resource should be to the mutual benefit of all the riparian states. Therefore, there must be state and international institutions that are the ultimate custodians of shared values and objectives of the riparian states. Whatever form such management institutions assume, they must have the following properties:

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• They must be legal institutions, established in terms of national law in the case of national institutions or international law, where two or more nations are involved.

• They must enjoy a measure of operational autonomy, with well defined referral and consultative procedures.

• They must be adequately funded by their respective governments. • They must be accountable, through appropriate institutions, to the stakeholders. • They must be sufficiently flexible in their architecture to respond to changing

environmental issues in lake and reservoir management. • Such institutions can only operate efficiently in an atmosphere of peace and good

governance. The state itself must have clear objectives in environmental management. A second, but less legally defined condition of shared resources, is when a lake or reservoir is largely or entirely within the borders of one sovereign state, but is part of a hydrological system that traverses several states. The political difficulty in institutionalizing river watershed management is that there are no economic incentives for upstream states to incur resource management costs for the benefit of downstream users, unless there are services which can be transferred from downstream investment to upstream states, such as hydropower or fish exports from a downstream state to an upstream state. Unless equitable resource management protocols and functional institutional and legal frameworks are mutually agreed upon, regional tensions may develop. There are no standard international protocols, equivalent, for example, to the Helsinki Rules, for addressing the upstream-downstream relationship, except the good neighbor principle. Therefore, an international convention on the management of water resources in an international river watershed is appropriate. Such a convention would be designed to ensure equity among states of disparate development stages, where future needs of less developed partners would be recognized. A number of case studies are now provided as examples of successes and problems with management of eutrophication. Lake Chivero, Zimbabwe (Africa) Perhaps one of the most studied lakes in Africa is Lake Chivero, formerly Lake McIllwaine. The lake was built to supply water to the City of Harare, as well as to serve the irrigation needs of downstream farmers. This case study is chosen to illustrate management failure due to institutional problems. The technological, manpower, legislative, and financial resources for the proper management of Lake Chivero could be marshaled, but in recent years working institutions have been lacking. The failure arose from a lack of clear linkages between stakeholders and administrative structures, as well as failure to forge working partnerships with other institutions, and a lack of public awareness, education and stakeholder participation in the ecological management of the reservoir.

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Historical background Beginning in the mid 1980s, the lake became progressively eutrophic, after a recovery period from a previous eutrophication phase in the mid 1960s. When the lake was constructed, the population of Harare was about 400,000 inhabitants. The urban population of the Lake Chivero watershed now stands at about 1.6 million. As the population grew, the wastewater discharge also increased. Human and livestock populations in the rural part of the catchment also grew. A new urban settlement, now the second largest city in Zimbabwe, mushroomed upstream of the lake to a population of over half a million inhabitants in less than two decades. More recently, with an increase in urban drift, the city has expanded as new residential areas have been established. Due to the highly seasonal nature of the river flow, the dry season flow into the lake consists largely of processed wastewater. Table 6. Historical trends in phosphorus loading to Lake Chivero Parameter 1967 1978 1996 P- load, tons yr-1. 288 39.6 350 Mean P concentration in inflow mg l-1

2.25 0.13 1840

Conductivity µS cm-1 160 120 800

In the late 1960s, the lake became hypereutrophic (Table 6). Before the construction of Lake Chivero, Harare took its water from reservoirs that were upstream of the sewage effluent outflow. When the lake was created, the need to protect the watershed was recognized, and took the form of a recreational wildlife park around the lake. While this measure guarded against siltation from the immediate surroundings of the lake, it did not include the impact of an increasing volume of treated sewage flowing into the lake. In 1974, the City of Harare took further measures to protect the lake by installing a biological nutrient removal sewage treatment plant for its municipal wastewater. Tertiary treatment was effected by use of pastureland where the final effluent was used for irrigation. For a period of nearly ten years, the lake showed recovery from eutrophic conditions. In the late 1970s, satellite settlements around Harare, particularly Chitungwiza, grew. These settlements did not have the funds to install sophisticated wastewater treatment works, so their wastewater was discharged into the Lake Chivero watershed streams after only primary treatment. By the mid 1980s, the lake had reverted to hypereutrophy. It remains hypereutrophic today, and is beset with a chronic water hyacinth problem and repeated fish kills. Management issues with respect to Lake Chivero are as follows:

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Lack of institutional harmonization Though Harare is the principal user of the lake water, the management of the lake falls under the jurisdiction of the Department of National Parks and Wildlife Management, which is not represented in the municipal water supply and wastewater management decision-making system. Furthermore, the Department has no facilities for water quality management, as its main interest in the lake is the fishery. The responsibility for water quality monitoring and pollution control was invested in the Ministry of Health. While the city invested heavily in managing wastewaters from its own sewers, it failed to recognize the contribution of satellite settlements as well as rural runoff in the watershed. The regulatory authority for use and management of the lake is invested in a separate department. Lack of stakeholder participation There are no established consultative arrangements among the land users of the Lake Chivero watershed for the management of the watershed. Land users in the watershed include commercial farmers, subsistence farmers and urban and local authorities. Inadequate funding A problem, perhaps peculiar to developing countries, is the growth of human settlements of limited revenue base, such that the administrative authorities have a limited financial capacity to provide civic works and to maintain services. Consequently, waste management works tend to be under-funded. Failure to appreciate watershed dimensions of the problem. Though there were possibilities of use of wetlands and other impoundments within the catchment to manage overland runoff, the lack of a holistic watershed approach led to a failure to maximize opportunities for the restoration of the lake's water quality. Lack of public awareness While the concept of public awareness and participation is increasingly recognized in natural resource management, in the case of Lake Chivero public awareness and participation were viewed as threats to the workings of the municipal authority. Information on water quality of the lake and that of the water delivered to consumers is not readily available. Members of the public thus remained ignorant of their role in the eutrophication of the lake and how they could assist in the remedy. The various authorities thus missed an opportunity for public support in their disparate attempts to arrest the eutrophication trend in the reservoir. Legal framework failure The political institutions did not appear to be concerned about the deteriorating water quality of the lake. Elected councilors seemed to be ignoring breaches of municipal environmental by-laws, and in some cases encouraged such breaches to retain popularity with an ill-informed electorate. The civic authority’s strategy was limited to passing the rising operational costs of potable water production to middle class ratepayers, an electoral minority. Environmental advocacy by the public was poorly developed and

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politically ineffective. Thus, while a legal framework existed both at national and local levels in the form of various acts and bylaws, the political leadership was unwilling to enforce the legislation. Failure to forge partnerships In the 1970s, the Municipality had a collaborative research program with the University in which the Municipality funded research programs aimed at solving water quality management problems. In the post independence period, these links were discontinued, and so was the research into possible technical innovations in eutrophication management. The Municipality also failed to take advantage of developments in industry, which, over the years had developed an environmental program of its own, as evidenced at the CemZim 99 Environmental Management Conference, organized by the Environmental Forum of Zimbabwe. Most significant, however, was the failure of the various urban and local authorities to cooperate in the lake's environmental management. The management status of Lake Chivero, as a case study of institutional failure, can perhaps be defined by comparing its management to guidelines outlined in “Environment and development in Africa: Tools for implementing environmentally sustainable development” in Table 7. Table 7. Comparison of guidelines for environmental management as recommended in “Environment and Development for Africa” (Scandinavian Seminar College, 28-30 August 1995, Telemark College, Norway), with the state management regime for Lake Chivero, Harare Guideline Principle Observation for Lake Chivero Environment should be integrated in decision- making at all levels and be given equal priority with economic and social concerns. Planning programs and processes should be proactive and take into account the environmental impacts of activities.

Environmental issues often considered secondary to economic and political agenda.

Residents must own the idea environment and interpret it in relation to their daily needs.

No consultative facility for ratepayers and residents to participate in environmental issues. Ratepayers expected to accept and pay what council delivers.

Human resources development, institution building and strong legal and policy framework related to natural resources are therefore keystones.

Human and financial resources and legal framework are often in place, but low priority rating of environmental issues results in underfunding and suboptimal performance.

Natural resources management by communities at the local level must be strongly supported through participatory methods, information systems and appropriate financial mechanisms.

Local authorities in some of the emerging democracies are often wary of stakeholder participation; decision-making highly centralised; with limited information dissemination facility.

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Lessons Learned from Lake Chivero Watershed dynamics The changes in the watershed of Lake Chivero showed that watersheds can change rapidly. Population increases, increased livestock on communal lands, urban drift led to rapidly expanding urban populations, and intensified urban cultivation due to increasing urban poverty all added to nutrient loads in the lake. With all the best intentions, traditionally trained sanitary engineers were not adequately equipped to deal with rapidly changing environmental issues. Lake models generally assume a semi-equilibrium state, i.e., a more or less fixed nutrient loading as a base line. However, this case study shows that nutrient loading rates can change rapidly, and water quality managers should be able to respond accordingly. Multiple nutrient sources Sanitary engineers design operational wastewater treatment works to cope with expected deliveries from the sewage transport system. They assume that the most important source of nutrients to receiving waters is the sewage reticulation, and that if sewage is adequately treated, eutrophication problems would not occur. As a result, the Harare Municipality invested heavily in sophisticated sewage treatment works. However, the Lake Chivero case shows that nutrients can arise from multiple sources, such as communal land farms, inadequately serviced peri-urban areas, street runoff and badly sited waste dumps. Water quality managers in developing countries must be alert and imaginative to deal with multiple causes of eutrophication. Public involvement The Lake Chivero case also shows that the typical public servant tends to be a lone bureaucrat quietly working on his assignments, and thus missing the potential power of public participation. The majority of Harare dwellers are unaware of the problems faced by the Municipality to provide them with clean water, and are therefore not conditioned to taking remedial measures themselves. However, for a eutrophication management strategy to be effective, there must be participatory governance. Management Experiences in Eastern and Central Europe The case of River Volga: environmental role of a chain of reservoirs. In Russia, 41 of the largest reservoirs have a total volume of 1,200 km3, or 25% of the country’s water supply. Bratsk reservoir is the third largest in the world by volume. The Volga River system, with its largest tributary, the Kama, have been converted into a cascade of twelve major reservoirs. The basin of the River Volga is the economic center of the Russian Federation. The 12

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major reservoirs of the Bolza-Kama Cascade retain 174 km3 of water. Currently, over 65 cities with a total population of up to 15 million are situated on the shores of Volga and Kama rivers. The reservoirs are the main source of the cities’ water supply. A comparison of the average values of phytoplankton biomass in different parts of the Volga, before and after construction of the reservoirs, has demonstrated that phytoplankton concentrations have decreased by half, in spite of the growth of the human population and a tripling of the phosphorus load. However, the mean yearly total phosphorus concentration in the Volga near the city of Ostrakhan in the river's delta remained almost unchanged, thanks to the high phosphorus retention capacity of the reservoirs. The average water retention time increased from about 20 days to 2.5 years. In spite of increasing phosphorus loads, the water quality of the Volga and Kama rivers is about an order of magnitude better than that of two major western European rivers, the Danube and Rhine. The difference is mostly due to the decrease in the nutrient concentration along the chain of reservoirs. The case of Balaton Lake: management of a shallow lake with the use of a pre-reservoir. Balaton is a shallow, eutrophic lake in Hungary; its area is 600 km2. In summer, the population of holiday visitors reaches one million, with a corresponding increase in the flow of nutrients to the lake. Intensive agriculture also is source of nutrients as are the lake sediments, which are easily stirred by the wind. A shallow wetland, Kis-Balaton used to accumulate the nutrients carried by the River Zala, the main tributary of the lake. Due to an ill-informed decision, the Kis-Balaton was drained and the River Zala was channelled through to the main lake. This lead to increased eutrophication of Lake Balaton. The Kis-Balaton is now being restored. In addition, other activities are expected to reduce eutrophication in the lake. These programs, including domestic sewage diversion, chemical removal of phosphorus, watershed management, selected based on their cost benefit ratio, are intended to reduce the availability of biologically available phosphorus by about 50%. Lessons learned in central and eastern Europe In central and eastern Europe, integrated management of eutrophication has been rather limited and technological solutions have predominated. It may be expected that centrally planned economies would be inclined to integrated management of complex water resources, but they were not. The strategy of large reservoir management was based on a system of allocation among prioritized users with energy production first, followed by communal water supply, irrigation, fisheries and navigation. The management of the reservoirs was not explicitly intended to include eutrophication mitigation, and the high phosphorus retention capacity of the reservoirs was inadvertent.

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The understanding of eutrophication processes in eastern and central Europe may be used for the design of poly-sectional reservoirs as described in IETC’s Technical Publication Series number 11 (pages 299-302 and Fig.7.4). According to the design, the upper, shallow part of the reservoir is cut off from the main body of water by a low dam with the gates in it. The gates would regulate an optimal water regime in both parts of the reservoir and in this way control the eutrophication in an integrated way. Management Concerns related to Climate Change In chapter 1 on environmental aspects of eutrophication, hydrological factors were discussed with respect to nutrient loading, residence times and flushing rates. The importance of thermal stratification within lakes and reservoirs for the distribution of nutrients was also noted. These factors are ultimately controlled by climate, i.e., precipitation, evaporation, ambient temperatures and the heat budget of the lake or reservoir. Predicted changes in the world’s climate need to be considered in the planning and management of lakes and reservoirs. The IPCC (Intergovernmental Panel on Climate Change) Second Assessment of Climate Change predicts global temperature increases of between 0.8oC and 4.5oC over the next 50 to 80 years. Continental subhumid regions, such as the savannas of Africa, are likely to experience greater warming and increased aridity. This will result in increased lake temperatures, greater evaporation and altered thermal properties of lakes and reservoirs, tending towards stronger stratification. These effects will have significant impacts on water quality, in general, and eutrophication, in particular. Changes in precipitation and enhanced evaporation could have profound effects on some lakes and reservoirs. In the early decades of the 20th century the outflow from Lake Malawi ceased for a period of seven years; much of Lake Victoria appears to have been converted into a grassland some four thousand years ago. Lake Chilwa in Malawi displays a six-year cycle of lake level fluctuations, which often leads to the drying of the lake. This cycle corresponds to precipitation variability in the region. Furthermore, these studies show that under the present climate, a number of large lakes and wetlands have a delicate balance between inflow and outflow. Therefore, evaporative increases could result in much reduced outflow. Climate-induced changes could also have significant ecological impacts on freshwater ecosystems. For example, reduced outflow would increase the residence period of lakes and reservoirs, thus changing nutrient loading characteristics in favor of eutrophication. Further, increased temperatures may result in increased productivity, increasing sedimentation rates of organic material. This sedimentation could increase biological oxygen demand. Increased temperatures cause increased density difference per unit change in temperature. In low to mid latitudes, this may prolong stratification, as well as strengthen the stability of stratification itself. Higher water temperatures would also mean reduced oxygen

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solubility. In eutrophic and mesotrophic water bodies, this leads to prolonged periods of oxygen depletion in the hypolimnion. A combination of increased evaporation and increased urban wastewater discharge to lakes and reservoirs could significantly change water chemistry, especially in closed-basin lakes. These observations require the manager of eutrophication to design management programs that take into consideration possible climate change impacts. Study Questions 1. Evaluate the capacity of your organization to publicize issues of eutrophication management. 2. List the stakeholders affected by eutrophication and its control. To what extend have they contributed towards effective management of eutrophication? 3. What partnerships does your organization have in the search for technology for the management for eutrophication? 4. If your lake or reservoir is a shared water body between riparian states what management instruments are in place for the effective and harmonious management of water quality in the shared water body? 5. Evaluate the financial support system of your organization and, using cost benefit analysis, consider the optimization of your resources in relation to the economic benefits that accrue from effective management of eutrophication. 6. Consider your monitoring program and the quality and coverage of your database in relation to the discussion in chapters 1 and 2 for their adequacy for eutrophication management. 7. Do your institutional partners in eutrophication management appreciate the need for combating eutrophication? Are there any weak links in your institutional partnerships? 8. To what extent does your organization keep abreast with the infrastructure and human resources requirements for effective eutrophication management operations? 9. Consider the legal instruments pertaining to the management of water resources in your watersheds and evaluate their effectiveness with respect to eutrophication management. Where the watershed is shared among nations consider the corresponding statutory provisions in the riparian states.