Managing Lakes and their Basins
for Sustainable Use
A Report for Lake Basin Managers and Stakeholders

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Copyright © 2005 by the International Lake Environment Committee Foundation
ISBN 4-9901546-2-2
3rd Printing. Printed and bound by Otsu Shigyo in Otsu, Japan.
This publication may be reproduced in whole or in part and in any form for educational or non-profi t purposes without special
permission from the copyright holder, provided acknowledgement of the source is made. No use of this publication may be
made for resale or for any other commercial purpose whatsoever without the prior permission in writing from the International
Lake Environment Committee Foundation.
DISCLAIMER
The fi ndings, interpretations and conclusions expressed in this report are the views of the authors and do not necessarily
represent the views of The World Bank and its Board of Directors, or the countries they represent, nor do they necessarily
represent the view of the organizations, agencies or governments to which any of the authors are associated. Also, the colors,
boundaries, denominations, and classifi cations in this report do not imply, on the part of The World Bank and its Board of
Directors, or the countries they represent, and the organizations, agencies or governments to which any of the authors are
associated, any judgment on the legal or other status of any territory, or any endorsement or acceptance of any boundary.
CITATION
Please cite this report as:
ILEC. 2005. Managing Lakes and their Basins for Sustainable Use: A Report for Lake Basin Managers and Stakeholders.
International Lake Environment Committee Foundation: Kusatsu, Japan.
ABOUT THE COVER
The front and back covers display the 28 lake basins that are the foundation for this report. Each lake basin is numbered, and
the corresponding names may be found in Figure 1.1 on page 5. On the cover, each lake basin spreads over an equal area;
however, in actual size, the difference in area between the largest and smallest basin is over 6,000 times. The lake basins are
grouped by color depending on the continent on which they are located. Designed by Maki Tanigawa and Thomas Ballatore.

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PROJECT AGENCIES/ORGANIZATIONS
Global Environment Facility
1818 H Street, NW
Washington, DC 20433, USA
Tel: +1-202-522-3240
Fax: +1-202-473-0508
http://www.gefweb.org
International Lake Environment Committee Foundation
1091 Oroshimo-cho
Kusatsu, Shiga 525-0001, Japan
Tel: +81-77-568-4567
Fax: +81-77-568-4568
http://www.ilec.or.jp
LakeNet
P.O. Box 3250
Annapolis, MD 21403, USA
Tel: +1-410-268-5155
Fax: +1-410-268-8788
http://www.worldlakes.org
Ramsar Convention on Weltands
Rue Mauverney 28
CH-1196 Gland, Switzerland
Tel: +41-22-999-0170
Fax: +41-22-999-0169
http://www.ramsar.org
Shiga Prefectural Government
4-1-1 Kyomachi
Otsu, Shiga 520-8577, Japan
Tel: +81-77-524-1121
Fax: +81-77-528-4803
http://www.pref.shiga.jp/index-e.html
United Nations Development Programme
One United Nations Plaza
New York, NY 10017, USA
Tel: +1-212-906-5000
Fax: +1-212-906-5364
http://www.undp.org
United Nations Environment Programme
P.O. Box 30552
Nairobi, Kenya
Tel: +254-20-621234
Fax: +254-20-226886
http://www.unep.org
U.S. Agency for International Development
1300 Pennsylvania Avenue, NW
Washington, DC 20523, USA
Tel: +1-202-712-0000
Fax: +1-202-216-3524
http://www.usaid.gov
The World Bank
1818 H Street, NW
Washington, DC 20433, USA
Tel: +1-202-477-1234
Fax: +1-202-477-6391
http://www.worldbank.org

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Contents
Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Section I. Understanding the Resource . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Chapter 1. Learning from Others: Drawing Lessons about Lake Basin Management. . . . . . . . . . . . . . 3
Motivation: Why Lakes? Why Now?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Objectives: Drawing and Disseminating Lessons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Intended Audience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Project Method and Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
The Lake Basins and their Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Lake Briefs, Regional Review Workshops, and Thematic Papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Website Clearinghouse and e-Forum. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Structure of the Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Chapter 2. Biophysical Characteristics of Lakes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Global Extent and Distribution of Lakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
A Typology of Lakes: What Differentiates one Lake from Another? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Basin Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Origin/Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Climate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Salinity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Mixing/Stratifi cation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Features Common to Lakes: What Differentiates Lakes from Other Waterbodies? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Integrating Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Long Retention Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Complex Response Dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Implications for Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Chapter 3. Human Use of Lakes: Values, Problems, and Responses . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Resource Values of Lakes and Their Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Total Economic Value . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Typical Problems Facing the World's Lakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
In-Lake Problems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Littoral Zone Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Lake Basin Problems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Regional/Global Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Emerging Problems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Groundwater Flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Atmospheric Nutrient Pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Contents
i

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Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Shrinking Lake Size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Globalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Environmental Flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Response to the Problems: Management Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
The Components of Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Section II. Meeting the Governance Challenge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Chapter 4. Institutions for Lake Basin Management: Developing Organizations for Action. . . . . . . 29
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Institutions for Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Types of Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Coordination between Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Informal Links to other Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Management of Transboundary Lake Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Longevity of Transboundary Institutions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Forms of Transboundary Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Transboundary Cooperation Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Political and Legal Considerations and Constraints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Resource Mobilization for Planning and Project Implementation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Building Trust with the Public. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Contributions from Different Levels of Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
National-Level Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Local Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Institutions and Stakeholder Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Decentralization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Capacity Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Institutional Evolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Chapter 5. Identifying Effective Actions: National and Local Policies . . . . . . . . . . . . . . . . . . . . . . . . . 39
National Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Local Policies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Enforceable Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Incentives and Disincentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
The Local Policy Mix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Lessons from Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Build "Political Will" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Involve the Stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Ensure Administrative Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Be Equitable. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Actively Work toward Policy Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Chapter 6. Involving People and Stakeholders: An Essential Element of Effective Lake Basin
Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Benefi ts of Stakeholder Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Identifying and Involving Stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Women, Indigenous Peoples and Displaced People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Gender Equity and Women's Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Indigenous Peoples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Displaced People. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
The Role of NGOs and CBOs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Agenda Setting and Policy Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Operational Functions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Networking, Collaboration, and Mediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Communication/Facilitation Role . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Funding NGOs and CBOs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
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Communication, Education and Public Awareness (CEPA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Designing CEPA Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
The Scope of CEPA Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Making CEPA Effective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Chapter 7. Responding with Technology: Opportunities and Limitations . . . . . . . . . . . . . . . . . . . . . . 57
Watershed-based Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Flow Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Flow Diversions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Control of Point-Source Pollution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Control of Nonpoint-Source Pollution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Control of Mining Wastes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
In-Lake Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Control of Water Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Control of Nuisance Species. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Control of Water Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Chapter 8. Informing the Process: The Role of Science . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Information Needs for Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Use of Scientifi c Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Showing Limits to a Resource . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Enlightening Hard-to-See Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Providing Innovative Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Opportunities for the Use of Scientifi c Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
The Use of Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
The Value of Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Assessing Baseline Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Assessing the Effects of Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Sharing Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Use of Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Museums and Information Centers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Involving People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Undertaking Science and Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Resident Research Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Internationally Funded Programs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Integrating Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
GEF Transboundary Diagnostic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Chapter 9. Mobilizing Sustainable Financing: Local, National and External Funds . . . . . . . . . . . . . 77
Locally Generated Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
User Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Pollution Charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
National Funding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
External Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
The Global Environment Facility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Section III. Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Chapter 10. Planning for Sustainable Lake Basin Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Planning for Sustainable Lake Basin Management: A General Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Planning and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Forms of Plans for Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Vision Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Action Plans and Intervention Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Comprehensive Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Statutory Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Environmental Impact Assessments and Strategic Environmental Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Strategic Action Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
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Coordinating Lake Basin Planning Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Approaches to Coordination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Coordinating through Opportunity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Indicators, Monitoring, and Adaptive Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Chapter 11. Toward the Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Reassessing Existing Lake Basin Management Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Key Questions for Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Roadblocks to Lake Basin Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Policy Confl icts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Political Motives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Lack of a Voice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Jurisdictional Boundaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Funding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Dealing with Roadblocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Be Creative and Proactive. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Build Coalitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Develop Shared Visions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Political Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Leverage External Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Sector Reforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Lessons from the Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Focus on Lake Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Promote a Long-Term, Adaptive Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Mainstream Lake Basin Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Coordinate across Sectors and Jurisdictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Encourage both Governance and Investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Involve Stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Promote Basin Partnerships. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Accessing Global Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Toward Global Stakeholder Participation and Partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Toward Enhancement of the Global Lake Basin Management Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Appendix A. Glossary of Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Appendix B. Authors of Lake Briefs, Thematic Papers and Chapters . . . . . . . . . . . . . . . . . . . . . . . . . 107
Appendix C. Summary Outcomes from the Regional Workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Regional Workshop for Europe, Central Asia and the Americas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Regional Workshop for Asia. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Regional Workshop for Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Appendix D. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Appendix E. Maps of the 28 Lake Basins. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Appendix F. Nairobi Statement, Nairobi Declaration, and Kampala Resolution . . . . . . . . . . . . . . . . 143
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Foreword
This report is the main output of a Medium-Sized Project units with their basins. The concept of Integrated Lake Basin
supported by the Global Environment Facility (GEF) known Management (ILBM) complements the Integrated Water
formally as "Towards a Lake Basin Management Initiative: Resources Management (IWRM) approach supported by a
Sharing Lessons and Experiences from GEF and Non-GEF variety of parties (see, for example, http://cap-net.org/iwrm_
Lake Basin Management Projects." The project was conceived
tutorial/). As discussed in the main text, lakes and reservoirs
after the Second World Water Forum in The Hague in 2000
possess characteristics--such as their integrating nature, long
and launched at the Third World Water Forum in Kyoto in retention time, and complex response dynamics--that often
March 2003. This report was launched in October 2005 at affect the way their basins need to be managed. The lessons
the 11th World Lake Conference in Nairobi, Kenya, and also
learned from this project provide important perspectives about
disseminated at the 9th Meeting of the Ramsar Convention
IWRM that have yet to be fully recognized, appreciated, or
in Kampala, Uganda in November 2005. Detailed experience
internalized by water resources planners and managers.
and lessons learned briefs on 28 lake basins are available on
the companion CD-ROM. All project materials, including 17 The project makes four major contributions. First, it has focused
thematic papers, are available at http://www.ilec.or.jp. These
on practical lessons learned from the management efforts
fi nal outputs will be launched at the Fourth World Water Forum
of lake basins around the world--mostly natural lakes, but
in Mexico in March 2006.
some artifi cial ones as well. In the past, although much work
has been done to share scientifi c and technical experiences
The need for this project has been growing over the past 20
on lakes, less attention has been devoted to analyzing the
years. In spite of being central to the lives of much of the
effectiveness of their alternative management approaches,
world's population and providing habitat for aquatic biota, particularly in relation to policy, institutional, economic, and
lake and reservoir basins have not received suffi cient attention
social dimensions. This report directly addresses this gap and
in the global water policy discourse. Further, while the science
should help strengthen the human capacity for improved lake
of limnology has provided much new knowledge about the
and reservoir basin management at the local, basin, national,
biophysical and chemical processes operating in lakes and and regional levels.
reservoirs, our knowledge of how to apply their fi ndings to
the development and implementation of lake basin policy has
Second, the project has created new knowledge. It supported
been quite limited.
the preparation of lake briefs focusing on experiences and
lessons learned for 28 lakes from around the world, as well as
This concern was broadly refl ected in the World Lake Vision
17 cross-cutting thematic papers. Regional workshops held in
presented at the Third World Water Forum (World Lake Vision
the United States, the Philippines, and Kenya brought together
Committee, 2003; http://www.ilec.or.jp/wlv/WLV_Final.pdf ), 288 participants from 41 countries to review and comment on
which highlighted key principles of lake basin management.
the briefs and thematic papers as well as to discuss in general
The international development agencies have also been aware
lake basin management. Knowledge creation and sharing
of such needs; examples include the recommendation of the
was also supported by an electronic forum that linked global
World Bank to develop a Lake Basin Management Initiative
stakeholders in the review of the lake briefs, thematic papers,
(Ayres and others 1996), and the World Bank's Environment
and this fi nal report.
Strategy (2001) and Water Resources Sector Strategy (2004).
Sustainable lake basin management, the aim of this project,
Third, the project fi lls an important gap in lake basin
also supports the Millennium Development Goals (MDGs) management experiences on tropical lakes, arid and semi-
on sustainable water resources management and reinforces
arid lake zones, saline lakes, groundwater-dependent lakes,
some of the central recommendations from the Millennium and lakes in developing countries. A temperate zone bias was
Ecosystem Assessment (MA) (http://www.milleniumassess
avoided by the inclusion of many lakes from tropical, arid, and
ment.org/en/index.aspx).
semi-arid regions. Saline lakes, valuable but often ignored,
and groundwater-dependent lakes, precious but often taken
This report underscores the central role lakes and reservoirs
for granted and neglected, are also covered in the project.
play in integrated water resources management. It advocates
Further, the project included a particular focus on management
that lakes and reservoirs need to be managed as integrated
experiences of lake basins from developing countries, where
Foreword
v

---

the lessons have not yet been adequately synthesized or from the national and international lake projects reviewed
disseminated. It also includes numerous examples of lakes in
in this report has provided a wealth of new information from
countries in economic transition that have many of the same
lake environments that have not been studied well. The
management challenges.
GEF has recognized that analysis and dissemination of past
lake basin management experiences will guide ongoing and
Fourth, the report derives lake basin management lessons future programs on these lakes, as well as on other lakes and
from internationally funded projects, principally the lake reservoirs.
basin projects fi nanced through the GEF and implemented
by the United Nations Development Programme (UNDP), Overall, the report provides a rich record of experience that
United Nations Environment Programme (UNEP) and the World
lake and reservoir managers can draw on when developing lake
Bank, as well as those projects fi nanced by the World Bank
basin management policy and when putting it into practice.
and other agencies and governments. The experience gained
Ian Johnson
Yoshitsugu Kunimatsu
Len Good
Vice President
Governor
Chief Executive Offi cer
Sustainable Development
Shiga Prefecture, Japan
Global Environment Facility
World Bank
vi
Foreword

---

Acknowledgments
This project was implemented as a cooperative program Michaels College, Laguna Lake Development Authority, and
supported by a partnership of multilateral and bilateral the Pan-African START Secretariat in Burlington, Manila, and
agencies, local governments, nongovernmental organizations,
Nairobi repectively. The lake briefs were edited by Thomas
academic and research institutions, and individual specialists.
Ballatore (Asian Lake Briefs), David Read Barker (North
Funding was provided by The Bank-Netherlands Water American, South American and European Lake Briefs), and
Partnership Program, Global Environment Facility (GEF), Victor Muhandiki (African Lake Briefs).
International Lake Environment Committee (ILEC), Shiga
Prefecture (Japan), United States Agency for International Masahisa Nakamura was senior editor of this report, Thomas
Development (USAID), and the World Bank.
Ballatore and Richard Davis were the technical editors, and
Robert Livernash was copy editor. The report was prepared
Rafi k Hirji of the World Bank was task team leader of the Lake
by Thomas Ballatore, David Read Barker, Lisa Borre, Richard
Basin Management Initiative project and Masahisa Nakamura
Davis, John Dixon, Walter Garvey, Victor Muhandiki, Masahisa
of ILEC was project manager of the project implementation
Nakamura, James Nickum, and Walter Rast. Oyugi Aseto,
team. David Read Barker of LakeNet was senior advisor to the
Adelina Santos-Borja, Eric Odada, Sonia Davila-Poblete and
project. A project Steering Committee consisting of Stephen
Sven Erik Jorgensen provided specialist input to the writing
Lintner, Chair (The World Bank), Barbara Best (USAID), Peter
team. Maps were prepared by Thomas Ballatore and Maki
Bridgewater (Ramsar Secretariat), Alfred Duda (GEF), Sean Tanigawa. Walter Rast copy-edited the lake briefs and compiled
Khan (United Nations Environment Programme--UNEP) and the glossary; Darryl Feldmeyer handled the desktop publishing
Dann Sklarew (United Nations Development Programme--
of the report and lake briefs. Michael Glantz from the National
UNDP) provided overall guidance on project implementation
Center for Atmospheric Research, Colorado, was peer reviewer.
and the preparation of this report and other project outputs.
ILEC interns Evan Gach and Don Harris assisted with editing of
the lake briefs and this report.
The project management team and secretariat also included
Thomas Ballatore, Genjiro Furukawa, Naoko Kimura, Yasuo The project managers are grateful to the funding agencies,
Kinoshita, Hiroya Kotani, Victor Muhandiki, Akiko Murano, steering committee members, and all contributors, including
Atsuko Touge, and Chiharu Uyama from ILEC, and David Read
consultants, authors, reviewers, workshop organizers and
Barker, Lisa Borre, and Laurie Duker from LakeNet. Mohammed
participants, and all other supporters of the project and its
Bekhechi, Robin Broadfi eld, Richard Davis, Sharon Esumei, outputs.
Dianne Flex, Samson Kaber, Katherin George Golitzen, Siree
Malaise, and Kisa Mfalila from the World Bank supported data
collection, project administration and review. Task managers
from the World Bank, UNDP and UNEP for the various GEF
and agency supported lake basin management projects were
interviewed at the outset of the project. They provided helpful
assistance during the data collection process and suggested
participants for the regional workshops. Some even provided
review comments on the lake briefs. Jeffrey Lecksell of the
World Bank provided advice on the maps, while Fuad Bateh
and Charles Di Leva also of the World Bank provided legal
advice on the text.
The authors of the lake basin management briefs, 17 cross-
cutting thematic papers, and the chapters of this report
are listed in Appendix B. The briefs were reviewed by 288
participants from 41 countries who attended workshops in
Burlington (United States), Manila (the Philippines), and
Nairobi (Kenya). These workshops were organized by St.
Acknowledgments
vii

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---

Acronyms
BOD
biological oxygen demand
LBCDP
Lake Biwa Comprehensive Development Project
CAC
command and control
LBMI
Lake Basin Management Initiative
CBOs
community-based organizations
LCBP
Lake Champlain Basin Program
CEPA
communication, education, and public awareness
LLDA
Laguna Lake Development Authority
CETP
common effl uent treatment plants
LNGG
Lake Naivasha Growers Group
CITES II
Convention on International Trade in Endangered
LNRA
Lake Naivasha Riparian Association
Species of Wild Fauna and Flora
LTBP
Lake Tanganyika Basin Project
CLEAR
Conservation of Laguna de Bay Environment and
MA
Millennium Ecosystem Assessment
Resources
MDGs
Millennium Development Goals
COD
chemical oxygen demand
MOU
memorandum of understanding
COP
Conference of the Parties
MSP
medium-sized project (of the GEF)
CTC
Centre for Transboundary Co-operation (Lake
Peipsi/Chudskoe)
NGO
nongovernmental organization
CWA
Clean Water Act (United States)
OECD
Organisation for Economic Co-operation and
Development
DO
dissolved oxygen
OM&R
operations, maintenance, and replacement
ECHO
ecology, culture, history, opportunity
(educational center at Lake Champlain)
OSIENALA Friends of Lake Victoria (NGO)
EIA
environmental impact assessment
PCBs
polychlorinated biphenyls
EPA
Environmental Protection Agency (United States)
PIL
public interest litigation
EU
European Union
PRA
participatory rural appraisal
EUF
environmental user fee
SAP
strategic action program
GEF
Global Environment Facility
SEA
strategic environmental assessment
GLC
Great Lakes Commission
SOLEC
State of the Lakes Ecosystem Conference (Great
Lakes, Canada and United States)
GLWQA
Great Lakes Water Quality Agreement
TAC
Technical Advisory Committee (Lake Champlain)
GNI
gross national income
TDA
transboundary diagnostic analysis
IBK
International Bodensee Conference
TEV
total economic value
IDA
International Development Association
TMDL
total maximum daily load
IGKB
International Commission for the Protection of
Lake Constance
UNDP
United Nations Development Programme
IJC
International Joint Commission
UNEP
United Nations Environment Programme
ILBM
integrated lake basin management
UNESCO
United Nations Educational, Scientifi c and
Cultural Organization
ILEC
International Lake Environment Committee
USAID
United States Agency for International
IPCC
Intergovernmental Panel on Climate Change
Development
ITC
International Institute for Geo-Information
WUP
Water Utilization Programme (Mekong Basin)
Science and Earth Observation, The Netherlands
WUP-FN
Finnish Government assistance to WUP
IUCN
International Union for the Conservation of
Nature and Natural Resources
WWF
World Wildlife Fund for Nature
IW
International Waters (one Focal Area of GEF)
ZACPLAN
Zambezi River Basin Action Plan
IW:LEARN International Waters Learning Exchange and
ZOMAP
Zoning and Management Plan for Aquaculture
Resource Network
(Laguna de Bay)
IWRM
integrated water resources management
LAGBIMO
Lake George Basin Integrated Management
Organisation
Acronyms
ix

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---

Summary
This report is the main output of the GEF-supported "Lake
While lakes provide indispensable goods and services, a
Basin Management Initiative" (LBMI). The project's purpose
majority of these are not directly bought and sold on markets
was to synthesize practical lessons learned on lake basin and are therefore often undervalued or even ignored. Once
management from experience around the world, with a they are lost, however, their value becomes apparent.
particular focus on lakes in developing countries as well as
on transboundary lakes. The following is a summary of the key
Impairment of a given lake use arises through overuse and/or
lessons learned.
when two or more users are in confl ict. While some problems
originate in a lake itself (such as overfi shing), the vast majority
Section I: Understanding the Resource
of problems originate from activities on the land surrounding
a lake (Table 3.2, p. 22). Therefore, management of a lake
Characteristic of Lakes (Chapter 2, pp. 9-14)
means management its drainage basin--the two cannot be
separated. Unfortunately, it is rare when the boundaries of the
The properties of lake basins, including the resource values
basin and political system coincide. In some cases, the origin
they provide, vary widely. Whether or not the resources can be
of a given problem may lie beyond the lake's basin, such as
used in a sustainable way depends on how they are managed.
with long-range transport of toxic materials. These problems
Uncontrolled exploitative development of the resource base of
are perhaps the most challenging to address as they are likely
lake basins, including their lands and waters, typically results
to cross many political jurisdictions, including international
in overuse and degradation, invariably degrading water quality
ones.
and destroying ecological integrity. These problems may be
exacerbated by the three behavioral characteristics of lakes,
Many lake management issues originate within drainage basins.
namely their "integrating nature", "long retention time", and
The infl ow of sediments to lakes was the most commonly-
"complex response dynamics". Integrating nature means
cited issue for the lakes studied in the project. Introduced
that connections between users are particularly strong. For
fauna and fl ora, and unsustainable fi shing practices were
example, a polluter is often a victim of pollution. Also, the
the major issues that originated within the lakes themselves.
connections among the water fl ows, substances and biota These basin, in-lake and shoreline issues were found in both
are also quite strong, establishing complex limnological transboundary and national lakes. Global management issues
properties. The relatively long retention time of most lakes were not commonly mentioned. Some issues are well-known,
(compared to rivers) means that the "lake time scale" is not
but have not received adequate attention, an example being
equal to the "political time scale". There is usually a signifi cant
dropping lake levels because of reduced groundwater fl ows.
delay between an action (positive or negative) and the change
Other emerging issues are less well known. They include
in a lake. The complex response dynamics of lakes means atmospheric nutrient pathways, climate change, shrinking lake
that connections are often indirect and not easy to determine.
size, trade globalization impacts, and environmental fl ows.
Changes are often irreversible (Figure 2.2, p. 13) and
dependent on path. These behavioral characteristics apply not
Section II: Meeting the Governance Challenge
only to natural lakes but also to man-made lakes, all essential
components of river basin systems.
The goals of lake basin management vary from lake to lake
as well as through time at a particular lake. Goals range from
Values and Threats (Chapter 3, pp. 15-26)
efforts to preserve pristine conditions all the way to a de facto
acceptance of complete ecosystem destruction. Between
Lakes are the most dramatic and picturesque features of our
these extremes, however, there is usually an attempt to
global landscape, have rich endowment of resource values,
minimize problems and maximize values derived from a lake
and are major components of the hydrologic cycle. They while achieving some equitable distribution of benefi ts and
sustain human livelihoods, support economic activities, responsibilities. The key question is how to best reconcile
provide habitat for biodiversity, and offer important aesthetic
the diverse objectives inherent in lake basin management.
and spiritual values. They also provide buffering capacities The main contribution of this project and this report is to
against hydrologic and climate fl uctuations, as well as being
provide a framework for management of lake basins, or IWRM,
sinks for infl owing materials collected across their basins. based on the lessons learned in the 28 case studies regarding
Summary
xi

---

the six necessary components of any effective management
·
It is hard to anticipate all the types and magnitudes
response:
of problems that will face a lake basin in the future.
Therefore, an institutional arrangement that can
· Adequate institutions for implementing change;
accommodate change is more likely to be effective in
meeting goals than one that is infl exible.
· Effi cient, effective and equitable policies;
Policies (Chapter 5, pp. 39-46)
· Meaningful
participation of all stakeholders involved;
Policies are what institutions implement in order to change
·
Technical measures to ameliorate certain problems;
or reinforce certain behaviors. Policy options range from
awareness-raising (Chapter 6), to creation of rules and
· Appropriate
information about current and future incentives (Chapter 5).
conditions; and,
· Simply
raising awareness among resource users is one
· Suffi cient fi nancing to allow all the above to take place.
of the most effective and easiest policies to implement.
People will often modify a behavior if they learn it has a
Institutions (Chapter 4, pp. 29-38)
negative effect on others.
Institutions are the "who" of lake basin management; that is,
·
Command-and-control policies (rules) are effective
they are the ones who have the authority to make changes in
when there is good capacity to implement; a clear
behavior that a society deems desirable.
environmental goal is known; and the number of
regulatees is low. Direct regulation has contributed to
·
In the 28 case studies, there is no single institution with
large stress reductions in the lake basins in high-income
authority over all aspects of a lake basin's management.
countries in this survey.
In general, the most important institutions are the
national-level, sectoral institutions (Table 4.1, p. 33).
·
The cases show that declaring an area protected is easy;
actually protecting it by restricting activities is much
·
A sectoral approach is problematic, though, because of
harder.
the integrating nature of lakes. Various users are likely
to have an impact on each other, but their activities ·
Economic instruments such as taxes and fees on
often fall under the jurisdiction of different sectors.
discharge of pollutants to the environment may be
politically diffi cult to initiate (as polluters have to pay
·
Transboundary lake basins face the additional hurdle of
something for something that was free before), but the
international jurisdictions.
revenues from economic instruments can be used to
build institutional capacity--key point when capacity is
·
Because lake basin boundaries cannot change
low.
and because the sectoral institutions within most
nation-states are not likely to change, a compromise
·
For a given lake, there is invariably a mix of policies;
is necessary. This usually means the creation of a
"pure policies" only appear in textbooks (Table 5.1, pp.
coordinating mechanism that serves to bring the
44-45).
sectors (and states) together on issues related to a
given lake and its basin.
·
Meaningful participation of all relevant stakeholders is
essential for the legitimacy of an institution's policies.
·
However, goals may not be necessarily achieved by a
single, coordinated lake basin management organization
·
Broader national-level policies, particularly ones related
if the other necessary governance conditions described
to development and poverty reduction, have great
in chapters 5-9 are not met.
bearing on a lake and its management. This further
supports the need for policy coordination among
·
The success of transboundary lake basin management
sectors.
depends on the member states' political will,
commitment, and fulfi llment of obligations, rather Involving People and Stakeholders (Chapter 6, pp.
than the particular form of institution or its legal 47-56)
status. Nonriparian basin countries of a lake that may
be reluctant to join a formal lake basin management
People are central to lake basin management. They are the
authority may be successfully engaged through informal
ones who use a lake's resources; the ones who create and
mechanisms.
suffer from problems; the ones who work in institutions; and
the ones who are affected by any management decisions.
Because of this central role, key lessons about involving
xii
Summary

---

people are found in all sections of this summary (and report). A
·
The extent of conventional and advanced sewage
few highlights include the following.
treatment is highly correlated to the population density
and per capita income of a given lake basin. In low- and
·
Participation in decision making can either be direct
middle-income countries with high population densities,
or indirect (as through an elected representative). The
international funding is common (Box 7.1, p. 61).
cases show that if a person or group feels left out of
the decision-making process, the decisions will not ·
Littoral wetlands are the "kidneys" of a lake and
have legitimacy and implementation will be hard, if not
protection of existing wetlands should be a priority.
impossible. If they are included, then even policies that
require signifi cant sacrifi ce are usually accepted.
· Appropriate
provision of environmental fl ows is
necessary to maintain the ecological health and
·
To achieve an equitable decision, all affected
resource uses of a lake when dams and weirs are
stakeholders including historically-marginalized
constructed upstream for water storage and regulation.
stakeholders such as Indigenous Peoples and women
must be meaningfully included in the decision making
Information (Chapter 8, pp. 67-76)
process.
Accurate, impartial and accessible information is central to lake
·
Without proper understanding and appreciation of the
basin management. Without it, institutions can be ineffi cient,
local cultural beliefs, values, and norms, a lake basin
rules can be ineffective, people can be disempowered, and
management plan will not be accepted and properly technologies can be misapplied.
implemented by the community.
·
Decision making requires not just "scientifi c"
·
Efforts should be made to create a positive link between
knowledge, but also social, economic and cultural
livelihoods of local communities and lake basin
information.
management.
·
Information comes not just from monitoring and
·
Women play a central role in the provision, management
assessment but is also embedded in local knowledge
and safeguarding of water. Their participation in a full
held by non-scientists. Efforts must be made to access
civil society, using a participatory approach and using
the knowledge of local people such as fi shers who
culturally sensitive methods, will enhance efforts to
often have detailed, long-term understanding of lake
achieve effective lake basin management.
resources.
·
Non-governmental organizations (NGOs) and ·
Science can be used to show the limits of lake basin
community-based organizations (CBOs) play a critical
resources, to enlighten hard-to-see connections, and
catalytic role between individuals and governments.
provide innovative solutions to problems. However,
even if perfect information exists, it is not necessarily
Technological Responses (Chapter 7, pp. 57-66)
used.
Changing people's behavior through rules, incentives/
·
The long-term and complex nature of lake ecosystems
disincentives, or awareness raising to achieve management
means that information is particularly valuable to
goals is not easy. For some problems and under particular
decision makers. Accordingly, there must be a long-
circumstances, a technological solution can be an effective
term commitment to information acquisition, including
response (Table 7.1, p. 59).
development of resident research institutes and local
capacity.
·
Root causes of a problem must be addressed for any
technological intervention to have its desired long-
·
Information must be translated into the language
term impact. For example, dredging a lake's sediment
of policymakers to have an effect. It is important
to remove nutrients to control eutrophication is only
to develop easily understood indicators, such as
effective in the long-term if external nutrient loads are
the Process Indicators, Stress Reduction Indicators
controlled.
and Environmental Status Indicators used in GEF
International Waters projects.
·
Many apparently technical interventions, such as
development of sewerage systems might seem like ·
Models do not need to be complex to be useful: some
environmental protection but are actually undertaken
of the most effective models were simple ones that
for broader development reasons such as provision of
matched the local capacity and told decision makers
amenity and/or promotion of employment.
something they would not otherwise have known (Box
8.2, p. 69).
Summary
xiii

---

·
Simply collecting and agreeing on information about term, integrating and complex nature of lakes requires that
a lake basin is a key fi rst step to international management responses are not ad hoc and that they are
cooperation, as promoted by the GEF's Transboundary carried out as comprehensively as possible.
Diagnostic Analysis (pp. 74-75).
·
Planning for lake basins require the integration of the
Financing (Chapter 9, pp. 77-82)
components of good management discussed in Section
II. Any plan for a lake basin needs to be aligned with
A common observation is that suffi cient funding is not
regional and national plans for development and
available to meet all the management goals at a given lake. It
environmental protection.
is clear that, like all resources, money is scarce and available
funds must be put to the best possible use.
·
Plans vary in their levels of detail and breadth. By
focusing on agreed goals, vision statements can
·
Locally generated funds, such as water user fees,
be useful fi rst steps to developing more detailed
fi sh levies and pollution charges can provide a stable
management plans.
and important part of the fi nancial base for lake basin
management. However, unless there is a high value use
·
Comprehensive plans have the advantage of improving
extracted from the lake's resources, these funds are not
effectiveness by integrating actions across sectors.
usually suffi cient for lake basin management.
However, they can be expensive to implement, costly
to coordinate, and infl exible in the face of changing
·
It is important that locally generated funds are largely
political priorities.
retained locally and that there is involvement of resource
users in establishing and administering the fees.
·
As promoted by the GEF International Waters projects,
Strategic Action Programs have been largely benefi cial
·
Most funding for lake basin management comes from
in promoting contact between sectoral and national
national and/or local sources. External funds should play
institutions and have laid the foundation for joint
a catalytic, rather than a primary role for implementing
management interventions.
lake basin management activities and investments.
·
Coordination between sectoral and regional plans should
·
Financing for capital infrastructure investments usually
fi rst take place where the pressures are greatest. They
comes from the national level or from international
should be phased over time and be opportunistic.
resources; local-level funding is an important source of
money to help meet routine recurrent expenditures.
·
Sectoral or regional plans can be coordinated through
(1) a separate coordinating project, (2) a post-hoc
·
National funding, sometimes supplemented by external
unifi cation of outputs, or (3) a broadening in the scope
loans and grants from development organizations, is
of an initially narrow project as it achieves success and
often used for large capital-intensive investments.
gains credibility (Figure 10.2, p. 91).
·
The GEF is a major source of funds for improving the ·
Plans need to be fl exible in the face of changing
management of transboundary and globally important
social needs and external factors. They also need to be
lake basins. These funds are used to establish the
responsive to the results of monitoring. Some activities
enabling environment for successful ongoing lake basin
may be less successful than expected and new issues
management.
may be identifi ed through the monitoring program.
·
To ensure global benefi ts from lake projects, particularly
· Overall,
lake basin management is a process, not a project.
in the case of international lake basins, a programmatic
approach from the GEF and other funding bodies would
Lake basin management must be integrative to be successful,
be better than a project-by-project approach. This given the nature of lakes and their basins. Integrated Water
approach would also require a longer-term commitment
Resources Management (IWRM) and Integrated River Basin
from lake basin countries to sustainable management.
Management (IRBM) therefore serve as the foundations for
Integrated Lake Basin Management or ILBM that this report, in
Section III: Synthesis
essence, is addressing. ILBM, however, is more than a simple
application of IWRM or IRBM principles. It is a management
Planning (Chapter 10, pp. 85-94)
approach that provides many subtle but crucial dimensions
of basin system management that have in the past tended to
Planning is where everything comes together. Each of the six
be neglected. After all, every basin system has a downstream
components of lake basin management discussed in Section
where impoundments of importance, if not natural lakes, serve
II are essential, but without a plan of some sort, attaining
as the focal reserves of resources as well as the barometers of
management goals will be elusive. In particular, the long-
basin vulnerability.
xiv
Summary

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Section I
Understanding the Resource
The three chapters in Section I provide the background necessary to understand the challenges facing lake basins and their
potential values and uses as a key resource for promoting sustainable human livelihoods and development around the world,
as well as for maintaining important life-supporting ecosystems. Chapter 1 introduces the report and the project and contains
reference material on the 28 lake basins in this study. Chapter 2 discusses biophysical aspects of lakes and what differentiates
one lake from another, as well as lakes in general from other types of waterbodies. Chapter 3 looks at how lakes are used and
what problems, current and emerging, they face.

---

---

Chapter 1
Learning from Others:
Drawing Lessons about Lake Basin Management
Motivation: Why Lakes? Why Now?
the complex responses of lakes to exogenous changes, and
that management instruments need to be adapted to the
Lakes, natural or artifi cial, are important for human develop-
integrating nature of lakes.
ment and for the preservation of sound ecosystems and
biodiversity on our planet. They contain 90 percent of the In particular, there is an urgent need to draw practical lessons
liquid freshwater on the earth's surface; are critical elements
on lake basin management, especially in developing countries
of the water cycle; sustain aquatic biodiversity; and provide
in tropical, semi-arid, and arid regions where these systems
livelihoods and social, economic, and aesthetic benefi ts that
are under increasing pressure. In addition, a synthesis of
are essential for the quality of life in lake basin communities.
early lessons from projects implemented by international
organizations--such as the GEF and its implementing
Increasingly, human activities are impacting the ecological agencies--could contribute to feasible, incremental changes
integrity of lakes. However, in spite of their importance in policy that lead to improved lake basin management.
and the growing threats to them, lakes have not received
suffi cient attention in the global discourse on water policy.
In 1996, the World Bank recommended a Lake Basin
While Integrated Water Resources Management (IWRM) is Management Initiative to focus more attention on lake
becoming increasingly accepted as the appropriate framework
basins and help improve their management (Ayres and others
for managing water resources in river basins, IWRM has yet to
1996). The World Lake Vision (Box 1.1), presented at the
take account of the particular characteristics of lakes that may
Third World Water Forum and highlighting key principles of
lie within the basin. These characteristics--integrating nature,
lake basin management, was a step in this direction (World
long retention time, and complex response dynamics--with
Lake Vision Committee 2003). This project, the Lake Basin
peculiar management implications will be discussed in Management Initiative, follows on from the Vision report by
Chapter 2. It is essential that water resources managers providing practical lessons from a study of 28 lake basins
understand that the implications of these characteristics mean
in different geographic and socioeconomic settings around
that management institutions and their policies and plans the world. The fi ndings of this project also reinforce the
need to be established and funded for the long term, that
main recommendations of the 2005 Millennium Ecosystem
scientifi c knowledge is particularly important for unraveling
Assessment (MA).
Box 1.1 The Seven Principles of the World Lake Vision
Principle 1:
A harmonious relationship between humans and nature is essential for the sustainability of lakes.
Principle 2: A lake drainage basin is the logical starting point for planning and management actions for sustainable lake
use.
Principle 3: A long-term, proactive approach directed to preventing the causes of lake degradation is essential.
Principle 4: Policy development and decision making for lake management should be based on sound science and the best
available information.
Principle 5: The management of lakes for their sustainable use requires the resolution of confl icts among competing users
of lake resources, taking into account the needs of present and future generations and of nature.
Principle 6: Citizens and other stakeholders must participate meaningfully in identifying and resolving critical lake
problems.
Principle 7: Good governance, based on fairness, transparency and empowerment of all stakeholders, is essential for
sustainable lake use.
Source: ILEC
(http://www.ilec.or.jp).

---

Objectives: Drawing and Disseminating Lessons
agencies, and research and policy institutions. The report
is also intended for the GEF, the World Bank and other
A diverse group of organizations (Box 1.2) came together international development assistance agencies to help them
to support this project, whose overall objective was to design more effective lake basin management programs. A
strengthen the capacity for improved lake and reservoir basin
companion document (World Bank 2005) has been produced
management at the local, basin, national, and global levels.
with lessons specifi cally targeted to the World Bank and the
Specifi c objectives included:
GEF.
1.
Documenting management experiences through lake Project Method and Approach
basin case studies;
The Lake Basins and their Characteristics
2.
Facilitating the sharing of experiences between decision
Twenty-eight lake basins were selected for study in this project
makers and stakeholders; and,
(Figure 1.1). Table 1.1 provides details of the 28 lake basins and
Appendix E contains maps of the lake basins.
3.
Accelerating learning and implementation of effective
lake and reservoir basin management.
These 28 lake basins represent a wide range of climatic
conditions, sizes, problems, political jurisdictions, and
Intended Audience
management challenges. Included among the lakes are some
of the major freshwater and saline lakes in the world. Twenty-
This report is for a wide spectrum of people involved or two of the lakes contain globally signifi cant biodiversity. Twelve
interested in lake basin management. The term "lake basin
lakes are national lakes; that is, they have basins that lie within
manager" is used in the broad sense, since lake basin a single nation-state. Sixteen of the lakes are transboundary,
management is usually characterized by multiple stakeholders,
where more than one country has jurisdiction over their basins
fragmented lines of authority, and various sources of funding.
or waters. Three of these transboundary lakes (Lakes Baikal,
In this report, it is used as shorthand for the collection of
Cocibolca/Nicaragua, Tonle Sap) lie entirely within one country
people involved in lake basin management, noting that this
but have other countries in their basins.
collection of people and institutions is different in every
case. The report is particularly intended for water resources
Among national lakes, often the challenge is to address
managers who are implementing an IWRM approach at the
upstream and downstream concerns over different sectoral
local, regional or national level; it describes the need to take a
interests. Transboundary lakes face similar concerns to national
different approach when river basins include signifi cant lakes.
lakes. However, their management is more diffi cult because of
The report will also be useful to the staff of non-governmental
different national interests and priorities and because there is
Box 1.2 Key Organizations Involved in the Lake Basin Management Initiative
The main sponsor of this project, as well as programs at approximately half of the lakes studied here, is the Global
Environment Facility (GEF, www.gefweb.org). GEF provides cofi nancing to cover the "incremental cost" of the portion of
projects that provide global environmental benefi ts (such as improved transboundary waterbody management, biodiversity
conservation, and greenhouse gas reduction). GEF cofi nancing for this project emphasizes "the collection of global and
regional projects that provide programmatic and strategic benefi ts for the global environment through technical support,
assessment, and derivation of lessons learned..." GEF has recognized that analysis and dissemination of past lake basin
management experiences will guide ongoing and future programs on these lakes, as well as in other lakes and reservoirs.
The World Bank, the implementing agency for this GEF project, also provided fi nancial support through a grant from the
Bank-Netherlands Water Partnership Program as part of its development of a Lake Basin Management Initiative. The UNDP
and UNEP, the other GEF implementing agencies, supported the project through provision of information and membership on
the project Steering Committee. The United States Agency for International Development (USAID, www.usaid.gov) provided
fi nancial support through an associated project and was a full member of this project, sitting on the Steering Committee.
The Secretariat of the Ramsar Convention on Wetlands--an intergovernmental treaty for the conservation and wise use of
wetlands--helped guide the project, since most of the lakes covered here contain a Ramsar site.
Shiga Prefecture, Japan, is also a fi nancial sponsor of the project. The International Lake Environment Committee Foundation
(ILEC, www.ilec.or.jp), a Shiga Prefecture-based scientifi c organization formed in 1986 to foster sustainable management of
the world's lakes, is the executing agency and a fi nancial sponsor for the project. ILEC worked in partnership with LakeNet
(www.worldlakes.org), a U.S.-based NGO that operates a global network of people and organizations in more than 100
countries working to protect the health of lakes. In addition to supporting this project, USAID awarded a grant to LakeNet and
Saint Michael's College of Vermont in the United States to provide technical assistance on lake basin management in eight
countries.
The GEF, World Bank, UNDP, UNEP, USAID, Shiga Prefecture, and Ramsar Secretariat formed the project's Steering
Committee.
4
Chapter 1

---

1
Aral Sea
8
Chilika Lagoon
15
Laguna de Bay
22
Tanganyika
2
Baikal
9
Cocibolca/Nicaragua
16
Malawi/Nyasa
23
Titicaca
3
Baringo
10
Constance
17
Naivasha
24
Toba
4
Bhoj Wetland
11
Dianchi
18
Nakuru
25
Tonle Sap
5
Biwa
12
Great Lakes (N. American)
19
Ohrid
26
Tucurui Reservoir
6
Chad
13
Issyk-Kul
20
Peipsi/Chudskoe
27
Victoria
7
Champlain
14
Kariba Reservoir
21
Sevan
28
Xingkai/Khanka
Figure 1.1 The Global Distribution of the 28 Lake Basins in this Study.
often no overarching authority; instead, the riparian countries
Three of the lakes are reservoirs of which one--the Bhoj
need to reach a mutually acceptable agreement on common
Wetland--dates back to the 11th century and two--the Kariba
and complementary management actions, which often have to
and Tucurui Reservoirs--were constructed in the second half
be codifi ed in international law. Developing such agreements
of the 20th century for hydropower generation. Reservoir
is typically a complex and lengthy process because of concerns
basins share many characteristics with lake basins. However,
over sovereignty, as well as differences in legal and policy there are also some problems as well as management
frameworks and information, capacity, and institutions.
opportunities that distinguish them from lake basins. The
construction of reservoirs can affect people who were
The study includes all but three lake basins (Lakes Manzala
previously reliant on either the land and water now fl ooded
and Volta and the Caspian Sea) which have had GEF-funded
for the reservoir, or on fl ows from the river downstream of the
projects, including ten in GEF's International Waters focal dam. In extreme cases, such as the Kariba Reservoir described
area and six in its Biodiversity focal area. Several lakes with
in this study, it can lead to the displacement of people without
proposed GEF projects were also incorporated. The North adequate compensation. On the other hand, new reservoirs
American Great Lakes, Lake Champlain, and Lake Constance
open ecological niches which can be exploited for productive
were included to provide some non-GEF transboundary lake
purposes (such as the introduction of food and sport fi sh
basins for comparison. Similarly, the project included several
species at the Kariba Reservoir), and they are generally
non-GEF lake basins that contain important biodiversity: constructed for high value purposes (such as hydropower,
Chilika, Issyk-Kul, Naivasha, Nakuru and Sevan. Three of the
domestic and industrial water, and irrigation supply) which can
lake basins--the Aral Sea, Issyk-Kul and Lake Nakuru--are
yield an income stream for management of the reservoir basin.
saline inland waters, and one--Chilika Lagoon--is a brackish
Also, with suffi cient planning and technical investigations,
coastal lagoon. The remaining are freshwater lakes. Four of the
they can also be designed and managed to reduce problems
lakes--Lakes Constance, Champlain, and Biwa and the North
such as siltation and lack of evironmentally sustaining fl ows.
American Great Lakes--are from high-income countries; seven
For example, high volume, low level releases can be used to
are from countries in economic transition; and the remainder
scour sediments and prevent infi lling, while environmental
are from developing countries. The median gross national fl ow releases can be incorporated into the dam operating rules
incomes of high-income countries, countries in economic to ensure that aquatic ecosystems continue to function for the
transition and developing countries with lakes in this study are
benefi t of downstream communities.
US$31,855, US$1,302 and US$712 respectively.
Learning from Others
5

---

Table 1.1
Key Features of the 28 Project Lake Basins.
Lake B asin
Basin Countries
Area (km2)
Pop.
GNIb





Density
(per
# Name
Riparian
Non-Riparian
Lake
Basina
(per km2)
capita)

Kazakhstan,
Afghanistan, Islamic Rep. Iran,
1 Aral
Sea

17,158 1,549,000
2.7
1,100


Uzbekistan Kyrgyz
Rep.,
Tajikistan,
Turkmenistan

2 Baikal
Russian Fed.
Mongolia
31,500
571,000
9
2,610

3 Baringo
Kenya
108 6,820 ...
400

4 Bhoj
Wetland
India
32.3
370
1,351
540

5 Biwa
Japan
670 3,848
338
34,180

Cameroon, Chad,
Algeria, Central African Republic,
6 Chad

1,350 2,400,000
9
355


Niger, Nigeria
Libya, Sudan

Canada,
7 Champlain


1,127 21,325
28
31,170


United States

8 Chilika
Lagoon
India
906-1165 4,300
47
540

Cocibolca/
9
Nicaragua Costa
Rica
8,000
23,844 211
740

Nicaragua

Austria, Germany,
10 Constance
Liechtenstein 572
11,487
261
30,920


Switzerland

11 Dianchi
China
300 2,920
1,082
1,100
Great Lakes
Canada,
12


244,160 765,990 43
31,170

(North American)
United States

13 Issyk-Kul
Kyrgyz Rep.

6,236
22,080
19
340


Angola, Botswana,
14 Kariba
Reservoir
Zambia, Zimbabwe
5,580 687,049 20
430



Namibia

15 Laguna de Bay
Philippines
900
3,820 1,570
1,080

Malawi,
16 Malawi/Nyasa

29,500 100,500 68
223


Mozambique,Tanzania

17 Naivasha
Kenya
140 2,240
76
400

18 Nakuru
Kenya
30 1,800
222
400

Albania,
19 Ohrid
Greece 358
3,921
49
1,860


FYR Macedonia

Estonia,
20 Peipsi/Chudskoe
Latvia 3,555
47,800
21
3,995


Russian Fed.

21 Sevan
Armenia
1,236
3,708 74
950

Burundi, D.R. Congo,
22 Tanganyika
Rwanda 32,600
223,000
45
218


Tanzania, Zambia

23 Titicaca
Bolivia, Peru

8,400
56,270
15.6
1,520

24 Toba
Indonesia
1,103
3,658 162
810


China, Lao PDR, Myanmar,
2,500 -
70,000­
25 Tonle
Sap
Cambodia


59 300



Thailand, Vietnam
16,000
795,000c

26 Tucurui
Reservoir
Brazil
2,430
803,250 6.8
2,720

Kenya, Tanzania,
27 Victoria
Burundi, Rwanda
68,800
193,000
155
317


Uganda

China,

4,000 -
28 Xingkai/Khanka
21,766 16
1,855


Russian Fed.

4,400
... Not
available.
Notes:
Most of the information is derived from the lake briefs. Parameters such as basin type and water type are explained in Chapter 2.
a.
Basin area includes lake area.
b.
Gross National Income (GNI) per capita in US Dollars is for 2003, based on World Bank fi gures available at http://www.worldbank.org. Values are arithmetic average for riparian
countries; nonriparian states not included.
c.
The Tonle Sap basin is 70,000 km2; the Mekong River basin is 795,000 km2.
6
Chapter 1

---

Table 1.1
(Cont.)





Max.

Retention
Basin
Water
Altitude
Vol.
Lake Basin


Climated
Origin Depth
Time
Type
Type
(m)
(km3)






(m)

(yrs)


30 (Small Sea)

108
Aral Sea
Closed Saline
Dry:
Arid
Glacial
46
...





40 (Large Sea)

(in 2003)

Surface

Cooler humid:
Baikal
Fresh
Tectonic 456
1,637
23,600
330

Open Subarctic

Subsurface
Baringo

Fresh Dry:
Semi-arid
Tectonic
975
3.5
...
...

Open


Warmer humid:
Bhoj Wetland
Reservoir Fresh
Constructed
504
11.7
0.121
less than 1



Humid subtropical

Surface

Warmer humid:
Biwa
Fresh
Tectonic 86
104
27.5
5.5

Open Humid
subtropical

Subsurface
Chad
Fresh Dry:
Arid
Tectonic
283
7
20
...

Open

Surface

Cooler humid:
Tectonic/

3 (Main Lake)
Champlain
Fresh

29 120
25.8

Open

Continental cool summer
Glacial



0.17 (South Lake)


Fresh to
Tropical humid;
Chilika Lagoon
Coastal
Coastal Sea
Level 3.7 4
...


Saline Savanna
Cocibolca/
Surface

Tropical humid:
Tectonic/
Fresh
31 45
104
...
Nicaragua
Open Savanna
Volcanic

Surface

Cooler humid:


4.3 (upper lake)
Constance
Fresh
Glacial
395 254
48.5

Open

Continental cool summer




0.07 (lower lake)

Surface

Warmer humid:

Dianchi
Fresh
Tectonic
1,887 8
1.56
2.74

Open Humid
subtropical
Great Lakes
Surface

Cooler humid:

183 (Superior)

191 (Superior)
Fresh
Glacial
406 22,684
(North American)
Open

Continental cool summer

74 (Ontario)


2.6 (Erie)


Highland:
Issyk-Kul
Closed Saline
Tectonic 1,608
668
1,738
305



Semi-arid

Kariba Reservoir
Reservoir Fresh Dry:
Semi-arid
Constructed
485
97
185
3


Tropical humid:
Tectonic/
Laguna de Bay
Coastal Fresh
2 7.3
2.25
0.67



Rain forest (Monsoon)
Coastal


Tropical humid:

Malawi/Nyasa
Transition Fresh
Tectonic
474 700
7,775
114



Savanna

Subsurface

Warmer humid:
Naivasha
Fresh
Tectonic 1,885
18
...
...

Open Humid
subtropical


Warmer humid:
Nakuru
Closed Saline
Tectonic 1,759
4.5
0.092
...



Humid subtropical

Subsurface

Warmer humid:
Ohrid
Fresh
Tectonic 690
289
58.6
70

Open Mediterranean

Surface

Cooler humid:
Peipsi/Chudskoe
Fresh
Glacial 30
12.9
25.1
2

Open

Continental cool summer

Surface
Sevan

Fresh Dry:
Semi-arid
Tectonic
1,896
80
32.9
...

Open

Surface

Tropical humid:
Tanganyika
Fresh

Tectonic 773
1,470
18,880
440

Open Savanna


Highland:
Tectonic/
Titicaca
Transition Fresh
3,810 283
930
56



Tropical Glacial

Surface

Tropical humid:
Volcanic/
Toba

Fresh

904 505
240
109-279

Open Rain
forest
Tectonic


Tropical humid:
Tonle Sap
Mixed Flow
Fresh
Riverine 10
10
72.9
(max.)
...



Savanna


Tropical humid:
Tucurui Reservoir
Reservoir Fresh
Constructed 78 72
45
0.12



Rain forest

Surface

Tropical humid:
Victoria

Fresh
Tectonic 1,134
80
2,760
23

Open Savanna

Surface

Cooler humid:

18.3 (avg.)
Xingkai/Khanka
Fresh
Tectonic 69
10.6
10

Open

Continental cool summer



22.6 (max.)
d. Source:
The Times Atlas of the World, Tenth Comprehensive Edition, pp. 36-37.
Learning from Others
7

---

Lake Briefs, Regional Review Workshops, and Thematic
Section III: Synthesis is where all the lessons are brought
Papers
together into a coherent whole, fi rst in Planning (Chapter 10)
Local and international experts were commissioned to prepare
and then in Toward the Future (Chapter 11).
briefs on experience and lessons learned for the 28 lake
basins. The briefs document not just the biophysical conditions
Appendix A is a glossary of terms used in this report. The list of
but also the socioeconomic conditions and management lake briefs and thematic papers and their authors can be found
experience, including lessons learned, at each lake basin. A
in Appendix B. Appendix C provides the summary outcomes
list of lake brief authors is given in Appendix B. The full set of
from the three regional workshops. Appendix D is a list of
briefs can be found on the companion CD-ROM.
references. Appendix E provides a map for each of the 28 lake
basins. Appendix F presents the Conference Statement and
The lake briefs were reviewed in three regional workshops:
Ministerial Resolution from the 11th World Lake Conference,
Europe, Central Asia, and the Americas (hosted by Saint Nairobi, Kenya; and the Main Points of the Declaration from the
Michael's College, in Burlington, Vermont, USA in June 2003),
9th Meeting of the Ramsar Convention, Kampala, Uganda.
Asia (hosted by the Laguna Lake Development Authority in
Manila, Philippines in September 2003) and Africa (hosted
by the Pan-African START Secretariat in Nairobi, Kenya in
November 2003). The workshops brought together 288
participants from 41 countries who provided additional
valuable information on lake basin management (Appendix
C). In addition to the 28 lake briefs, this report draws on
information on the development of community-based
management at Lake George in Uganda; these experiences
were presented at the African regional workshop.
In addition to the briefs, 17 thematic papers were commissioned
on cross-cutting or regional/global issues. A list of these
papers and their authors can also be found in Appendix B.
Website Clearinghouse and e-Forum
A project e-forum (www.worldlakes.org) was established
to facilitate communication and dialogue among project
participants, including public review of the briefs, thematic
papers, and this report.
Structure of the Report
The report is divided into three sections containing eleven
chapters. These are followed by fi ve appendices. A companion
CD-ROM contains the lake briefs and the thematic papers.
Section I: Understanding the Resource covers the key
biophysical aspects (Chapter 2) and human use aspects
(Chapter 3) that make lake basin management such a
challenge. The 28 lake basins are used to illustrate the wide
range of values, uses, and problems facing lakes, and typical
management responses. The key components of lake basin
management are presented.
Section II: Meeting the Governance Challenge forms the core
of the report. Each chapter in this section presents lessons
learned on the main components of lake basin management:
namely, Institutions (Chapter 4), Policy Tools (Chapter 5),
People (Chapter 6), Technological Responses (Chapter 7),
Information (Chapter 8) and Finance (Chapter 9). While these
components can be read as stand-alone chapters, they are
best read as a whole.
8
Chapter 1

---

Chapter 2
Biophysical Characteristics of Lakes
This chapter highlights those features of lakes and their saline surface lakes, and even has some lakes buried under
basins that have the greatest implications for human use and
kilometers of ice (for example, Lake Vostok). Even arid and
management. A more thorough treatment is available in Wetzel
semi-arid areas have lakes, many of which are naturally saline
(2004), Klaff (2002) or Horne and Goldman (1994).
due to high evaporation rates.
Global Extent and Distribution of Lakes
Reservoirs and impoundments are most often built in regions
of the world that lack substantial numbers of natural lakes,
According to the most comprehensive study of the global and are used primarily to address recurring problems of
distribution of natural lakes (Meybeck 1995), there are water shortages (drought) or excesses (fl oods). The World
approximately 5.3 million lakes over one hectare in size Commission on Dams (2000) estimates there are over 45,000
(Table 2.1). Overall, lakes hold 100,000 km3 of freshwater--90
large dams (15 m high or between 5-15 m high with a reservoir
percent of the earth's liquid surface total (Shiklomanov 1993).
volume greater than 3 million m3); most were constructed in
Saline lakes hold a nearly equal volume of water.
the latter half of the 20th century.
The global water cycle has been profoundly changed by the
A Typology of Lakes: What Differentiates one Lake
construction of artifi cial lakes by damming rivers; these from Another?
reservoirs contain over 14 percent of global annual runoff. While
construction of large reservoirs is a modern phenomenon, This section looks at fi ve key characteristics of lake basins--
older, smaller reservoirs such as the Bhoj Wetland have been
basin type, climate, origin, salinity and mixing--that have
around for over a thousand years.
major implications for human use of lakes.
The distribution of lakes is governed primarily by variations
Basin Type
in geology and climate. Lakes are most abundant in Canada,
At one time, lakes were seen as worlds unto themselves
the Nordic countries, and the Russian Federation, where (Forbes 1875). The existence of a shoreline implied that a lake
there are numerous depressions and a surplus of rainfall is a discrete entity. Advances in knowledge, driven in part by
over evaporation. However, they are found on all continents
research on problems at lakes around the world, have led to
of the world, even on Antarctica, which is home to many the understanding that lakes are intimately connected to their
drainage basins. This is articulated as Principle 2 of the World
Table 2.1 Origin, Number and Extent of the World's Lakes
Lake Vision (Box 1.1). An analysis of issues in the 28 lake briefs
(> 1 ha).
(see next chapter) confi rms the intimate link between what
Origin
Number
Total Area
Number in
happens in a lake with what is happening in its drainage basin
(ha)
our survey1
(the terms catchment, watershed, and drainage basin are used
Glacial
3,875,000
1,247,000
4
almost synonymously). The cases also show that sometimes
lakes can be infl uenced by activities happening in their airshed
Tectonic
249,000
893,000
17
beyond their surface water basins.
Coastal
41,000
60,000
2
Riverine
531,000
218,000
1
Lake basins can be categorized by their water balance: that is,
Volcanic
1,000
3,000
1
how water gets into and out of the lake. Scientists distinguish
between open and closed lake basins, or those that have rivers
Other/Unknown
567,000
88,000
0
draining the lake and those that do not. The categorization
Constructed
45,000
...
3
in Figure 2.1 builds on and extends this simple dichotomy to
Total
5,309,000
2,509,000
28
account for the diversity of basin types in the 28 project lakes.
... Not
available.
Source:
Adapted from Meybeck (1995).
Surface Drainage Basin. An open basin with surface water
1.
Several lakes have multiple and/or unclear origins. They
outlet(s). Water leaves the lake by one or more rivers,
are categorized here under the origin listed fi rst in Table
allowing ions (components of salinity) to be fl ushed. Thus,
1.1. Number of reservoirs from World Commission on Dams
the water remains fresh. Many of the lakes in this report are
(2000).

---

Lake Constance Basin
Lake Naivasha Basin
Lake Malawi/Nyasa Basin
Issyk-Kul Basin
a) Surface Drainage Basin
b) Subsurface Drainage Basin
c) Transitional Drainage
d) Closed Drainage Basin
Basin
Chilika Lagoon Basin
Tonle Sap Basin
Tucurui Reservoir Basin
e) Coastal Drainage Basin
f ) Mixed Flow Drainage Basin
g) Reservoir Basin
Figure 2.1 The Variety of Lake Basin Types.
in open drainage basins, with rivers being the major water
open basins of equal area. The Lake Malawi/Nyasa Basin has a
outfl ow. Water also leaves this type of lake via evaporation
discharge in the south that sometimes fails to fl ow, sometimes
and groundwater, but those components are relatively minor
making it a closed basin. Examples include Malawi/Nyasa,
compared with river outfl ows. Examples are Lakes Baikal, Sevan, Tanganyika, Titicaca, and Victoria.
Biwa, Constance, Dianchi, the North American Great Lakes,
Peipsi/Chudskoe, Toba, and Xingkai/Khanka.
Closed Drainage Basin. A terminal basin with neither
signifi cant surface nor subsurface outfl ow. Water leaves the
Subsurface Drainage Basin. An open basin with a signifi cant
lake only through evaporation, which generally leads to higher
subsurface inlet/outlet(s). Many lakes have no surface river
salinity (total ionic concentration). Thus, most lakes in closed
discharge, yet remain fresh due to substantial fl ow of water
basins are either saline (total ionic concentration >3 g/L) or are
(and salt) via groundwater. Lake Naivasha in Kenya is an becoming so. Examples of closed basin lakes include the Aral
excellent illustration of a lake dominated by groundwater fl ow.
Sea, Issyk-Kul, and Nakuru.
Lake Ohrid is an interesting case where much infl ow to the lake
comes from groundwater from a different surface lake basin.
Coastal Drainage Basin. A drainage basin with fl ows to and
Examples include Lakes Baringo, Chad, Naivasha, and Ohrid.
from the ocean. Freshwater typically enters the lake through
rivers draining to it. The lake periodically/seasonally drains to
Transitional Drainage Basin. A basin with some surface or the ocean; sometimes the ocean drains to the lake. This can
subsurface outfl ow but with signifi cant evaporation. This type
lead to a complex and seasonally dependent salinity gradient
of lake occurs mainly in low latitude, and arid/semi-arid areas
that is important for the biota. Examples include Chilika
where solar radiation--and hence evaporation--is strong. Lagoon and, to a lesser extent, Laguna de Bay.
Small changes in climate or human use can switch a transition
basin lake between open and closed states. Greater relative
Mixed Flow Drainage Basin. A drainage basin with infl owing
dependence on direct precipitation and evaporation makes rivers that reverse direction depending on the season. In
these lakes more sensitive to atmospheric inputs than other
contrast to a coastal lake, the fl ows come from a freshwater
10
Chapter 2

---

river. This reversal of fl ow leads to large fl uctuations in lake
occur in closed drainage basins in arid and semi-arid regions
water level and area. These lakes commonly occur in internal
(Williams 1998). Lake Titicaca occupies a unique position as
deltas. Tonle Sap is a prime example of this type. For this type
a high-elevation, tropical lake. The remaining six lakes are
of basin, the size of the lake's drainage basin is seasonal, since
located in temperate regions.
the connecting river infl ow is seasonal.
Shallow lakes are particularly sensitive to climatic variation.
Reservoir Basin. A drainage basin with a dammed river. For example, Lake Nakuru has little buffering capacity to
In many areas where geology and climate do not favor the
withstand both intra-seasonal and inter-seasonal climate
formation of natural lakes, reservoirs are constructed, although
variability because of its shallow depth, high evaporation
the reasons for construction are quite diverse. Reservoirs tend
rates, and seasonal infl owing rivers. The fi rst peak fl ow occurs
to have large basin-to-lake area ratios and often have a highly
in May (a month after peak rainfall), while the second peak
dendritic shape; both of these characteristics are illustrated in
coincides with rain in the month of August. The Lake Nakuru
Figure 2.1 for the Tucurui Reservoir and its extensive basin. The
basin is a closed basin so only evaporation accounts for water
transition from river to lake environments within the reservoir
loss from the lake. Consequently, long drought periods, such
proper is gradual and progresses with proximity to the dam.
as 1993 to 1996, have resulted in excessive lake-level decline.
Examples include the Bhoj Wetland, and the Kariba and
Tucurui Reservoirs.
Scientifi c knowledge of lakes has primarily come from studies
of temperate lakes in Europe and North America. In order to
Origin/Age
expand the knowledge base, we have included many non-
Table 2.1 shows that about 75 percent of the world's lakes
temperate lakes and lakes from developing countries in this
were formed as a result of the last ice age, which ended study.
around 10,000 years ago. Coastal lakes are even more recent,
having been formed when sea levels stabilized around 6,000
Salinity
years ago. Tectonic lakes range greatly in age, but tend to be
Williams (1998) has defi ned saline waters as those with total
very old. The oldest, Lake Baikal which lies in a tectonic rift in
ionic concentrations greater than 3 g/L. Waters less saline than
Siberia, is thought to be over 20 million years old. The Great
this are considered fresh. When water evaporates, most of the
Rift Valley of Africa contains similarly old and deep lakes such
ions remain behind. When evaporation is the dominant way for
as Lakes Malawi/Nyasa and Tanganyika. Eight of the world's 15
water to leave a lake, there is a gradual increase in the lake's
ancient lakes (greater than two million years old) are included
salinity. All three saline lakes in our survey--the Aral Sea, Lake
in this study.
Nakuru, and Issyk-Kul--occur in closed basins (the fourth
saline waterbody is the coastal Chilika Lagoon).
A lake's origin has great implications for its characteristics. For
example, coastal lagoons are naturally susceptible to siltation,
The study lakes cover the spectrum of salinity from freshwater
as they usually lie at the end of large riverine catchments. They
to hyper-saline lakes. The salinity of a lake is of utmost
go through an aging process in which they gradually fi ll in with
importance to the biota, and consequently to human users.
silt, become more-and-more closed off from the sea, and lower
The Aral Sea was once a moderately saline water body, but
in salinity. On the other hand, tectonic lakes tend to be deeper
due to upstream diversions of rivers, the lake's water balance
and older, and therefore have longer retention times. They are
has become dominated by evaporation and its salinity has
likely to contain endemic species with signifi cant biodiversity
dramatically increased, leading to the complete loss of the
value.
fi shery. However, increasing salinity can be benefi cial. The
Chilika Lagoon brief shows how a reduction in infl ow of saline
Climate
(ocean) water led to a drop in salinity that led to a decline in
Solar energy input affects the quantity and seasonality of fl ows
fi sh that were attuned to the saline ecosystem. Lake Nakuru,
into a lake, the thermal properties of the lake, and biological
a sodic lake in the Kenyan portion of the Rift Valley, provides
processes in the lake. Table 1.1 in Chapter 1 classifi es lake
an example of where extreme salinity is the basis of the lake's
basins by the Köppen climate system, which recognizes six
most important and unique values (Box 2.1).
major climatic types--polar, cooler humid, warmer humid, dry,
tropical humid, and highland--each of which can be further
Mixing/Stratifi cation
subdivided.
Water movement in lakes is multidirectional and complex.
For many lakes, there can be periods when the lake stratifi es;
The 28 project lakes cover a wide range of climate types. that is, the upper water of a lake does not mix with the lower
Most are in tropical (10) or subtropical (5) climates, which are
water. Effectively, the lake is separated into two waterbodies,
characterized by abundant rainfall and strong solar radiation.
one lying on top of the other. Stratifi cation can be caused by
A further six lakes are in arid or semi-arid regions (areas warming of the upper waterbody through solar radiation, or by
with between 25-200 mm and 200-500 mm annual rainfall differences in salinity between upper and lower waters. Strong
respectively). Many of these arid and semi-arid regions are
stratifi cation--that is, large density differences between upper
low in latitude and therefore subject to strong solar radiation
and lower waters--occurs particularly in tropical lakes.
and high evaporation. The majority of the world's saline lakes
Biophysical Aspects of Lakes
11

---

The principal consequence of stratifi cation is that the bottom
Integrating nature refers to the mixing of these inputs within
waters become disconnected from the atmosphere and do not
a lake so that both resources and problems are disseminated
receive a regular supply of oxygen. Oxygen levels drop in these
throughout the volume of a lake. There are important limits
waters as various chemical and biological processes use up the
to mixing--stratifi cation can prevent complete vertical
existing oxygen. Fish and many other biota cannot live in these
mixing, and restricted embayments can limit horizontal water
oxygen-depleted waters. Undesirable reactions can occur that
movement. Nevertheless, valuable resources such as fi sh and
lead to pollutants, such as methane and phosphorus, being
invertebrates, as well as problems such as fl oating plants and
released from the bottom sediments.
pollution, are able to move throughout most of the upper parts
of a lake.
Stratifi cation and mixing can occur in various patterns
including monomictic (mixing once a year), dimictic (twice Long Retention Time
a year), polymictic (many times a year), and meromictic Lakes are slow to respond to changes. They are able to absorb
(continuously stratifi ed). Mono- and dimictic lakes are fl oodwaters, pollutants, and heat without showing immediate
usually found in temperate regions where the seasonality of
changes. Water residence time is calculated as the volume of
solar radiation is most pronounced. Shallow lakes tend to be
a lake divided by the annual fl ow of water in (or out). It gives
well-mixed (polymictic) year round, with only brief periods of
an indication of the average time water spends in a lake. Table
stratifi cation. Some lakes, such as Lakes Malawi/Nyasa and
1.1 gives the residence times for many of the lakes in the study.
Tanganyika, are permanently stratifi ed because wind cannot
The shortest time is 2 months (Tucurui Reservoir) and the
supply the energy needed to mix the huge volumes of water
longest is 440 years (Lake Tanganyika). The world average for
in these very deep lakes. Any material that sinks into the lower
lakes is 17 years, compared to two weeks for undammed rivers
layer of these lakes is virtually gone forever.
(Klaff 2002).
Features Common to Lakes: What Differentiates Lakes
Long retention time has several important implications. One is
from Other Waterbodies?
that lakes are relatively stable. Even in severe droughts, most
lakes still have some water in them: their large volumes in most
Lakes have three fundamental characteristics in common--
cases buffer short-term variations in fl ows. In severe droughts,
integrating nature, long retention time, and complex response
lakes can dry out, especially if they are in closed basins. The
dynamics. Individually, these characteristics are not unique to
Aral Sea is known to have greatly shrunk several times in the
lakes--for example, groundwater also has a long retention last two-thousand years, and Lake Nakuru was largely dried
time, and estuaries can have complex dynamics. But the out in the 1980s. As a reliable "pool" of water, they present
combination of these characteristics is unique to lakes and has
a fl at surface allowing for easy navigation. Additionally, long
an important infl uence on the application of IWRM principles
retention time allows for suspended materials to settle to the
to lake basin management.
bottom. This means that lakes act as high-effi ciency sinks for
many materials. Because of their relative permanence, many
Integrating Nature
lakes have fostered civilizations and become symbols of
Lakes receive inputs from diverse sources in various forms
cultures. Lakes Sevan and Ohrid provide examples. Settlement
from drainage basins and beyond. The inputs to a lake come
at the former is known to date back more than 9,000 years,
in the form of atmospheric precipitation; fl ows from rivers and
while the Macedonian side of Lake Ohrid has been designated
other infl owing channels; heat- and wind-induced energies that
a World Heritage site, partly because there are physical
cause waves; thermal energies that affect mixing properties;
remains from its long history of settlement.
and land-based and airborne pollutants and contaminants,
nutrients, and organic substances, both living and non-living
Another implication is that the long-term stability of the
matter.
older lakes has allowed complex, often unique ecosystems
to evolve. Lake Malawi/Nyasa provides an example of what
Box 2.1 Lake Nakuru--Saline and Sublime
Lake Nakuru is an extreme example of a saline lake with salinity levels that range between 8 and 200 parts per thousand.
Owing to its strongly sodic nature, Lake Nakuru has limited uses for man. Its waters render it unsuitable for irrigation, contact
sport, fi shing, or domestic consumption. Such highly alkaline lakes are characterized by low species diversity and simple
community structures where a few tolerant and adapted species attain high population densities. In the case of Lake Nakuru,
the Cyanophyte, Arthrospira fusiformis (Voronichin), thrives in the highly saline waters and forms the food source for the
lesser fl amingos. This is a specialized feeder, whose feeding habits are restricted to those wetlands in which Arthrospira
fusiformis fl ourishes. The lesser fl amingo is a vulnerable species (CITES List II).
Primarily because of the large assemblages of fl amingos, Lake Nakuru is a highly valued national park and a major source
of revenue for the local and national economy. In addition to its value as a national park, it also serves as a reservoir for
the assimilation of wastes generated within its drainage basin. Managing this lake involves balancing these two apparently
confl icting uses.
12
Chapter 2

---

millions of years of relative isolation, coupled with natural This abrupt switch in the basis of the lake's foodchain was the
selection, can produce--over 500 endemic fi sh species exist in
result of gradually increasing nutrient loads and has major
this lake. However, this biodiversity can be rapidly destroyed,
implications for the lake's entire ecosystem. Lake Naivasha
as demonstrated by the major loss of fi sh community structure
is another lake where aquatic ecologists speculate that the
following the introduction of Nile perch and the increasing lake switched state when alien species were introduced in
eutrophication of Lake Victoria. Lake ecosystems are resilient
the lake. The introduction of the Louisiana crayfi sh especially
when faced with stresses that have existed over evolutionary
has changed the original submerged macrophyte-dominated
time scales, but can be extremely vulnerable to "new" stresses,
ecosystem into a rather macrophyte-depleted ecosystem.
such as the introduction of exotic species.
Biomagnifi cation is another example of complexity in lake
The long retention time also means that, once a lake is ecosystems. Biomagnifi cation refers to the increase in
degraded, it takes a very long time--if ever--for it to recover or
concentration of certain compounds in organisms as one goes
be restored. Evidence from the lake briefs--such as the long-
up the food chain. Toxic compounds such as PCBs and dioxins
term release of toxic chemicals from sediment in the North
are extremely soluble in fat and therefore remain in the bodies
American Great Lakes--shows that reversing degradation is
of organisms that consume them and so get concentrated as
hard, costly, and often impossible. The long retention time lower order organisms are consumed by higher order ones.
of lakes leads to lags in ecosystem response that are poorly
Table 2.2 shows how the concentration of PCBs increases up
matched to the human management time-scale.
the North American Great Lakes food chain.
Complex Response Dynamics
Table 2.2 Biomagnifi cation of PCBs in the North American
Great Lakes.
Unlike rivers, lakes do not always respond to changes in
a linear fashion. Figure 2.2 shows the highly non-linear
PCB concentration relative to
Organism
concentration in phytoplankton
response (hysteresis) of many lakes to increases in nutrient
concentration. The consequence is that a lake's degradation
Humans
?
in response to a developing pressure, such as increased
Herring Gull Eggs
4960
nutrient concentrations (from A to B), may not be apparent
Lake Trout (a large fi sh)
193
until nutrient concentrations are high and the lake abruptly
Smelt (a small fi sh)
47
switches its status. In the fi gure, plankton concentrations only
become high when nutrient concentrations increase from B to
Zooplankton
5
C. The diffi culty for a decision maker is that the lake cannot
Phytoplankton
1
simply go from C back to B. There are likely to have been
Source:
Adapted from USEPA and Government of Canada 1995.
irreversible changes to the ecosystem, so recovery follows a
path from C through D down to A. That means that politically
Implications for Lake Basin Management
diffi cult decisions (such as regulations on nutrient discharge to
push the lake from C to D) do not yield an immediate positive
Lakes are part of river basins and are best managed according
change (a drop in algal blooms).
to the principles of IWRM. These include devolution of
responsibility to the lowest applicable level, coordination
Lake Victoria provides a well-known example of this complex
across sectors affecting lakes, and involvement of all
response. The diatom, Aulacosiera, the previously dominant
relevant stakeholders. Figure 2.3 shows how water resources
phytoplankton, was last recorded in the lake in 1990. Nitrogen-
management requires coordination across all the water-
fi xing cyanobacteria (particularly Cylindrospermopsis sp.) and,
using sectors. However, water resources managers also
to a lesser extent, Anabaena, now dominate the phytoplankton.
need to be cogniscent of the special characteristics of lakes
and the implications of these characteristics for lake basin
management. This special form of IWRM is termed Integrated
Lake Basin Management (ILBM).
D
C
The integrating nature of a lake means that many lake resources
Time
as well as lake problems are shared throughout the lake. As a
result, it is not sensible to subject different parts of a lake to
different management regimes. This is particularly relevant
for transboundary lakes basins. For example, a sustainable
Time
fi shery cannot be achieved for a single population of fi sh
Plankton Concentration
unless all riparian countries implement sustainable fi shing
B
practices. Thus, for transboundary lake basins, some form
A
of transboundary cooperation is needed--some successful
examples described later in this report involve transboundary,
Nutrient Concentration
coordinating institutions covering both lakes and their basins.
Figure 2.2 An Example of Complex Response Dynamics of a
Lake.
A related consequence of their integrating nature is that it is
Biophysical Aspects of Lakes
13

---

Water Resources Management
Infrastructure for
management of
floods and
droughts,
multipurpose
storage, water
quality and source
protection
Institutional
framework
Energy
Management
instruments
Irrigation and Drainage
Environmental Services
Other Services including
Industry and Navigation
Political economy
Water Supply and Sanitation
of water
management
Figure 2.3 Conceptual Framework Showing the Relationship
between Water Resources and Sectoral Use of
Water.
Source:
The Global Water Partnership.
diffi cult to exclude users from accessing a lake's resources. In
the absence of effective regulatory institutions, ease of access
coupled with self-interest can lead to over-use and destruction
of the resource base. The methods of controlling peoples'
behaviors, whether through command-and-control type rules,
economic instruments, or public education and involvement,
need to be designed for this characteristic of lakes (discussed
in more detail in the next chapter).
Long retention time has a number of implications. Because
problems can build up slowly and take equally as long to be
managed, institutions involved in lake basin management
(including those in upper basins) need to be prepared to
engage in sustained actions. Their institutional structure,
including the establishment of strong links with sectoral
agencies and community groups, should be designed for the
long term and their sources of funding need to be sustainable.
Scientifi c knowledge has a particularly important role in ILBM
because of both the long retention times and the complex
response dynamics of lakes. The former characteristic means
that problems need to be anticipated as far in advance as
possible through monitoring, development of indicators and
analytical studies; the latter characteristic means that detailed
scientifi c studies may need to be carried out to unravel these
complex processes and their implications. Scientifi c studies
may also develop novel solutions to these problems.
At present, the special characteristics of river basins that
include lakes are not widely understood by water resources
managers. The lessons identifi ed during this project are
intended to help sensitize water resources managers to these
characteristics and their management implications.
14
Chapter 2

---

Chapter 3
Human Use of Lakes:
Values, Problems, and Responses
Resource Values of Lakes and Their Basins
Most human communities surrounding lakes in developing
countries are heavily dependent upon lake biota and natural
Lakes and reservoirs and their basins provide many uses of
lake processes for their water, food, and livelihoods; as
different values to humans. They supply water for drinking,
populations grow, lake resources come under increasing
agriculture, industry, and livestock uses and energy pressure (Box 3.2). Thus, many lake basin communities
generation; they buffer downstream areas against both in this study, which include some of the world's poorest
fl oods and droughts; they provide sinks for sediments and
people, depend on freshwater biota for their protein needs.
contaminants to protect downstream areas (although this For example, Lake Malawi/Nyasa provides 70 percent to 75
can cause problems in the lake itself ); they provide a path
percent of the animal protein consumed in Malawi, and Tonle
for transportation; and they offer habitat for important food
Sap provides about 230,000 tons of fi sh/year, almost half of
species. Though we construct lakes artifi cially to create such
Cambodia's total fi sh production. Lake Victoria supports the
values, the endowed values from natural lakes generally far
largest freshwater fi shery in the world, with annual fi sh yields
exceed the ones that artifi cial lakes can provide. Tonle Sap
exceeding 300,000 tons and worth $600 million annually.
provides a novel example of buffering against fl oods and While the two main exotic fi sh species--Nile perch and Nile
drought to the benefi t of both lakeshore communities and tilapia--have contributed positively to the riparian countries
those downstream. From mid-May to early-October, the fl ow of
through increased export earnings, recreational opportunities,
the Mekong River system becomes so great that the Mekong
increased supply of protein, and increased employment and
Delta cannot support the volume, and the water backs up earnings for fi shermen, they have also contributed to the loss
the Tonle Sap River to fi ll Tonle Sap and its surrounding fl ood
of many endemic fi sh species, particularly cichlids. However,
plain. This annual replenishment gives rise to one of the most
recent studies have revealed that a signifi cant portion of
productive fi sheries in the world. Subsequently, the delayed
the cichlid fauna, considered lost from the main lakes of
release of fl oodwater from the lake to the Mekong River the Lake Victoria region, is still extant in marginal habitats
between October and April provides water for a second rice
in the periphery of the main lakes and in the small satellite
crop and controls seawater intrusion in the Mekong Delta.
waterbodies around the main lakes.
These uses give rise to the many values of lakes and their
Lakes also support important ecosystems and provide habitat
basins (Box 3.1).
for rare and threatened species that are valued by global
communities. Many of the study lakes have high international
biodiversity value (Table 3.1). Twelve of the 28 lake briefs cite
Box 3.1 Common Lake and Lake Basin Uses
national or provincial designations--including the creation of
Lakes
national parks, nature reserves, or other protected areas--as
· Water extraction for urban and rural use
being important to the lake basin management framework,
· Artisanal and commercial fi sheries and aquaculture
while 18 of the 28 lake basins contain wetlands of international
· Transportation
importance (Ramsar sites). Five of the lake basins are
· Recession cropping and grazing
· Disposal of wastes, including sewage
designated by the United Nations' Man and the Biosphere
· Tourism based on biodiversity, scenery, or sporting
Programme as Biosphere Reserves. Two are designated
activities
by UNESCO as World Heritage Sites. At Lake Ohrid, the
· Cultural and religious uses
designation is for both natural and cultural features in the lake
basin; at Lake Baikal, the most biodiverse freshwater body in
Lake Basins
· Rainfed and irrigated agriculture
the world, the designation is for natural features. In several
· Grazing of livestock
cases (Lakes Ohrid, Champlain, and Issyk-Kul), the attainment
· Industry
of these international designations has helped raise awareness
· Mining
about the importance of the lake resources and paved the way
· Human
settlements
for national water resources management efforts.
· Forestry

---

Protection of biodiversity is being combined with productive
species and maintain a commercially valuable source
use of threatened lake resources at a number of the study
of food;
lakes:
·
Tonle Sap is part of the Mekong Basin, where the Water
·
At Lake Ohrid, the native trout species are threatened
Utilization Programme (WUP) commenced in early 2000
through overfi shing, loss of fi sh spawning habitat,
to help achieve "reasonable and equitable water use
and the introduction of exotic fi sh species. Efforts to
among the member countries while maintaining the
harmonize fi shing regulations between FYR Macedonia
Basin's ecological integrity"; and,
and Albania and the protection of shoreline vegetation
will both help conserve the threatened native trout ·
At Lakes Tanganyika and Malawi/Nyasa, fi sh biodiversity
provides the basis of a trade in ornamental fi sh species.
Box 3.2 The Connection between Environmental Degradation and Livelihoods: Lakes Chad and Nakuru
Lake Chad
Lake Chad is known to fl uctuate naturally in response to climatic cycles. Recently, the demand for water for irrigation has
increased fourfold, magnifying these fl uctuations and leading to dramatic environmental changes. In 1963, the lake surface
covered 25,000 km2; today it covers 1,350 km2. Vegetation in the northern part of the lake has disappeared, and sand dunes
have begun to form on the dry lakebed. The decrease in river fl ow has led in places to the degradation of river channels.
Accelerated siltation and weed growth, particularly Typha australis, have done great damage in the Hadejia-Jama'are-Yobe
basin and elsewhere. The problem is expected to worsen in the coming years as population and irrigation demands continue
to increase.
This environmental degradation has had a direct impact on the livelihoods of people in the basin. Pasturelands have only
66 percent of the carrying capacity they had prior to the drought; irrigation channels have been clogged and river channels
blocked by siltation and water weeds; and, some of the natural fauna and fl ora have disappeared. All economic activities--
such as fi shing, livestock rearing, and farming--have been adversely affected and many people have had to migrate as
environmental refugees. People whose economic activities were dependent on water (such as fi shermen) kept following the
receding water without consideration of the national borders. By 1983, a crisis had developed. Migrants found themselves
in other countries without fully realizing the change. Confl icts developed between these migrants and local communities.
Territorial disputes also erupted between some member countries over emerging islands in the lake.
Lake Nakuru
Lake Nakuru is one of several shallow, alkaline-saline lakes lying in closed hydrologic basins in the eastern African Rift Valley.
Climatic variations have caused large changes in its depth and salinity on annual, decadal, and longer time scales, as well as
having major consequences for the lake's ecology. The town of Nakuru is the fourth largest in Kenya, supporting a population
of 400,000 people. The urban population has been growing at a rate of 10 percent per year over the last three decades,
placing considerable stress on water supply and making the environmentally safe disposal of wastewater diffi cult.
There has also been an increase in water abstraction along the upstream parts of the rivers for irrigation, domestic, and
industrial uses. Deforestation and cultivation exert effects that alter the area's hydrological regime. The hydrological impacts
of the destruction of forests are manifested in higher water runoff rates, higher and more destructive peak discharges in
rivers and other water courses, marked seasonality in streamfl ows, and signifi cant declines in the stable yields of wells and
boreholes. As the demand for water grows and abstraction rates increase, the drainage basin's capability to harvest and hold
rainwater appears to be diminishing.
Issues regarding equitable access to natural resources and sustainable environmental conservation and economic
development have arisen in the drainage basin. The ever-increasing human population, poor enforcement of environmental
regulations, and unsustainable exploitation of natural resources are root causes for human-resource confl ict. The poverty
and human-wildlife confl icts around Lake Nakuru National Park (LNNP) exemplify the prevalence of confl ict between the
catchment's natural resources and human population.
The communities in the catchment area are from different ethnic groups, having coexisted peacefully for over 30 years until
1992, when politically-instigated ethnic clashes erupted, resulting in many deaths, property destruction, and population
displacements. The inter-ethnic fi ghting recurred at the beginning of 1998 with the same disastrous results. The human-
wildlife confl ict has continued, with wild animals damaging crops and property in adjacent farms, while the activities of the
basin's inhabitants have continued to degrade the environment.
The confl ict between the need for urban expansion and the need to protect the lake has resulted in a complex situation posing
vast challenges to sustainable urban development. The city's fragile ecological setting induces severe constraints and calls
for limiting its growth. Conversely, the rapid population growth and economic potential calls for enhanced urban development
and appropriate planning strategies. The views of all stakeholders in the development process are vital to achieve desirable
future outcomes.
Source: Lake Chad and Lake Nakuru briefs.
16
Chapter 3

---

Total Economic Value
However, many of these colorful cichlid species are
highly localized and threatened with extinction if The Total Economic Value (TEV) of a lake basin is the
harvesting rates are not carefully controlled. While these
summation of all values of all identifi ed uses and benefi ts.
fi sh have the potential to provide a sustainable, albeit
This approach recognizes the reality that any natural resources
minor, industry, there is little oversight of this trade at
system has many different users and uses, and each use has a
present in either lake to ensure its sustainability.
contribution in economic terms to the value of the resource.
Finally, lakes possess important cultural and religious values
The TEV approach includes both use and non-use values
for many societies in both the developed and developing (Figure 3.1). Use values are those benefi ts that come from
world. There are numerous examples in the lake briefs. At direct use of or interaction with the lake--such as fi shing,
Laguna de Bay, religious rites such as baptisms and a parade
extracting water, or transportation on the lake. Non-use values
in honor of the patron saint refl ect the close link of lakeshore
are benefi ts that do not require any direct interaction with the
inhabitants to the lake. The Laguna de Bay basin also has
lake itself. Examples of non-use values include the benefi t
many cultural sites, such as the century-old churches in the
of knowing that the lake is there (an existence value), or the
towns of Pakil, Pangil, and Majayjay in Laguna Province, and
benefi t from knowing that one's children will be able to enjoy
petroglyphs located in the lakeshore town of Binangonan the lake (an inheritance value). Box 3.3 provides an example of
Rizal. Lake Ohrid provides another example. The long history
the range of values at Lake Sevan.
of settlement around the lake shores led to the Macedonian
side of the lake being declared as a mixed cultural/natural
A major challenge to estimating TEV for a lake basin is
world heritage site by UNESCO's World Heritage Committee
estimating the economic values of the many uses that are not
in 1980. The Lake Ohrid community now benefi ts from the normally bought and sold in the market (this is particularly true
growing market in cultural tourism.
for non-use values). While a complete, formal TEV calculation
is rarely done (because of the data and time necessary to do
it), the strength of the concept is in reminding us that there are
Table 3.1 International Biodiversity Designations for Lake Basins in the Study.
National or
Lake Basin
Provincial
Ramsar Site
Biosphere Reserve
World Heritage Site
Designation
Baikal



Bhoj Wetland

Baringo


Biwa


Champlain


Chad

Chilika Lagoon


Cocibolca/Nicaragua

Constance

Great Lakes (North American)

Issyk-Kul



Laguna de Bay

Malawi/Nyasa


Naivasha

Nakuru


Ohrid


Peipsi/Chudskoe

Sevan


Tanganyika

Titicaca

Toba

Tonle Sap


Xingkai/Khanka


Human Use of Lakes
17

---

a number of components to the value of any resource--some
·
$9,000 per year for domestic water supply; and,
that are quite easy to identify and measure, others that may
be quite diffi cult to value in monetary terms. As such, the TEV
· $90,000 per year for tourism.
approach helps the decision maker/planner to think about
who are the various stakeholders and whose values (welfare)
Typical Problems Facing the World's Lakes
will be affected by different management options.
The proximate causes of lake problems can arise from both
The Laguna de Bay Brief is the only brief to describe the the direct exploitation of lake resources as well as from human
calculation of TEV. The TEV analysis was carried out to estimate
activities taking place within and outside of the lake basins.
changes in values due to a proposed pollution control project,
Thus, farmers who settle in the catchment above a lake can
the USAID-assisted Environmental and Natural Resources cause problems for lake fi shermen through excess sediment
Accounting Project. Although the analysis considered a wide
reaching the lake because of erosion or agro-chemical residues
range of use and non-use values, it only costed four use (for example, from fertilizers, pesticides or herbicides) carried
values. The benefi ts of the proposed project were estimated
through runoff into the lake. Downstream users also can cause
to be about:
problems for users of lake resources. For example, downstream
irrigation schemes can place demands on water from the lake
· $125,000 per year for fi sheries (based on changes in fi sh
that restrict developments around the lake. Such externalities
catch and market prices for fi sh);
(where one group receives the benefi ts and another group
bears the costs) are particularly important for lakes.
·
$1.25 million per year for irrigation;
Total Economic Value
Use Values
Non-use Values
Direct
Indirect
Option
Bequest
Existence
Values
Values
Values
Values
Values
Consuptive and
Ecosystem
Premium
Benefits
"Knowing
non-consuptive
functions
placed on
for
that it
use of
and
possible
future
is there..."
resources
services
future uses
generations
Figure 3.1 Total Economic Value
Box 3.3 Socioeconomic Valuation in Lake Sevan, Armenia
Lake Sevan and its basin provide numerous goods and services to Armenia. In the Lake Sevan brief, the discussion of
socioeconomic values can easily be arranged into different categories used in the TEV approach. The main focus in the brief
is on direct use values, although other types of values are mentioned. Based on the information presented in the brief the
following groupings of goods and services can be made.
Direct use (consumptive): sand, gravel, mineral water, peat, reeds, willow branches, wood, mushrooms, other plants, fi sh,
birds, mammals for meat and fur, frogs, and benthic invertebrates.
Direct use (non-consumptive): tourism, water recreation, bird watching, education, research, and aesthetic appreciation.
Indirect use: hydroelectric power generation, irrigation downstream, water supply for livestock and human consumption.
Non-use values: option, existence and bequest values related to the cultural and historical importance of Lake Sevan to
Armenians--both in Armenia and abroad.
Only part of this wide range of goods and services are captured in market prices. The direct-use values (both consumptive and
non-consumptive) can be calculated fairly readily. While the indirect use and non-use values are more diffi cult to estimate,
the cultural/historical values at this lake are considered so important that an investment project to help stabilize and restore
the lake level is being reevaluated incorporating some of these values. These non-use values themselves may be suffi cient to
change the investment decision, even if all the other use values are not included.
18
Chapter 3

---

Problems with lakes have been documented in the Survey of
Tucurui Reservoir briefs. Reservoirs are constructed for
the State of the World's Lakes, compiled in the late 1980s and
particular purposes--irrigation water supply, hydropower,
early 1990s by ILEC and UNEP (http://www.ilec.or.jp/database/
town water supply, etc.--and these purposes dominate
database.html). Based on this work, Kira (1997) concluded that
their operations. Consequently, their levels can rise and fall
lakes face a number of widespread and continuing problems,
dramatically in response to water demands, although there
including eutrophication, acidifi cation, toxic contamination, are a number of examples in the lake briefs--Lakes Naivasha,
water-level changes, salinization, siltation, and the Baringo, Victoria, Chad, Toba and Sevan--where lake levels
introduction of exotic species. More detailed information on
also rise and fall in response to climate variability and water
lake problems can be found in the National Research Council
demands. On the other hand, this same dominant purpose
(1992), United Nations Environment Programme (1994), Dinar
also means that reservoirs often have access to high value
and others (1995), Ayres and others (1996), Nakamura (1997),
uses that make them a potential source of local, national or
Duker (2001), Jorgensen and others (2003), Davis and Hirji regional income for reservoir basin management.
(2003), and the World Lake Vision (2003).
Lake and reservoir problems in the present study are here
The occurrence and management of lake problems is grouped into 20 categories based on the frequency with which
infl uenced by the three defi ning characteristics of lakes--their
they are mentioned in the lake briefs (Table 3.2). While the
integrating nature, long retention time, and complex response
briefs do not comprehensively describe all problems in the
dynamics. The integrating nature of lakes means that problems
study lake basins, it is reasonable to assume that they do
can seldom be localized within lakes. Floods affect all of the
include the major problems. In the table, the problems are
lake's shoreline; pollution spreads beyond its source to affect
identifi ed by their biophysical origins. For example, excess
much of the lake; and biological problems, such as introduced
nutrients are listed as a problem rather than eutrophication,
species, can spread throughout much of the lake.
which is a consequence of excess nutrients. Loss of
biodiversity is also not included explicitly since it arises from
The relatively long retention time of lakes means that many
other primary problems such as loss of habitat (Lake Dianchi),
problems can take a long time to become apparent. This is
introduced species (Lakes Ohrid and Victoria), or overfi shing
particularly true where the problem arises because of long-
(Lake Malawi/Nyasa).
term change to some component of the lake that is not visible.
For example, alterations to the lower levels of the lake's food
The problems have been grouped into their regions of
chain (caused by sediments in the water, which change the
origin: within the lake basin; around the lake's littoral zone;
light regime) may not be immediately apparent to the users
from the lake basin; or from a wider region outside the lake
of the lake.
basin, including global threats. While there is inevitably
some repetition of problems between regions, this grouping
The complexity of lake dynamics also infl uences the way provides some guidance on the focus of management if the
in which problems become apparent. In the case of Lake issue is to be tackled at its source.
Victoria, nutrients had been building up in the lake water
and sediments for decades without apparent effects until In-Lake Problems
the early 1990s when, quite suddenly, the basis of the lake's
Unsustainable fi shing practices. Fish are one of the most
ecosystem shifted. The high productivity of the lake means
commonly exploited resources from lakes. But overfi shing or
that the bottom waters of the lake are now seriously depleted
use of destructive fi shing practices can lead to the decline of
in oxygen for extensive periods. Given the lake's mean depth of
these important resources for a short-term gain but a long-
40 meters, this implies that a signifi cant volume of the lake is
term cost.
now unsuitable as habitat for commercial and noncommercial
fi sh species for part of the year. It is known, from experience in
Introduced faunal species. Alien fi sh and invertebrate species
other lakes, that it is very diffi cult to shift such a lake back to
have been introduced to many lakes, sometimes with severe
its previous state.
consequences for native species. These introductions can be
either deliberate or accidental. They can alter physical habitat,
The types of problems and opportunities in reservoirs (and,
can compete for food resources, or can predate on native
to some extent lakes that are operated like reservoirs) can
species. In extreme cases, they can lead to a loss of aquatic
differ from those that arise with lake basin management. For
biodiversity. However, some introductions, such as bream
example, during the construction phase, reservoirs offer an
and whitefi sh at Issyk-Kul and Nile perch in Lake Victoria,
opportunity for exploiting new ecological niches. Thus, the have provided commercial and nutritional benefi ts to local
Kariba Reservoir was stocked with a pelagic fi sh species from
populations.
Lake Tanganyika that has become the basis for a deepwater
commercial fi shing industry; a cichlid species for artisanal Weed infestations. Excess growth of aquatic plants can
fi shing; and a tiger fi sh for a highly popular sport fi shing
cause problems in lakes by altering the habitats of native
industry. However, reservoir construction can also lead to the
fauna, interfering with water transport, harboring nuisance
displacement of local people, sometimes without adequate species such as fl ies, blocking water intakes, impeding water
compensation. This is described in the both the Kariba and
fl ows, and even increasing evapotranspiration from the lake
Human Use of Lakes
19

---

surface. Often these plants are exogenous to the lake and their
fl ush sediments downstream); in less extreme cases, they
dominance is promoted by increased nutrient levels.
can destroy wetlands, reduce the penetration of light into
the water column, and act as a carrier of nutrients and other
Changes in salinity. Lake ecosystems become adapted to pollutants.
particular salinity levels. When these levels are signifi cantly
altered, either increased or decreased, these ecosystems can
Excess nonpoint-source nutrient inputs. These nutrients most
be disrupted with consequent disruption for communities commonly originate from soil erosion, but in many places
dependent on them.
come in signifi cant amounts from fertilizer use and animal
effl uents within the basin. They contribute to overall increases
Nutrients from fi sh cages. Nutrients can also enter lakes from
in nutrient levels in lakes, which are associated with algal
the excreta of caged fi sh and from excess food. In lakes where
outbreaks and growth of aquatic weeds. This can result in
there are high densities of fi sh cages, these nutrients can reduced oxygen levels and associated fi sh kills.
promote eutrophication and aquatic weeds. This problem is
particularly common in Asian lakes.
Agro-chemical pollution. These chemicals can come from rural
land uses, including agriculture and forestry. They can affect
Littoral Zone Problems
aquatic food chains and render fi sh unsuitable for human
Shoreline effl uent and stormwater discharges. Untreated
consumption. Some long-lived agro-chemicals can persist in
or poorly treated effl uent from lakeshore communities can lake sediments for long periods.
contaminate lakes. Bacteria and other pathogens can threaten
human health, BOD can reduce oxygen concentrations, and
Excessive water withdrawals or diversions. This threat
nutrients can increase the eutrophication of the lake. In commonly occurs as development intensifi es upstream of
addition, urban stormwater runoff is commonly contaminated
the lake with concomitant demands on water resources.
with effl uent and other urban contaminants (oils, organic Even if the total quantity of water infl owing into a lake is not
matter, heavy metals), which add to the pollution load.
signifi cantly changed, the change in timing of infl ows to a lake,
from, for example, a run-of-river hydropower scheme, can
Shoreline industrial contaminants. Direct discharge to a lake
affect ecological processes in the lake. In some cases, these
is a convenient method for disposing of industrial wastes from
water demands can come from downstream of the lake for
shoreline industries. However, it adds toxic chemicals, BOD,
hydropower production, urban water use, or irrigation.
and effl uent to lakes and, in some cases, can change physical
lake characteristics such as temperature and turbidity. These
Changes in runoff patterns. The hydrology of infl owing rivers
contaminants can also reach shallow groundwater systems can also be altered by changes in land use in the river basin,
and be transported to the lake through subsurface pathways.
particularly clearance of forests and drainage of wetlands.
Shoreline water extraction. Where there are high population
Effl uent and stormwater pollution. Untreated or poorly treated
densities or extensive irrigation enterprises, water extraction
effl uent and stormwater can contaminate rivers and lakes.
can affect the levels of a lake. Even when water is extracted
Bacteria and other pathogens can threaten human health, BOD
from groundwater systems, these are often connected to the
can reduce oxygen concentrations, and nutrients can increase
lake aquifer.
the eutrophication of the lake. Urban stormwater runoff
commonly contains contaminants such as oils, organic matter,
Loss of wetlands and littoral habitat. Fringing wetlands and
and heavy metals. Biogeochemical and physical processes
the littoral zones are closely connected to the ecological health
intercept signifi cant fractions of these contaminants before
of a lake. They provide refuges and sites for breeding. They can
they reach lakes--a valuable ecosystem service provided by
also be involved in the exchange of nutrients with the lake and
rivers and wetlands.
can act as fi lters, trapping incoming sediments and pollutants.
Development around the littoral zone of a lake often results
Industrial pollution. Direct discharge to a lake is a convenient
in the destruction or degradation of these important adjuncts.
method for disposing of industrial wastes from shoreline
For example, the extensive wetlands around Lake Victoria are
industries. However, it adds toxic chemicals, BOD, and
being destroyed or degraded through conversion to cultivation
effl uent to lakes and, in some cases, can change physical lake
for crops, excavation for sand and clay, and use as disposal
characteristics such as temperature and turbidity.
sites. It is estimated that about 75 percent of the lake's
wetland area has been signifi cantly affected by human activity,
Regional/Global Problems
and about 13 percent is severely degraded.
Long-range transport of airborne nutrients. Nutrients can be
transported through the atmosphere to lakes from sources
Lake Basin Problems
outside their drainage basins. Although nitrogen has long
Excess sediment inputs. This threat can originate from been known to be transported via this pathway, there is now
land use clearance, and from poor land use and riparian evidence that, in some circumstances, phosphorus can also be
management in lake basins. In extreme cases, these sediments
transported this way.
can infi ll a lake (although a reservoir can be designed to
20
Chapter 3

---

Long-range transport of airborne industrial contaminants.
introduced reductions in factory-level nutrient discharges
Industrial pollutants, including acid rain from industrial (although there has been a large increase in the number of
and transportation sources and volatilized chemicals, are polluting enterprises) and has controlled nutrient losses from
now known to be transported long distances through the fi sh cages. Even so, much remains to be done in reducing
atmosphere. They can be deposited into lakes or lake basins
total nutrient loads and retaining and restoring shoreline
through either dry or wet (i.e. rainfall) deposition.
habitat. Laguna de Bay has made progress in controlling BOD
discharges and some in-lake problems, but problems with
Climate change. Climate change or global warming is predicted
introduced species, nutrients from fi sh cages, and nonpoint-
to cause changes in precipitation and runoff, changes in the
source pollution remain. Thus, even in lake basins where some
thermodynamic balance of lakes, and changes in the ecological
problems have been managed, other problems remain.
balance of lakes.
The major problems included introduced fauna and fl ora
Not all problems in a given lake are of equal importance. (16 out of 28 lakes) and unsustainable fi shing practices.
For example, the Lake Sevan brief makes it clear that the Discharge of untreated or poorly treated effl uent from
abstraction of water for hydropower and irrigation is the most
shoreline communities is a very common littoral zone issue,
important issue, even though fi ve others are mentioned. A while loss or damage to wetlands and shoreline vegetation
number of briefs describe potential problems that, if they occurred in lakes in both developed and developing countries.
occur, would seriously threaten a lake's viability. For example,
High sediment loads were the most common basin problem,
Lake Tanganyika may be showing some early signs of warming
affecting 21 out of the 28 lakes. This problem is diffi cult to
from climate change. These potential problems are only control, even in developed countries, because the sediments
included in the table if there is suffi cient evidence to make
normally originate from nonpoint sources over large areas and
them credible.
are only transported during rainfall events. Thus, nonpoint-
source sediment loads are identifi ed as the major threat
Most problems are not isolated to specifi c regions, but are
to Lake Tanganyika, one of the world's largest and most
distributed around the world, with most lakes facing multiple
biodiverse lakes. The sediments originate from large-scale
threats. About half of the identifi ed problems originated in the
deforestation and poor farming practices that have caused a
lake basins, illustrating the importance of managing the lake
dramatic increase in soil erosion rates.
basin as a whole. Even when problems originate at localized
sites within a lake or a lake basin, the integrating nature of
Global problems are not seen as affecting the study lakes as
lakes means that these problems often eventually extend to
much as in-lake, littoral, and lake basin problems. Of these,
other parts of the lake.
climate change was identifi ed as affecting seven lakes,
although the evidence for this problem is still limited.
Assessing whether, at the time the lake briefs were written,
lake basin problems were improving or not required Emerging Problems
considerable judgment, since the briefs were often not explicit
about changes in environmental status. In some cases, there
Groundwater Flows
was confl icting evidence--for example, Lake Biwa shows Although the link between river infl ows and outfl ows and
some improvements in the concentrations of phosphorus lake levels is easily recognized, the relationship between lake
and biodegradable organic compounds (BOD), but it also levels and groundwater is less obvious. The briefs provide a
shows some degradation or inconsistent changes in the number of examples where the functioning of lakes and the
concentrations of nitrogen and non-biodegradable organic delivery of services to humans is dependent on either infl ows
compounds--and some improvements were likely to be of only
or outfl ows of groundwater. For example, Lakes Baringo, Chad,
short duration. In spite of these limitations, the arrows in Table
and Naivasha all remain fresh and useable for humans (even
3.2 provide a snapshot of the current direction of change in the
though they have no surface outlet) because of substantial
status of the problems in the study lakes.
groundwater drainage that removes both water and salt. A
water balance model developed for Lake Naivasha indicates
Overall, the table shows that most problems affecting lakes
that about 25 percent of the lake's river infl ow exits via
are not improving. In a few cases there has been substantial
groundwater pathways (the remainder is accounted for by
improvement in some lake problems, although there are no
evaporation and direct pumping for irrigation).
lakes in this study where all problems showed improvement.
Lakes Ohrid and Peipsi/Chudskoe provide examples of The extent to which groundwater infl ows contribute to lake
effective measures being taken for cooperative management
water levels is less well known. However, Lake Ohrid provides
of transboundary lakes. Chilika Lagoon and Lake Dianchi and
one graphic example. A little over 50 percent of the infl ows
Laguna de Bay show the greatest signs of improvement in to the lake come from subterranean water delivered through
the developing countries. Chilika Lagoon has experienced a
limestone channels that link Lake Ohrid to the Prespa Lakes
major improvement in its major problem--reduced salinity--
sitting 150 m higher in the catchment. High nutrient loads as
although the discharge of pollutants from the upstream basin
well as water are delivered through these channels.
is still to be tackled successfully. Lake Dianchi has successfully
Human Use of Lakes
21

---

Table 3.2 Summary of Problems Affecting the 28 Study Lake Basins as Described in the Briefs1.
Regional/
In-lake
Littoral
Basin origin
Global

sh
ges
ges
ce
o-
t
er
eed
eline
eline
eline
action
oduced

uent
action
tlands
cess
fi

shing
actices
faunal
W
om fi
cages
water
Ex
inputs
sour
Agr
Wa
pr
species
Salinity
changes
L
oss of

uent and
Nutrients
fr
Shor
effl
Shor
industrial
Shor
Climate
change
extr
we
sediment
nutrients
chemicals
Changes
in run-off
nutrients
industrial
Lake Basin
Intr
infestations
dischar
dischar
Non-point
abstr
Effl
stormwater
Industrial
pollution
Unsustainable
Atmospheric
Atmospheric
contaminants
Aral Sea
Baikal
Baringo
Bhoj Wetland
2
Biwa
Chad
Champlain
Chilika Lagoon
Cocibolca/Nicaragua
Constance
3
3
3
Dianchi
Great Lakes (N. American)
4
Issyk-Kul
Kariba Reservoir
Laguna de Bay
5
Malawi/Nyasa
Naivasha
Nakuru
Ohrid
6
6
Peipsi/Chudskoe
Sevan
5
Tanganyika
Titicaca
Toba
7
Tonle Sap
Tucurui Reservoir
8
4
Victoria
9
Xingkai/Khanka
Total Occurrences
12
11
3
9
4
18
10
1
11
21
16
12
9
4
19
7
4
4
7
Legend A symbol means that the problem is not improving signifi cantly; a
symbol means that it has improved somewhat; and a

symbol means that there has been signifi cant improvement.
1
The lake briefs are not exhaustive in their description of problems; a blank cell in the table does not mean that the lake does not
experience the problem. In many lake briefs, there is only limited information on the extent of improvement of a problem; the
direction of change shown in the table is based on this information.
2
Most water abstraction for Kyoto/Osaka/Kobe is downstream of Lake Biwa.
3
Despite considerable investment, nutrient and chemical concentrations in Lake Dianchi have yet to show improvements. There is
some evidence that COD is improving.
4
Mining in the basin is the source of toxic chemicals reaching the lake.
5
Includes loss of fi sh biodiversity through overharvesting for aquarium trade.
6
Improvements in the nutrient and pollutant status of the lake are the result of a decline in use of nutrients in agriculture and
industrial production following the collapse of the Soviet Union rather than from a deliberate policy intervention.
7
There is a large amount of sediment deposited around Tonle Sap each year, but this is regarded as an essential service rather than as
a problem.
8
Introduced species, particularly Nile perch and Nile tilapia, have contributed to the loss of many native species as well as providing a
valuable source of income for the regional community. Here they have been assessed for their effect on the lake's biodiversity.
9
High copper (Cu) concentrations are recorded in Lake Xingkai/Khanka, but the origins are unknown.
22
Chapter 3

---

These connections between lakes and groundwater systems
Chad (although that is partly due to upstream abstractions);
are not always appreciated. People pump groundwater in the
infl ows to Lake Baringo from snowmelt on Mt. Kenya have
belief that it is separate from the lake water. Box 8.2 provides
decreased; and the volume of cold, oxygenated snowmelt
an example from Lake Naivasha where this connection was
has decreased at Lake Biwa, leading to an increase in
only apparent to irrigators after extensive scientifi c modeling.
deoxygenated bottom waters.
For lakes with signifi cant connections to groundwater systems,
the subsurface basin as well as the surface drainage basin
The Intergovernmental Panel on Climate Change (IPCC)
needs to be managed as an integral part of lake management.
forecasts signifi cant changes in precipitation, evaporation,
Many managers do not yet fully understand the link between
and temperature as a result of global warming. These changes
groundwater and lakes. This is likely to be an issue of are likely to affect many of the world's lakes (IPCC 2001).
increasing importance with the expanding use of groundwater
The effects are likely to be complex. First-order effects could
for municipal, industrial, and agricultural purposes in many
include either increases or decreases in the volume of water
lake basins.
entering lakes, changes in the seasonality of these infl ows,
increased temperatures of lakes, and increased evaporation
Atmospheric Nutrient Pathways
from lake surfaces. There are also likely to be signifi cant
Surface runoff has conventionally been regarded as the second-order effects, such as changes in lake stratifi cation
mechanism by which nutrients enter lakes. Nutrients, primarily
affecting biological and chemical process, changes in aquatic
nitrogen and phosphorus, originate from three major sources:
vegetation, changes in land uses within lake basins, and an
urban effl uent discharges, urban runoff during storms, and increase or decrease in the demand for water in lake basins as
nonpoint sources, mostly agricultural activities. In the North
a result of the migration of people.
American Great Lakes, there has been a signifi cant effort to
reduce the nutrient loads from sewage, to the point where
Although the above changes have yet to have major impacts
nonpoint catchment sources are now the major contributors
on human uses of lakes, changes of the magnitude expected
to the lakes.
from climate change will have very signifi cant impacts.
Some idea of the size of these effects can be gained from
However, atmospheric transport of nutrients can be a the effect of climate variability on the water balance of Lake
signifi cant factor where the surface area of the lake is a Malawi/Nyasa. This water balance is dominated by direct
signifi cant fraction of the basin area, and where there are atmospheric exchange; only a relatively small river, the Shire
mechanisms for injecting nutrients into the atmosphere. Four
River, drains the lake. Malawi depends on electricity generated
lakes in this study have small lake surface:basin surface from hydropower plants on the river. Between 1915 and 1935,
ratios--the North American Great Lakes (1:3.1), Lake Toba the outlet from the lake to the Shire River was completely
(1:2.3), Lake Sevan (1:3.0, after major diversion) and Lake closed, with no outfl ow. More recently, as a result of low
Victoria (1:2.8). Preliminary measurements at Lake Victoria lake levels in 1997, electrical power was being rationed at
indicate that over 65 percent of the phosphorus load and 50
the end of the dry season in October and November. A long
percent of the nitrogen load entering the lake are transported
term loss of connection between the lake and the river due to
through the atmosphere. Atmospheric nutrient deposition climate change would clearly have very severe environmental,
rates in the African Great Lakes region in general are greater
economic, and social impacts.
than in many other parts of the world. These nutrients are
believed to originate from the extensive burning of grasslands
Shrinking Lake Size
and from dust derived from poor land management practices. A
Because they are effective sediment traps, lakes fi ll in and
GEF-funded study will quantify the loads reaching the lake via
become wetlands over time periods ranging from decades to
this pathway and help identify the sources. If the importance
millennia. However, for a number of lakes in this study, this
of the atmospheric pathway is confi rmed, then this fi nding
natural process has been accelerated by human activities.
has considerable signifi cance for the management of the lake.
The causes vary. The Aral Sea and Lakes Chad and Baringo
The lake briefs for the other lakes with small surface ratios
are shrinking (at least partly) because of excessive water
do not describe whether atmospheric deposition is believed
withdrawal for upstream irrigation. In the case of Lake
to be a signifi cant source of nutrients or not, although both
Sevan, it was because of augmentation of the river outlet for
Lakes Malawi/Nyasa and Naivasha briefs report evidence of
downstream hydropower and irrigation. At Lake Naivasha,
atmospheric phosphorus deposition.
the water has been extracted from the lake, both directly and
from the closely connected aquifer. Climate change, leading
Climate Change
to reduced infl ows from upstream glaciers, is believed to be
There is, as yet, only limited evidence of the impact of climate
leading to a drop in lake levels at Issyk-Kul; climate change in
change on lake basins. The lake briefs record different ways
Central Africa may have played a role in the reduction in size of
in which climate change is believed to be affecting lakes: Lake Chad. The dramatic decrease in the depth of Lake Baringo
lake water temperatures have risen since the 1960s at Lake
has been exacerbated by large loads of sediments coming from
Tanganyika and since 1939 at Lake Malawi/Nyasa; the volume
overgrazing near the lake; the Bhoj Wetland is also known to
of glaciers feeding Issyk-Kul has been reduced; infl ows have
have infi lled because of sediments contaminated with urban
decreased in the last 20 years at the Kariba Reservoir and Lake
wastes.
Human Use of Lakes
23

---

Lake shrinkage has economic, social, and ecological effects.
The decline of centrally-planned economies and the spread of
The dramatic shrinkage of Lake Chad has led to a reduction
market economies are also affecting lakes and their basins.
in fi sh catches, forced migration of populations leading to There has been a reduction in pollution entering Lakes
territorial disputes, and the loss of fi sh species and resting
Xinghai/Khanka and Baikal because factories have had to
areas for migratory birds. Lakes are likely to continue to shrink
close, and phosphorus loads have been reduced at Lake
until the demands that people place on them are related to the
Peipsi/Chudskoe because of the removal of fertilizer subsidies
lakes' capacities based on an understanding of their long-term
to agriculture in the Russian Federation. On the other hand,
water balance.
there is increasing pressure to open up the shoreline of Lake
Baikal to private ownership in conjunction with the shift
Globalization
toward a market economy in the Russian Federation.
Globalization describes the trend toward an increased fl ow
of goods, services, money, and ideas across national borders
Environmental Flows
and the consequent integration of the global economy. At the time the large reservoirs included in this study (the
There are a number of examples in the lake briefs where Kariba and Tucurui Reservoirs) were constructed, the provision
globalization is already affecting the resources and economies
of fl ows for downstream environments was not recognized
of lake basins. The rapid expansion of fl ower growing at Lake
as an important issue. However, the need to provide for the
Naivasha is driven by the demand from Europe for cut fl owers;
timing and size of fl ows to maintain downstream ecosystems
the commercial fi shery at Lake Victoria is dependent on the
when dams and barrages are constructed is now becoming
worldwide demand for Nile perch; and industrialization around
increasingly recognized by a variety of parties.
Laguna de Bay satisfi es a global market for manufactured
goods. Globalization also helps the development of these Developments other than dams can also lead to changes in
regions by transferring technologies, standards, and capital to
fl ows with consequences for downstream water users, but
developing countries. Thus, European Union (EU) standards for
these have yet to receive the same level of recognition. The
pesticide residues in agricultural goods have led to controls on
Aral Sea, Lake Chad, and Lake Baringo briefs provide examples
chemical use at Lake Naivasha and have led to improvements
where upstream irrigation developments have had serious
in the hygiene of fi sh landing sites at Lake Victoria.
impacts on downstream lakes. But other developments in
the lake basin, such as deforestation, urban growth, and
Box 3.4 Common-Pool Resources, Common Property, and the Commons
The table below shows the characteristics of common-pool and other types of resources along the axes of rivalry and
excludability. Rivalry (also sometimes called subtractability) means that one person's use of a resource subtracts from the
amount available to other users; for example, someone catching fi sh reduces the amount someone else can catch--at least
over the short term. For non-rival goods, one person's use does not affect another's; that is, one person's enjoyment of the
climate-moderating or aesthetic benefi ts of a lake does not diminish another person's enjoyment. Excludability refers to the
cost of controlling someone's access to a resource. Non-excludable goods have a positive cost for restricting access; that is, it
is diffi cult to prevent people from accessing them.

Excludable Non-excludable
Rival
Private good
Common pool resource
Non-rival
Club good
Public good
Many of the resources provided by lakes are common pool; examples include fi sh, water for extraction, and the use of the lake
as a sink for pollutants. Some uses like fl ood control are public goods. There are few private and club goods since, for almost
all uses, it is diffi cult to exclude users, except in the case of private lakes or private ownership of certain parts of a lake, such
as lakeshore property.
Access to a given resource of a lake can either be open (open access) or closed (private, common, or government property).
Common property is a type of institution that gives the rights of use of a resource to a defi ned group. That group usually
has rules specifying how the group's members can use the resource. Lake Naivasha is a case of a riparian group (the Lake
Naivasha Riparian Association) using the lake as common property. Private property and government (public) property are
also widespread ways that societies have developed to control access to "open access" resources.
The term "commons" is often used as shorthand for either common-pool resources or for common property, often leading to
confusion about what is being discussed--the nature of the resource, or the type of property regime governing its use? Some
may think of the "commons" as a shared, public resource, often with no control over access.
Overall, it is important to clearly distinguish between the characteristics of a resource and the characteristics of the
management regime governing use of the resource. A lake may provide various resources, each with different characteristics,
but many sharing a common-pool or public good nature. Therefore, it is misleading to speak of a lake, as a whole, as a
common-pool resource: it is clearer to specify which use of the lake is being referred to.
24
Chapter 3

---

water transfer canals, can also change fl ows into lakes and
to protect the quality of the good rather than to allocate the
reservoirs.
goods among competing users. For example, prohibitions
may need to be introduced on dumping rubbish to protect the
As a fi rst step toward ensuring environmental fl ows, the visual amenity of the lake, or rules may be needed to ensure
environmental water needs of lakes and reservoirs and the
that all benefi ciaries from fl ood protection contribute toward
services they provide to humans need to be accepted by a
the costs.
broad spectrum of stakeholders. National policies and laws
need to recognize the importance of providing for these fl ows
The integrating nature of water also means that management
and procedures need to be drawn up for establishing and needs to be coordinated across the different sectors that use
enforcing fl ow requirements. This process will place great the basin's resources. This does not necessarily mean that a
demands on science: ecosystem requirements for water, as
single basin management authority needs to be established.
well as knowledge of the socioeconomic impacts of different
Sometimes it is more effi cient to establish mechanisms for the
fl ow regimes on water users will need to be assessed in each
sectoral agencies to work together in a coordinated manner for
case. At this stage, few countries have undertaken the studies
the common good of the lake basin.
needed for establishing these environmental fl ows.
The long retention time of lakes--particularly for larger
Proposals for loans from the World Bank are subject to and deeper lakes--means that their management should
stringent assessments on their potential environmental and
be anticipatory, committed, and well-planned over the long
social impacts, including their likely effects on river fl ows and
term. At the same time, it should be fl exible enough to adapt
the human and ecological uses dependent on those fl ows.
to changing values and new knowledge. In fact, the long
India, the recipient of a World Bank loan for the Orissa Water
time-scales involved in lake basin management argue for
Resource Consolidation Project, is in the process of establishing
the existence of institutions in order to give permanence to
fl ow requirements that will be built into the operating rules for
management beyond the shorter time-scales of individuals.
the Naraj Barrage to protect Chilika Lagoon. As part of the
One other implication is the need for secure fi nancing to
GEF-supported Water Utilization Program, the Mekong River
make sure that structural and nonstructural interventions are
Commission is preparing to carry out an environmental fl ow
effective over the long term.
assessment that will guide future regulation and development
of the Mekong River's water resources and the protection of
The complex response dynamics of lakes argues for application
the Tonle Sap. As more countries invest in water resources
of the best available scientifi c knowledge and, if necessary, the
infrastructure such as dams, barrages, and canals, there will
conduct of applied research programs to obtain additional
be an increasing need to assess the water requirements of
knowledge for management. It is important to emphasize that
lakes to ensure that they continue to provide resources for
research into these biophysical processes should be focused
human use. It is important to design new infrastructure for
on the critical needs for management.
environmental fl ows--multi-level outlets may be needed and
the outlet sizes have to be capable of delivering the necessary
The Components of Lake Basin Management
volumes of water.
From the preceding discussion, it is apparent that, given the
Response to the Problems: Management Interventions
characteristics of lakes and their basins, there are a number
of inter-related components to managing a lake basin so that
Managers of lake basin resources can both prevent potential
its resources are accessed equitably and effi ciently. These
problems and overcome existing problems through either components are described in Box 3.5.
structural measures (such as construction of a water intake
structure or sewerage system) or nonstructural measures These six components of lake basin management form the
(such as introduction of new fi shing technology or a new structure for Section II of this report, where the case studies
regulatory provision for the control of effl uent discharge).
and other material collected during this project provide
lessons drawn from the practical experience of lake basin
The characteristics of lakes have an infl uence on the management.
management of lake basin problems. The integrating nature
of lakes, and the consequent diffi culty of excluding users from
accessing many of the lake's resources, has many management
implications. Common-pool resources (Box 3.4), such as fi sh,
can be overexploited since there is no incentive for individual
users to limit their use of these resources. Rules are usually
introduced, once the resource shows signs of overharvesting,
to ensure that these common pool resources are shared
equitably. Rules may also need to be introduced to protect
public goods, the other category of non-excludable lake
uses. Unlike common-pool resources, these rules are needed
Human Use of Lakes
25

---

Box 3.5 Components of Lake Basin Management
Good lake basin management requires the following six components to be well-integrated:
Institutions to manage the lake and its basin for the benefi t of all lake basin resource users. They are sanctioned by
society to give them the necessary authority and longevity to operate effectively. They can operate at the local level (such
as local councils), at the regional level (such as a lake basin authority), at the national level (such as sectoral government
departments), or at the international level (such as international commissions for transboundary lakes). Institutions require
leadership from committed and visionary individuals, as shown in some of the case studies.
Policies to govern people's use of lake resources and their impacts on lakes. At the national level, they can be encoded
in formal laws, statutes, and regulations and implemented by formal institutions. They can also be informal, often being
developed and accepted among traditional groups of people living in the lake basin and at the lake. At the local level, policies
are implemented through rules of behavior, incentives and disincentives, and education to change people's behaviors.
Involvement of people is central to lake basin management. They decide the uses for, and values to be obtained from, the
lake's resources; they provide knowledge and experience for management; they form informal organizations for management;
they provide support for enforcing rules; and they can be a source of the fi nance needed to operationalize management. They
can demand accountability for the decisions made and resources used in managing lake basins.
Technology is not always essential for management. However, investments in technical responses can sometimes dramatically
increase access to a lake's resources and contribute to the resolution of some types of problems. For example, embankments
can signifi cantly add to a lake's ability to buffer fl oods, while sewage treatment plants can be very effective at removing
contaminants from point sources of pollution.
Information, both traditional knowledge and scientifi cally acquired knowledge, promotes effi cient management. The
more that reliable and demonstrable knowledge is identifi ed and used in management, the more likely it is that the goals
of those groups using a lake's resources will be met effi ciently. This report places considerable emphasis on scientifi c
knowledge, primarily because it is obtained via a process that is open to scrutiny and leads to incremental improvements in
understanding.
Finance is necessary to fund the operations of management institutions and the implementation of technological solutions,
the involvement of stakeholder groups, and the collection and application of monitoring information. However, access to
fi nance is often the weakest point of lake basin management in developing countries.
26
Chapter 3

---

Section II
Meeting the Governance Challenge
This section presents the lessons learned from the 28 lakes basins regarding institutions (Chapter 4), policies (Chapter 5),
involvement of people (Chapter 6), technology (Chapter 7), information (Chapter 8), and fi nancing (Chapter 9). While each
chapter in Section II can be read as a stand-alone description of one component of lake basin management, the case studies
show that sustainable lake basin management requires all components to be implemented together.

---

---

Chapter 4
Institutions for Lake Basin Management:
Developing Organizations for Action
Key Lessons Learned about Institutions
·
Development of strong institutional links promoting effective participation, and development of strong local
government capacity are among the important institutional considerations for lake basin management. Successful lake
basin institutions develop good pathways to communities dependent on lake basin resources.
·
Lake basin management institutions are most effective when they build on existing structures at local government,
sectoral, and community levels. Existing sectoral institutional arrangements may be improved and facilitated through
coordinating mechanisms without establishing a new lake basin management organization.
·
Links to other institutions, particularly sectoral agencies, are vital to success. Formal links can be costly to develop and
maintain and should be supplemented by informal links.
·
Decentralization can help improve lake basin management if there is adequate administrative and technical capacity. It
can place greater stresses on management capacity, however, particularly if they are distant from government centers.
·
NGOs and CBOs often play critical catalytic roles in facilitating institutional linkages, particularly with regard to
enhancement of community participation in collaboration with the government.
·
The success of transboundary lake basin management depends on the member states' political will, commitment, and
fulfi llment of obligations, rather than the particular form of institution or its legal status. Nonriparian basin countries
of a lake that may be reluctant to join a formal lake basin management authority may be successfully engaged through
informal mechanisms.
·
Transboundary collaboration without a plan can be successful, but it is likely to be more successful when guided by
an agreed plan of action. GEF-IW projects promote such plans by requiring countries to produce a Transboundary
Diagnostic Analysis followed by a Strategic Action Program.
·
Lake basin management institutions need time to become effective. They also need to adapt to emerging problems and
the development needs of the lake basin communities.
Introduction
and environmental protection agencies. This chapter will
concentrate on the role of formal organizations and the
Institutions are at the core of lake basin management. They
lessons that have been learned from the case studies about
administer the laws (and sometimes establish the policies their effectiveness.
and rules and incentives) for management of the resources
(Chapter 5); they provide a forum for involving those affected
Formal lake basin management institutions can have different
by lake basin management, and for resolving confl icts (Chapter
functions:
6); they collect and store knowledge for action (Chapter 8);
and they are sustained by fi nances (Chapter 9) obtained from
·
Resource development--to exploit the resources offered
local, national, and international sources.
by a lake such as fi sheries organizations and irrigation
groups. This includes tasks such as allocating lake basin
Institutions for Lake Basin Management
resources like water or fi sh licenses;
Types of Institutions
·
Service delivery--to promote development in a lake
Institutions include traditional organizations, such as
basin by providing basic, underlying services such
village committees or fi sheries groups; nongovernmental
as water supply, sewage collection and disposal, and
organizations; private sector organizations, such as
transportation links;
industry associations; as well as formal, government-
sanctioned organizations such as departments of fi sheries

---

·
Regulation--to ensure that the lake's resources are However, the lake briefs show that there is poor coordination
shared equitably or protected from externalities. They
between institutions at many of the lakes. The Lake Sevan brief
are usually sectoral and can be formed specifi cally for a
provides a good example of the reasons: "Many institutions
lake--such as the Lake Victoria Fisheries Organization--
are engaged in different aspects of Lake Sevan management:
or be national regulatory organizations (such as the
elected and appointed administrative authorities, scientifi c
Kenyan National Environmental Management Authority)
research institutes, conservancy organizations, consumers,
with responsibility for regulating pollution control in etc. Among them, Sevan National Park, under the Government
all waterbodies, including lake basin resources. The of the Republic of Armenia and direct governance of the
rules that these organizations enforce are described in
Ministry of Nature Protection, should take a leading role
Chapter 5;
with overall responsibility for coordination of Lake Sevan
management. Regrettably, this is far from the present reality
·
Advisory--to recommend courses of action to for the following reasons: absence of legal grounds; weak
governments at a variety of levels; and,
human resources; weak material resources; poor scientific and
technical equipment; lack of support of local inhabitants; and
·
Coordination--to promote coherent action across lack of self-dependence in operational decisionmaking."
the diverse sectors and jurisdictions involved in
lake basin management. They have a special role Typically, either the water resources or the environment
with transboundary lake basins, where there is no institutions are expected to take the lead in coordination
overarching authority, and they need to coordinate because other institutions are focused on specifi c resource
across nations as well as across sectors.
development and management responsibilities. However, water
resources and environment institutions are weak institutions in
Table 4.1 provides a summary of the major institutions partly
many countries, particularly when the lake or reservoir basin
or wholly involved in the management of a lake and its basin
possess important national economic values, such as water for
for the 28 cases in this study, including some proposed hydropower and irrigation as in the case of Lake Sevan. This
transboundary coordinating institutions. The table does dominance of sectoral development institutions at the expense
not include the service delivery (such as local government of those with potential coordinating responsibilities is one
agencies) and resource development agencies (such as reason for the "absence of legal grounds" above in the case of
departments of agriculture) responsible for each lake basin;
Lake Sevan. This sectoral dominance is most pronounced in the
the former because of their ubiquity and the latter because
case of reservoirs which are usually developed specifi cally for a
they are usually national or transnational institutions whose
high-value resource use. Unless there is a direct threat to the
focus is not solely on the lake's resources.
generation of hydropower, the supply of water for irrigation or
urban/industrial use or for fl ood control, there is little likelihood
Judicial institutions are not normally directly involved in lake
that the coordinating activities of an environmental or water
basin management. However, India provides an example where
resource institution will be given priority.
the courts have taken an active interest in the interpretation
and enforcement of the law (Box 4.1).
A confounding problem is that the water resources and
environment management institutions often do not understand
Coordination between Institutions
the complementary nature of their responsibilities and do not
One of the strongest messages to emerge from the lake briefs
work together. Unless environment concerns in the lake basin
is the need for coordinated action between sectors and levels
are properly managed, the value of the lake basin's water
of governance (including between countries for transboundary
resources will decline. This is apparent at many lake basins in
lake basins). This applies to national policy, institutions and
this study:
representative sectoral groups, including the coordination of
the actions of upstream, downstream and lake user groups.
·
At Lake Victoria, increasing nutrient loads have led to
eutrophication of the lake;
Box 4.1 Public Interest Litigation in India
A major development in controlling the continuing degradation of lakes in India has been the involvement of the judiciary,
sometimes at the highest level of the Supreme Court. Indian law courts have been extremely proactive on the issue of
environmental protection. Groups of affected people and third parties have been fi ling public interest litigations (PIL) in
courts across the country seeking remedial actions, especially for highly polluted urban lakes.
The Supreme Court, in a PIL in the case of Badal Khol and Surajkund lakes in Haryana state, held that the precautionary
principle is part of the law of the land, and limited construction activity in the near vicinity of the lakes. Although PILs have
generally helped in restoration of lakes, there are opposite instances, as was the case of the Rabindra Sarovar lake in West
Bengal, where the PIL sought to legalize encroachment onto the lake.
Source: Reddy, M.S. and N.V.V. Char, Management of Lakes in India, Thematic Paper, Lake Basin Management Initiative.
30
Chapter 4

---

·
At Lakes Malawi/Nyasa and Tanganyika, soil erosion is
by the continuity of key staff. A key individual, particularly if he
causing loss of fi sh breeding habitat in the lake's littoral
or she is charismatic, can play a catalytic role in building links
zone; and,
between institutions. The importance of having a dynamic
person leading a lake basin institution is not directly discussed
·
At Lakes Ohrid and Victoria, limited controls over in any of the briefs, although it appears to have been an
pollution from mining is leading to localized zones of
important factor in the success of the Chilika Development
heavy metal concentration in the lakes with the potential
Authority and the Laguna Lake Development Authority. Such
for entering the foodchain.
leaders have a vision of what is required, inspire their staff
and are able to persuade other agencies and senior decision
It often takes a crisis for environment and water resources
makers to coordinate their actions so that mutually benefi cial
institutions (and sometimes resource development outcomes are achieved.
institutions) to realize that they need to work together to
ensure that lake basin resources are utilized sustainably. Management of Transboundary Lake Basins
At Lake Biwa, it took many years of strenuous effort by the
Shiga Prefecture Government before the environmental With few exceptions, the riparian and watershed lands of
consequences of the Lake Biwa Comprehensive Development
the lakes selected for this study lie within more than one
Project were understood and mitigated through payment political jurisdiction. Some political boundaries, such as local
for the use of the lake's water and subsequently through a
government or county government boundaries, lie within one
special law for the lake's conservation. At Chilika Lagoon, country; others lie between countries. In keeping with common
the successful coordination of not only the environment usage, we will refer to the latter--lake basins lying in more
and water resources institutions, but also a wide range of than one country--as transboundary lake basins, although it
resource development institutions only became possible should be noted that many of the inter-jurisdictional issues
after the lagoon's connection with the ocean silted up, with
are common between these basins and those lying within
severe consequences for the lagoon's fi sheries as well as for
one country. In the case of transboundary lake basins, the
its environmental values. Aquatic weeds proliferated and there
differences in political environments, economic development,
was a decline in the numbers of migratory birds nesting on
social norms, and administrative settings can readily lead
islands in the lagoon, presumably because of the decline in
to different approaches to lake basin management, with
fi sh numbers following the closure of the lagoon's connection
detrimental effects on the environmental and development
with the ocean. The success of the Chilika Development status of lake basins.
Agency is partly due to its ability to work with the Department
of Water Resources which has responsibility for fl ood control
Longevity of Transboundary Institutions
and irrigation infrastructure.
The briefs suggest that there are specifi c factors that affect the
success of transboundary lake basin management, including
These examples make it clear how important it is for the perception of common problems faced by the lake basin
environmental and water resources institutions (and preferably
countries; the kind and nature of cooperative agreements among
all institutions involved in use of the lake basin resources) to
the countries; and their political will, commitment, and fulfi llment
develop a common understanding of the limits on and problems
of obligations. The institutional arrangements between countries
arising from resource use (see Chapter 8), and to develop a joint
are affected by the evolution of such arrangements, the
vision of their management (discussed further below).
relationship between the sector agencies and the coordinating
body, the coordination and collaboration mechanisms, and
Informal Links to other Organizations
participatory mechanisms and experiences of stakeholders.
Institutional infrastructure is costly to create and maintain. In
the case of the North American Great Lakes, the laws, treaties,
In cases where there has been a history of cooperation
conventions, compacts, and formal agreements have taken between countries, establishing a transboundary coordinating
many years of effort to formulate and there is considerable arrangement can be rather straightforward, since each of the
bureaucratic overhead in servicing them. The infrastructure sectors often has its own set of transboundary relationships
to support these agreements may not be available in many that have evolved over many years (for example, in the case of
national or transboundary lakes. In addition to formal Lake Constance and the North American Great Lakes). As the
institutional arrangements, it is important to recognize that institutional history grows longer, the relationship between the
informal mechanisms, e.g., the conferences, workshops and sectoral agencies and the transboundary coordinating body
taskforces are vital to the operation of communications between
usually becomes clearer.
institutions (Great Lakes Brief ). For example, researchers call
meetings, outside of the formal institutional arrangements to
In the case of the North American Great Lakes, the International
address new issues, e.g., in the case of zebra mussel invasion in
Joint Commission (IJC) was established in the Boundary Waters
the 1980s into the North American Great Lakes system.
Treaty of 1909 and the U.S. Great Lakes Commission (GLC)
(with eight states as members) was established in 1955. The
The building of both personal and institutional relationships
IJC makes binding decisions regarding water uses that affect
with key stakeholders, including funders, is greatly facilitated
the lakes' water level and fl ow on either side of the two-nation
Institutions
31

---

border. Through various agreements, it also investigates issues
coordinate natural resources development projects and research
of water quality and quantity and encourages cooperation within the basin area; examine complaints; and promote the
among different government jurisdictions. In the case of settlement of disputes, thereby promoting regional cooperation."
Lake Constance (Box 4.2), the International Commission The Lake Chad Brief states that: "Until recently, evidence of
for the Protection of Lake Constance (IGKB) was founded the commission's presence has been virtually invisible in the
in 1959 by the three riparian countries (Austria, Germany, conventional basin apart from some scattered infrastructure.
and Switzerland) to preserve the lake ecosystem from Member states need to vest the commission with more power
further degradation. The International Bodensee Conference
to enable it to resolve water and land disputes and confl icts.
(IBK)-- an intergovernmental organization consisting of seven
A basic weakness in all river basin organizations and regional
Swiss cantons, two German states, an Austrian state, and the
economic communities in Africa is lack of strong evidence of
Principality of Liechtenstein--was founded in 1972 to deal supernationality." This experience illustrates that, even for
with all major political decisions involving the lake basin. long-established transboundary institutions, political support is
In most cases covered in the lake briefs, however, formal essential for success.
transboundary relationships on lake basin management do not
date back more than several decades.
Forms of Transboundary Cooperation
It is not necessary that all basin governments are included in
Among the lakes in the developing world in this study, the Lake
formal institutions for successful management. For example,
Chad Basin Commission is the longest established transboundary
Rwanda (and to a lesser extent Burundi), although not
lake basin management authority. It was established in 1964, with
members of the East African Community, discuss management
responsibilities "to regulate and control the utilization of water
issues in the Lake Victoria Basin with the EAC. In another
and other natural resources in the basin; initiate, promote, and
example, China is an active member of discussions on regional
Box 4.2 Transboundary Institutional Arrangement at Lake Constance
Two transboundary institutions have responsibility for the coordinated management of Lake Constance.
International Bodensee Conference (IBK)
The International Bodensee Conference, an intergovernmental organization of the lake-side federal states and cantons,
was founded in 1972. Today the IBK has ten members--the Swiss cantons of St.Gallen, Thurgau, Schaffhausen, Appenzell
Innerrhoden, Appenzell Ausserrhoden and Zürich; the German states of Baden-Württemberg and Bayern: the Austrian state
of Vorarlberg; and the Principality of Liechtenstein. All important IBK decisions are taken by consensus. IBK is organized
in a Permanent Committee and seven Commissions. Every year a conference with all prime ministers of the member states
takes place in one of the member states. In 1999, the Environment Commission published a report entitled Measures in the
Fields of Agriculture and Water Protection in the Lake Constance Region, which summarized the problems, the legal and
administrative framework, and necessary activities and measures to be taken, especially cross-border cooperation among the
administrations.
The common activities are fi nanced by the members. The percentage of fi nancing of each member is fi xed according to the
extent of the territory.
International Commission for the Protection of Lake Constance (IGKB)
Lake Constance has a peculiar legal and administrative feature. Clearly defi ned national frontiers between Switzerland and
Germany exist in the lower lake. In the upper lake, only the shallow water area from the shoreline to 25 m water depth is
national territory of the bordering countries. The major part of Upper Lake Constance is considered as common property, a so-
called "condominium." The IGKB was founded in 1959 by the three bordering countries (Austria, Germany, and Switzerland)
in order to preserve the lake ecosystem from further degradation. In 1960, the members concluded an Agreement on the
Protection of Lake Constance from Pollution (signed into law November 1961). In 1987, the IGBK created a Memorandum, "The
Future of a Clean Lake Constance: Long and Short Term Measures."
The main duties of the IGKB are the observation of the lake, confi rmation of the causes of its pollution, recommendations
for coordinated preventive measures, and discussion of the planned uses of the lake. The commission meets at least once a
year and is composed of delegates from member governments and a limited number of high offi cers of those governments.
As an advisory agency, the commission cannot decide on rules and actions connected with environmental protection, but by
agreement the regional governments are obliged to transform the recommendations of the IGKB into national law. A technical
and scientifi c board of experts serves as offi cial consultants to the commission. They elaborate the research program
and prepare reports on the research sanctioned by the commission. The board of experts has three working groups for
studying special problems concerning the topics "Lake", "Catchment Area", and "Accident defense". The working results are
summarized and published in green reports (annual investigation of the lake monitoring data) and blue reports (case studies
and special topics).
To maintain communications between the organizations, one member of the IGKB is represented in the permanent committee
of IBK. However, cooperation between IBK and other commissions and institutions is not regularly organized.
Source: Lake Constance Brief.
32
Chapter 4

---

Table 4.1 Major Institutions Mentioned in Each of the Lake Briefs as Playing a Critical Role in Lake Basin Management.
Trans-
Lake Basin
Key Institutions
Legal Mechanism
Function
boundary
International
Interstate Commission for Water Coordination
Resource Development
Agreement
Aral Sea
Y
Interstate Council on the Aral Sea Problems/
International
Advisory
International Fund for the Aral Sea
Agreement
Lake Baikal Commission (now ceased)
National Act
Coordination (national)
Baikal
Y
Coordination (national) and
Federal Environmental Protection Agency for Baikal
National Act
Transboundary Negotiation
Baringo
N
No specifi c lake basin institution
Bhoj Wetland
N
No specifi c lake basin institution
Shiga Prefecture (Department of Lake Biwa and the
National Act,
Biwa
N
Coordination
Environment)
Prefecture Law
Chad
Y
Lake Chad Basin Commission
International Treaty
Resource Development, Coordination
Lake Champlain Basin Program
National Act (USA)
Coordination
Lake Champlain Steering Committee
MoU
Advisory
Champlain
Y
International Joint Commission
International Treaty
Resource Development
Lake Champlain Fish and Wildlife Management
Federal-state
Resource Development
Cooperative (USA)
Agreement
National Law,
Chilika Lagoon
N
Chilika Development Authority
Coordination
Provincial Act
Cocibolca/Nicaragua
Y
No specifi c lake basin institution
International Commission for Protection of Lake
International
Advisory
Constance
Convention
International
Constance
Y
International Bodensee Conference (IBK)
Advisory
Agreement
International Commission for Boating on Lake
International
Constance
Agreement
Dianchi
N
Lake Dianchi Protection Committee and Bureau
Municipal Ordinance
Coordination
International Joint Commission (IJC)
International Treaty
Resource Development
Multi-state Compact
Great Lakes Commission (GLC)
Resource Development, Advisory
Great Lakes
(USA)
Y
(North American)
International
Great Lakes Fisheries Commission
Advisory
Convention
Great Lakes National Program Offi ce ­ USA
National Law
Advisory
Issyk-Kul
N
Issyk-Kul Environmental Protection Authority
National Law
Regulation
International
Zambezi River Authority
Resource Development, Coordination
Agreement
Kariba Reservoir
Y
International
Zambezi Watercourse Commission (ZAMCOM)
Advisory
Agreement
Coordination, Regulation, Resource
Laguna de Bay
N
Laguna Lake Development Authority
National Law
Development
International
Lake Malawi/Nyasa Basin Commission (proposed)
Coordination
Malawi/Nyasa
Y
Convention
Lake Nyasa Basin Water Offi ce ­ Tanzania
National Law
Regulation
Lake Naivasha Riparian Association
No legal status
Protection
Naivasha
N
Lake Naivasha Growers Group
No legal status
Resource Development
Nakuru
N
No specifi c lake basin institution
Ohrid
Y
Lake Ohrid Management Board
MoU
Coordination
International
Estonian-Russian Transboundary Water Commission
Advisory
Agreement
Peipsi/Chudskoe
Y
Intergovernmental Estonian-Russian Commission on
International
Coordination, Regulation
Fisheries
Agreement
Sevan
N
No specifi c lake basin institution
International
Lake Tanganyika Management Authority (to be formed)
Coordination
Tanganyika
Y
Convention
Lake Tanganyika Basin Water Offi ce ­ Tanzania
National Law
Regulation
International
Titicaca
Y
Lake Titicaca Binational Authority
Coordination
Agreement
Coordinating Board for Lake Toba Basin Ecosystem
Toba
N
State Letter of Decision Advisory
Conservation
Tonle Sap
Y
Mekong River Commission
International Treaty
Coordination
Tucurui Reservoir
N
No specifi c lake basin institution
International
Lake Victoria Fisheries Organization
Regulation
Agreement
Lake Victoria Basin Water Offi ce ­ Tanzania
National Law
Regulation
Victoria
Y
Lake Basin Development Authority ­ Kenya
National Law
Resource Development
International
Lake Victoria Basin Organization (proposed)
Coordination
Agreement
Xingkai/Khanka
Y
International Ussuli Commission (proposed)
MoU
Advisory
Note:
The numerous sectoral and local institutions involved in lake basin management have not been listed if their primary purpose is
other than lake basin management.
Institutions
33

---

economic development of the Mekong River basin region, the IJC has been successful, the Lake Chad Basin Commission
particularly in relation to initiatives from the regional funding
has failed to control upstream water use in spite of being
institutions, although China is not a member of the Mekong
assigned authority in the Fort Lamy Convention and Statutes
River Commission.
that established the Commission to "regulate and control the
utilization of water and other natural resources in the basin."
It is often not possible or practical to develop a powerful super-
The two governments riparian to the Kariba Reservoir--Zambia
national agency to form management policies and implement
and Zimbabwe--have a history of weak inter-agency
programs for a transboundary lake basin. The sectoral cooperation. Departmental authorities often proceed with
institutions of the member states typically have their own plans
activities directed by their respective authorities, sometimes in
and programs, and harmonization of these plans and programs
contradiction to ZACPLAN, the overall basin plan agreed to by
may be quite problematic. Under such circumstances, the their respective governments.
lake basin nations may rely on the facilitating functions of
coordinating institution, such as the IBK and IGKB of Lake Resource Mobilization for Planning and Project
Constance and IJC and GLC of the North American Great Implementation
Lakes. A coordinating institution is one alternative for the If lake basin countries have adequate fi nancial and human
joint management of transboundary lake basins in which the
resources to fulfi ll transboundary commitments, then
member states face issues that are technically complicated
there may be no need for a comprehensive transboundary
or politically disputed. The joint bodies should have a wide
action plan covering multiple sectors and all lake basins.
representation from many governmental and nongovernmental
For example, the riparian and catchment countries of such
stakeholder organizations, including ministries and local transboundary lake basins as the North American Great Lakes,
authorities, so that the results produced by international/
Lake Constance, and Lake Champlain have had decades of
national projects would be broadly sustained. Box 4.3 provides
institutional collaboration without having a comprehensive
more information on institutional forms based on the types of
plan. At the North American Great Lakes, managers have
agreements.
focused on developing remedial action plans for specifi c
areas of concern, and conducted region-wide efforts under
Transboundary Cooperation Agreements
institutions and agreements such as the Great Lakes Water
Transboundary institutions can be formed under a variety of
Quality Agreement (IJC), Great Lakes Fisheries Commission,
mechanisms:
and Great Lakes Commission. They are now in the process
of developing action plans for each of the fi ve lakes. While
·
A vision describes broad goals and principles for future
a comprehensive plan was not required, the relevant federal
actions, usually without binding provisions for resource
agencies developed a shared vision for the Great Lakes in an
mobilization or for the failure of mutual pursuit;
effort to better coordinate their efforts. At Lake Champlain, a
comprehensive plan was completed in 1996 and updated in
· Memorandums
of
understanding
(MOUs) are documents
2002. Although there had been collaboration for decades prior
of record, formal or informal, that serve as a basis for
to the plan, key actions were not completely successful until
future actions of the parties. MOUs specify roles and
the comprehensive plan was prepared using a participatory
responsibilities and usually have some provisions for
process to involve stakeholders. Collaboration without a plan
resource mobilization and a clause for termination of the
can be successful, but this example shows that it is likely to be
mutual collaboration;
more successful when guided by an agreed plan of action.
·
An agreement for joint management of a transboundary
Most transboundary lake basins are situated in regions where
lake basin usually constitutes a legally binding the riparian and catchment countries do not have adequate
document for formal international exchange through fi nancial and human resources, the enabling environment
a diplomatic channel. It stipulates the needed joint is weak, and the record of transboundary collaboration is at
actions for achieving certain shared goals. Some have
an early stage or has been marginal. The GEF supports the
provisions for penalties in case of failure of a party to
management of some of these lake basins where there is a
fulfi ll the agreed objectives; and,
global public benefi t. A Strategic Action Program is developed
as part of assistance under the current guideline for the GEF
· A
convention is a special type of agreement that involves
International Waters Operational area. Such transboundary
sovereign states as signatories.
lake basin management programs should support existing
programs, plans and institutions developed by the national
Box 4.3 provides examples from the lake briefs.
governments. The Lake Malawi/Nyasa Brief states,
"Internationally funded projects must use existing, agreed
Political and Legal Considerations and Constraints
regional and national plans and not start afresh. This will
The briefs suggest that the success of transboundary lake minimize disruption to established programs and workloads."
basin management depends on the member states' political
will, commitment, and fulfi llment of obligations rather than
the particular form of institution or its legal status. Thus, while
34
Chapter 4

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Building Trust with the Public
oblasts (provinces) in the Russian Federation and needs to
Whether at a transboundary lake or a national lake, it is vital
be tackled regionally. However, other problems are quite local
that any lake basin management institution secure the trust of
and can be dealt with locally. For example, hot spots can be
sectoral institutions and the public (Chilika Lagoon and Laguna
identifi ed at a number of the lakes in the study, including
de Bay briefs). It is particularly important for transboundary
Missisquoi Bay in Lake Champlain, Akanoi Bay in Lake Biwa,
institutions. The Lake Peipsi/Chudskoe brief makes the point
Winam Gulf in Lake Victoria, and numerous islands in Lake
that trust across national borders has to be built on the back of
Malawi/Nyasa. National governments (or their agencies) will
effective communications, a common set of data and analysis
be needed to tackle regional problems, but local governments
protocols, and transparent decision making across boundaries.
may be capable of managing more local problems.
Ethnic affi liations across borders can be used to facilitate this
communication (African Lakes Workshop).
Given the numerous problems experienced in each study
lake (Table 3.2), the implication is that institutions need to
Contributions from Different Levels of Government
be functioning at all levels--national/international, regional
and local--for effective lake basin management. For example,
In keeping with the principle of subsidiarity, lake basin Lake Peipsi/Chudskoe experiences local problems (shoreline
problems should be tackled at the lowest appropriate scale.
effl uent discharge), regional problems (weed infestations)
Some problems need to be tackled at the basin or even larger
and international problems (unsustainable fi shing practices
scale. For example, the atmospherically-borne industrial and diffuse source nutrients). Although, according to the
pollution affecting Lake Baikal originates from a number of
Principle of Subsidiarity, these problems need to be tackled at
Box 4.3 Examples of Agreement Types
Vision
Lake Chad. A Strategic Action Plan with long-term vision (20 years) for the Chad Basin has been prepared with the assistance
of the Global Environment Facility (GEF). It was adopted by the member states in 1998. The Lake Chad Vision for 2025
highlights a number of important issues needing to be addressed in the basin.
Memorandum of understanding
Lake Champlain. The Memorandum of Understanding on Lake Champlain of 1988 and the Water Quality Agreement of 1993
signed by the states of Vermont and New York in the United States, and the province of Quebec in Canada are examples
of nonbinding transboundary covenants. The MOU created a mechanism for the exchange of scientifi c information and
encouraged cooperative planning for watershed protection. It established the Lake Champlain Steering Committee with
diverse representation among the three jurisdictions, and established a role for three citizens' advisory committees. The
MOU is a fi ve-year renewable agreement and sets the stage for the passage of national legislation and the development of a
comprehensive plan for the lake basin. This comprehensive plan is still under way.
Agreements
Lake Peipsi/Chudskoe. The Agreement between the Government of the Republic of Estonia and the Government of the Russian
Federation on Cooperation in Protection and Use of the Fish Resources of Lake Peipsi/Chudskoe, Lake Pihkva, and Lake
Lämmijärv was signed in Moscow on May 4, 1994. The goal of the agreement is to develop cooperation in protection and joint
use of fi sh resources in Lake Peipsi/Chudskoe, Lake Pihkva, and Lake Lämmijärv. The agreement included the establishment
of the Intergovernmental Commission on Fishery in Lake Peipsi/Chudskoe, Lake Pihkva, and Lake Lämmijärv.
The Great Lakes of North America. In 1972, the United States and Canada signed the Great Lakes Water Quality Agreement.
Signed by President Nixon and Prime Minister Trudeau, the agreement does not have treaty status, but is a binational
executive agreement that commits Canada and the United States to specifi c actions to protect and enhance water quality. The
Great Lakes Water Quality Agreement not only addressed water quality issues, but perhaps equally importantly, the issue of
multiple fragmented jurisdictions. To this end, the agreement established the International Joint Commission (IJC) Great Lakes
regional offi ce (the only IJC Regional Offi ce), which has specifi c responsibilities for providing technical support, coordinating
programs, and monitoring implementation of the two federal governments under the agreement. The IJC has established a
Great Lakes Water Quality Board and a Science Advisory Board to carry out its mandate.
Conventions
Lake Tanganyika. The Convention for the Management of Lake Tanganyika is a government-government agreement setting
out the rights and duties of the four riparian countries--Tanzania, Burundi, the Democratic Republic of Congo, and
Zambia--surrounding the lake. It establishes institutional structures for cooperative management, management principles, a
Strategic Action Program (SAP), and related matters. The convention was developed through a series of regional workshops
bringing together senior lawyers and policy makers from each of the four riparian countries. The fi nal draft of the convention
was adopted by the steering committee (July 2000) at the completion of the GEF-funded UNDP Lake Tanganyika Biodiversity
Project (LTBP). The convention was signed by the four riparian states on June 12, 2003, and is now being ratifi ed by the
various parliaments. Once it enters into force (after ratifi cation by at least two countries), the convention will provide the legal
authority to implement the SAP and regularly revise it.
Sources: Lakes Chad, Champlain, North American Great Lakes, Peipsi/Chudskoe, and Tanganyika Briefs.
Institutions
35

---

the appropriate level, there is usually a need for support from
within the basin. In many of the lakes studied in this project,
organizations at all levels. Thus, unless national governments
the national sectoral institutions work through regional offi ces
(and sometimes international assistance agencies) provide (Box 4.4). In most cases, these management regions are not
the funds the local urban effl uent discharges at Lake Peipsi/
based on the lake basin boundaries, even for water resources
Chudskoe are unlikely to be mitigated using just local resources.
management agencies.
National-Level Governments
Local Governments
In almost all lake basins described in the briefs, national Local governments (municipal, district, and regional
governments are directly or indirectly involved in the authorities) can play a central role in improved lake basin
management of the respective lake basins. While some management. They are the bodies closest to the users of the
transboundary lake basins have transboundary management
resources of lake basins; they have responsibility for many
institutions established or about to be established (North resource management activities; and they also use lake basin
American Great Lakes, Aral Sea, Lakes Champlain, Constance,
resources. They are often best placed for facilitating a dialogue
Chad, Tanganyika, Victoria), the national governments retain
directly with lake basin resource users. Their decisions on
considerable infl uence over management activities. National
land use zoning, transportation, construction, public health,
lake basins that are under direct or signifi cant managerial ecological zoning, solid and liquid waste management, and
responsibility of the national government include Lakes industrial incentives all affect water resources.
Nakuru, Tonle Sap, Laguna de Bay, Issyk-Kul, and Sevan, as
well as the Tucurui Reservoir.
Few of the 28 lakes in this study are managed entirely by a
local government. The Bhoj Wetland falls under the jurisdiction
In general, the involvement of national governments in lake
of the Bhopal Municipal Corporation (BMC). While the state
basin management takes place through sectoral ministries government retains responsibility for many resource use
and their agencies. For example, agencies in charge of activities, the singularity of local authority and the importance
management of water resources would control the yield as
of the lake to the local area means that BMC carries particular
well as allocation of water from the lake, and the forestry responsibility for lake basin management. Lake Biwa, the basin
department would manage the use of plantation and forests
Box 4.4 Sectoral Involvement at Lake Nakuru
Lake Nakuru in the Rift Valley of Kenya is a popular tourist destination with major wildlife attractions. The town of Nakuru is
a rapidly growing industrial center and the forests in the lake's basin have been largely cleared for smallholder agriculture in
the last 40 years. The town has experienced a growth rate of about 10 percent for the last three decades, putting tremendous
strain on water supply and the environmentally safe disposal of wastewater. A number of government agencies have
jurisdiction over different resources within the basin, illustrating the complexity of managing the basin:
·
The Kenya Wildlife Service is mandated to conserve and manage Lake Nakuru under the Wildlife Act. It developed the Lake
Nakuru Ecosystem Integrated Management Plan 2002­2012 to address poverty and reduce the threats facing the lake.
·
The Municipal Council of Nakuru is in charge of urban development, setting trade effl uent standards, and monitoring
water quality. The council has a well-equipped water quality laboratory within Lake Nakuru National Park, although it
often lacks funds to process samples or maintain the equipment.
·
The Ministry of Water Resources Development operates within the lake basin under the Water Act, and is responsible
for conserving the water catchment, water allocation, pollution control and monitoring, and resource mobilization for
water resources development. Under recent legislation, operational responsibility will be devolved to a Catchment Area
Advisory Committee with increased stakeholder involvement.
·
The Forest Department operates in the lake's catchment under the Forest Act, and is responsible for forest resource
development, extension services, and resource mobilization. Large areas of forests in the lake's catchment have been
cleared under controversial government policies; these activities are in direct confl ict with good management of the
lake basin's resources.
·
The Ministry of Agriculture is responsible for development of agricultural activities in the catchment under the
Agriculture Act.
·
The Provincial Administration is responsible for policy enforcement and creating an enabling environment for
sustainable lake environment management.
·
The Department of Occupational Health and Safety has taken the lead in the implementation of Pollution Release and
Transfer Registers in Nakuru. They have sensitized the industrial community to initiate waste reduction programs, and
developed a database that contains all the information collected from participating industries.
Source: Lake
Nakuru
Brief.
36
Chapter 4

---

of which lies entirely within Shiga Prefecture and where the lake
poor feeling no longer excluded and being able to speak up
is central to the prefecture, provides another example.
at meetings." Representation by stakeholder groups will be
discussed further in Chapter 6.
Laguna de Bay, on the other hand, is managed by a special
authority--the Laguna Lake Development Authority--whose The breadth of representation (and the consequent range
boundaries include the basin as well as some local government
of communication channels) was identifi ed as an important
areas outside the watershed. Some confl icts between the LLDA
criterion for success in the Lakes Peipsi/Chudskoe and Titicaca
and the local government units illustrate the importance of briefs, along with the fl exibility of the institutional design.
having clearly coordinated actions between the different levels
of government. Although the LLDA has been given the mandate
Decentralization
to manage the lake's shoreline areas, it did not exercise this
responsibility for many years. The delayed action also made
Several of the lake briefs describe the evolution of lake
it diffi cult for the local government authorities to understand
basin management institutions as part of government
why the parts of the lake within their municipality that remain
decentralization policies. At Tonle Sap in Cambodia, for
dry at certain times of the year are not under their jurisdiction.
example, concerns were expressed about the need to adopt
In spite of the dissemination of the Laguna de Bay Shoreland
decentralization policies that recognized the hierarchical
Policy, the local governments continue giving permits for system of governance within the basin management
shoreland use which, by law, is the LLDA's responsibility. The
framework, from the Mekong River Commission to national and
confusion extends to other national agencies too. Agencies in
provincial authorities and all the way down to the poorest and
charge of land management, surveys, and land titling classify
most isolated communities within the lake basin. At Lake Toba
these shoreland areas as alienable and disposable lands, in Indonesia, lake basin management has been developed
in spite of the Administrative Order that was specifi cally
within the context of government decentralization policies.
approved to prevent this situation from occurring. Resolution
In this case, the provincial government and fi ve jurisdictions
of this situation will require action and political will by the top
around the lake extend beyond the relatively small basin
executives of the involved agencies.
boundary of the lake itself. The need to coordinate among
the local jurisdictions (kabupatens) and to resolve resource
In most cases, problems affect a wider area than just one local
management confl icts (such as fi sh pen developments)
government jurisdiction because of the integrating nature of
within the province is evident, but has not been addressed to
lakes. In addition, local governments often lack jurisdictional
date. In addition, this brief points to the need for promoting
authority and resources to address complex issues, including
community-based approaches, which had not been possible
the ability to bring other sectors and other levels of government
under the previous highly centralized governmental regime.
to the table, the fi nancial and human resources to implement
properly sustainability initiatives, and the necessary political
To support implementation of its national water policy, the
will, due to the brevity of the electoral or administrative cycle.
Government of Tanzania established fi ve river basin water
offi ces and four lake basin water offi ces (for Lakes Victoria,
In many instances, local governments can be major source of
Tanganyika, Malawi/Nyasa and Rukwa) by the end of 2004
lake degradation if they are responsible for the disposal of
as institutions responsible for managing the country's water
urban sewage and solid wastes. At Lake Ohrid, the discharge
resources (although this recent development was not captured
of untreated effl uent from urban municipalities in both FYR
in the briefs for Lakes Victoria, Tanganyika, and Malawi/Nyasa,
Macedonia and Albania has been a major source of lake which covered earlier periods). This basin-focused approach
pollution. Solid wastes are disposed of in unlined pits and are
replaces the previous regionally-based administration of
believed to be a source of lake contamination. These pollution
water resources. However, decentralization can increase the
sources are currently being controlled with assistance from the
isolation of a lake basin from the national government; this has
German and Swiss governments and the GEF.
been a problem at Lake Tanganyika. The Lake Xingkai/Khanka
drainage basin is also remote from the capitals of both China
Institutions and Stakeholder Participation
and the Russian Federation. As a result, the region does not
Many lake briefs (Lakes Ohrid, Peipsi/Chudskoe, Laguna de
have the economic or political visibility needed to receive
Bay, and the Bhoj Wetland) state that successful lake basin
signifi cant attention from the central government of either
institutions need good pathways to communities dependent
country. Yet national-level attention is important to ensure the
on lake basin resources. In some cases, this may involve lake and its drainage basin receive suffi cient economic and
having community representatives on a management agency.
other resources to tackle the problems.
Additionally, a report on Lake George presented at the African
Regional Workshop says that these institutional links provide
Capacity Building
conduits for information to pass upwards from communities to
Many of the briefs described the need to build capacity within
planning and decision making at all levels, as well as providing
local and regional institutions. The most commonly cited needs
opportunities for communities to feel part of management and
included stakeholder involvement and participatory management
responsible for protecting the lake basin's resources: "Benefi ts
techniques, monitoring and evaluation, and administrative
are already being felt by stakeholders, such as women and the
aspects of project management (particularly where GEF-funded
Institutions
37

---

projects have been implemented). Decentralization throws a often have limited fi nances to achieve their aims. For example,
considerable burden on local authorities, and in many cases local
one of the most successful institutions included in the
authorites are not well-equipped to handle such burdens. The
briefs, the Chilika Development Authority, had few successes
Lake Malawi/Nyasa brief makes the point that decentralization
following its establishment in the early 1990s. Yet by the
has been proceeding only slowly in each of the lake's three late 1990s it facilitated the biophysical recovery of the lake
riparian countries (Malawi, Mozambique, Tanzania) because it is
and the reestablishment of a sustainable income for fi shing
not always welcomed by offi cials at regional or district levels who
communities dependent on the lake, partly because it had
may be unwilling or unable to assume increased responsibilities.
invested in developing good relationships with the sectoral
The cost of operating an environmental monitoring program agencies that would be needed to implement the restoration
and maintaining it over the long term presents a tremendous
effort, partly because it had invested in acquiring a relaible
challenge, given the current capacity of many of the lake basin
knowledge base about the lake basin problems, and partly
management institutions. However, there are opportunities to
because the urgency of the situation provided it with the
involve citizens in monitoring programs in developing countries
necessary authority.
to keep costs down, as well as build improved capacity among
stakeholder groups.
Even though they need to persist over the long term, effective
institutions are not static. They have to evolve to match their
At Lakes Baringo, Nakuru, and Toba, lake basin managers activities with emerging problems and the development needs
successfully made use of a tool developed by the World Bank
of the lake basin communities. The North American Great Lakes
for participatory rural appraisal (PRA) and conducted training
brief shows how an institution needs to be fl exible enough to
among staff, environmental cadres, and/or local citizens respond to emerging environmental issues--in that case from
in order to build capacity for community-based lake basin aquatic nuisance species, to climate change, to water export,
management programs. At Lake Ohrid, local coordinators, to energy transmission infrastructure, or the assertion of
working with Watershed Management Committees, stewardship by Indigenous Peoples in Canada and the United
successfully built capacity for stakeholder involvement in the
States through "First Nations" and tribal authorities.
GEF-funded Lake Ohrid Conservation Project. At Tonle Sap,
however, strengthening institutional capability for community-
Both Lake Naivasha and Laguna de Bay provide good examples
based approaches was identifi ed as an urgent need that had
of responding to changing development needs. In the
not been adequately addressed.
former case, the institution has changed over 75 years from
a lakeshore protection organization, to a lake conservation
One important lesson in the briefs relates to increasing the body, to (in recent years) part of a semi-autonomous lake
capacity of local NGOs and CBOs through training programs and
basin management authority. It is notable that this evolution
small grants programs (Lakes Nakuru, Ohrid, Peipsi/Chudskoe).
has brought increasing numbers of stakeholders into the
The GEF-funded Lake Ohrid Conservation Project provided management of the lake, most recently expanding the
small grants for NGOs in both FYR Macedonia and Albania to
membership to include those in the lake's basin. However,
carry out a variety of activities, including summer eco-camps,
some stakeholders, such as those in the upper catchment of
education in the schools, cleanups along the shoreline of Lake
the Malewa River, have yet to be effectively included.
Ohrid, reforestation on tributary streams in the watershed, the
production and distribution of public education materials, and
In the latter case, the LLDA was established in 1966 to
hosting roundtable discussions and workshops. However, these
cultivate the potential of the lake and its environs for further
grants were only moderately successful in involving a wide development and control its environmental degradation.
cross-section of the public in their activities and depend on
As early as 1983, the LLDA was authorized to undertake
continuing access to international funds.
a thorough corporate reorganization, although little was
accomplished. Over the last 15 years, because of the rapid
Institutional Evolution
increase in population, settlements, industrial establishments,
Lake basin management institutions are most effective and other economic activities in the basin with increasing
when they build on existing structures at local government,
pressure on the lake, there has been an increase in its role to
sectoral, and community levels. This capitalizes on the protect the lake environment. The LLDA reengineering study
accrued knowledge and linkages of these organizations and
has led to the authority being restructured as an integrated
accesses their legal powers. This is emphasized in a number
water resources management and development agency. This
of briefs and other reports. For example, one of the lessons
will include an expansion of its development activities through
from Lake George in Uganda is that "appropriate and effective
the proposed Laguna de Bay Development Corporation.
institutional structures at national and local level should
not duplicate existing systems, but be integrated into, and
Three of the lake briefs described the use of formal institutional
supplement, government structures."
reviews to assess the effectiveness of the institutions in the face
of changes in socioeconomic and political situations in the region,
The briefs show that it can take considerable time to establish
including regular evaluation of the effectiveness of the institutional
effective institutions, particularly ones with a coordinating design (Lakes Peipsi/Chudskoe, Titicaca and Laguna de Bay).
function since they have to rely on persuasive power and
38
Chapter 4

---

Chapter 5
Identifying Effective Actions:
National and Local Policies
Key Lessons Learned about Policy
·
National-level policies are essential for establishing the foundation of good lake basin governance. However, there was
little discussion of national-level policy in the lake briefs.
·
Policies affecting lake basins need to support poverty reduction and development policies, because poverty itself
contributes to lake basin degradation and also because affected stakeholder groups are more likely to become
involved in lake basin management if they benefi t.
·
National policies are implemented at the local level through either command-and-control (CAC) policies, incentives/
disincentives (economic instruments), or public awareness. Each has advantages and disadvantages. These
instruments are often used together.
·
CAC policies are effective when there is a clear outcome being sought; there are relatively few affected stakeholders;
and there is social acceptance of government decisions.
·
Economic instruments have the advantages of being fl exible; relatively cheap to implement; and able to include the
cost of externalities. However, they can be diffi cult to introduce, especially when they involve charging for use of a
resource previously accepted as being free.
·
Overall, successful local policies build political will; involve the stakeholders; ensure administrative sustainability; are
equitable; and actively work toward policy integration.
National Policy
helped lead to the recovery of the lagoon. Thus, good national
policy is central to good lake basin management.
A national policy describes a government's intentions for
the use of a resource. The policy establishes the foundation
Given the sectoral organization of governments, it is rare to
for the other components of management--development fi nd a national policy specifi cally on lake basin management.
of the principles of lake basin management, institutions, Instead, the government's intentions for managing lake basins
legislation, rules and incentives, community and private are contained in water resources policies (encompassing both
sector participation, and fi nance. If there are differences in the
surface waters and groundwaters) and the policies of water-
policies of different sectors that affect lake basin resources,
dependent sectors such as fi sheries, irrigation, water supply,
or between different countries (in the case of transboundary
and environment. However, where the lake is of considerable
lakes), then there will be ineffi ciencies and potentially confl icts
importance, there may be a separate policy developed for
in the use of the resources. Thus, an agricultural sector policy
that lake that coordinates the activities being carried out by
to expand agriculture in the headwaters of a lake basin may
sectoral agencies and, in the case of transboundary lakes, by
lead to increased sedimentation of spawning areas for fi sh in
riparian and basin countries. This is recognized in the Lake
the littoral zone of a lake and thus come into direct confl ict
Victoria brief: "National policies and programs will need to
with the policy of the fi sheries sector to protect sensitive fi sh
include specifi c components to echo lake management policy,
breeding areas.
and the establishment of lake management policy will have
to take into account existing policies and strategies of the
The Chilika Lagoon provides an example where the absence
riparian and catchment countries."
of a strong policy on involvement of stakeholder groups led
to a unilateral decision by the state treasury to issue fi shing
It is very diffi cult in most countries, whether developed or
licenses to commercial interests that compromised the incomes
developing, to get consistency of action across sectors. The
of local fi shermen. When those affected by the decision consequence is that actions by one sector can undermine
were not listened to, there were riots resulting in deaths. or compromise actions by another sector. The problem is
The management program since 1999­2000 has emphasized
exacerbated in transboundary lakes. For example, water
stakeholder participation in major decision making; this has
withdrawals by the irrigation sectors of upstream countries

---

have added to the pressures on Lake Chad and affected fi shing
Local Policies
communities dependent on the resources of the lake.
At a more local level, where there is competition between
The increasing acceptance of IWRM offers an opportunity for
users of the resources of a lake basin, national policies need
coordinating sectoral policies that affect lakes. An increasing
to be translated into mechanisms to ensure that access
number of countries are introducing water resources policies
to these resources is allocated fairly and effi ciently. This
that require this coordination at the national and river basin
means managing people and their actions in order to change
level. Where river basin boundaries are coincident with or undesirable behavior and to reinforce desirable ones. This can
contain lake basins, these river basin initiatives will improve
be done through three basic mechanisms:
the ability of lake basin managers to coordinate actions.
· Enforceable
rules;
The need to link lake basin management policy to social and
development policy was widely understood within the lake · Incentives/disincentives;
and,
basin briefs. The Aral Sea brief stated that "Water management
issues are linked to economic and political issues. Cooperation
·
Education and public involvement.
on water issues should be an important part of the discussion
on economic development and broader policy integration The last of these, educating the users into understanding the
processes in the region." The Lake Sevan brief made a similar
mutual benefi ts of sharing access to the lake basin resources,
comment, and the Lake Baikal brief stated that policy makers
will be discussed in Chapter 6. However, all three mechanisms
should show the economic and social benefi ts of proposed
have complementary characteristics and are often used
environmental conservation legislation, projects, and policies.
together. The only other intervention commonly used in
The Lake Toba brief identifi ed the necessity of linking lake
lake basin management is a technological response such as
basin management to poverty alleviation because the poor
sewage treatment, dredging, and the use of biological agents
often contribute to environmental degradation when pushed
to control weed growth. These technical responses, which are
to the margins in order to survive.
an important part of the management package, are essentially
responses to the consequences of people's actions; they
One of the most pressing needs in many international lake
are not mechanisms to change people's behavior. They are
basins is to harmonize national regulations in areas such discussed in Chapter 7.
as fi shery and pollution control (e.g. Lakes Victoria, Ohrid,
Peipsi/Chudskoe, and the Kariba Reservoir). Harmonization Enforceable Rules
is not necessarily the same as uniformity. Harmonization Rules state, with the force of law, how the resources are to
ensures that there are no confl icts between the laws and be used and shared. Consequently, they are referred to as
regulations across national borders; it does not require laws
command-and-control (CAC) policies. They can apply within a
to be identical.
single sector (such as restriction on the use of a certain type
of fi shing gear) or can apply between sectors when different
Laws are usually formulated for the entire nation, and may not
sectors draw on an underlying resource such as water. For
be appropriate for a particular lake. This jurisdictional scale
example, rules have been recently established to allocate
problem is exacerbated in the case of transboundary lakes and
water from the barrages in the Mahanadi River upstream of
reservoirs. Thus, Nigeria is important to the Lake Chad basin,
the Chilika Lagoon to ensure that water is available for both
but the basin is not dominant in Nigerian policy thinking. downstream irrigation communities and for lake fi shermen
National laws are customized for the circumstances of specifi c
dependent on the upstream migration of fi sh, prawns, and
lake basins through regulations and by-laws; these can also
crabs.
be used to help harmonize management across international
borders.
CAC policies are a common approach because they directly
specify a desired outcome. However, to be effective, rules
However, harmonization of institutional and legal frameworks
need to be enforced. Many briefs noted that this is a problem
must refl ect the sovereignty and subsidiary aspects of the in countries where government capacity is low due to lack
transboundary states. For example, the beach management
of fi nancial resources or lack of political will. As the Lake
units established commonly across the riparian states around
Cocibolca brief stated, "the existing constitutional mandates,
Lake Victoria need to be in keeping with each country's institutional mandates, laws, and international agreements
particular social characteristics, which refl ect their own unique
suggest that there is a suffi cient regulatory framework to direct
local situation and the history of community development. environmental management actions, biodiversity preservation,
On the other hand, the historical ethnic attachment that and sustainable development. The major limitations are
transcends national borders may facilitate cooperation across
associated with the institutional, technical, and organizational
state boundaries.
capacity to enforce compliance with this regulatory framework
and the lack of public awareness which facilitates legal action
in every country."
40
Chapter 5

---

Incentives and Disincentives
CAC policies have been very successful for some problems in
the high-income lake basins in our survey (Biwa, Champlain,
Economic instruments--levies and subsidies--constitute
Constance, and the North American Great Lakes). For example,
a second method of controlling behavior. While not
phosphorus loading to Lake Constance was dramatically mandatory, they infl uence behavior by providing incentives
curtailed by the adoption of direct regulation on domestic and disincentives. Markets are a special type of economic
and industrial dischargers. In developing countries with instrument where the incentive is provided by a price signal
good enforcement capacity (such as Lake Dianchi in China),
set by other users of the lake basin's resources rather than by
pollution standards have proven to be an effective method of
institutions. However, there are few instances of markets being
reducing pollution loads.
established to guide people's behavior in the case studies;
most prices are set by institutions.
A mixture of CAC policies is often used. For example, to help
manage fi sh stocks in a lake, a number of restrictions may be
Using prices to create incentives and disincentives has a
enforced to control different aspects of the fi shery, such as:
number of advantages:
· Specifying
fi shing boat size;
·
Prices affect most people and normally do not require
direct government intervention once the price has been
·
Specifying "closed seasons" when certain species may
set (except for the collection of revenues);
not be caught (Lakes Baringo and Naivasha);
·
People respond to changes in prices;
·
Technical regulations on fi shing equipment such as gill-
net size restrictions (Lake Victoria) and gear standards
·
Prices can be changed quite quickly and hence are a
(Lake Peipsi/Chudskoe); and,
fairly responsive policy tool;
· Designating
fi shing zones for different categories of ·
They can be used to both reward good behavior
fi shermen or different fi sheries (Laguna de Bay).
(such as a subsidy for use of environmentally friendly
equipment), or to punish undesirable behavior (such as
Zoning regulations, such as the designation of certain areas
a tax to discourage polluters); and,
as "protected" or national parks, are another example of CAC
policies. Many countries designate the area around lakes or
·
They can be used to "internalize environmental
in parts of their basins as protected areas, particularly when
externalities", and thus encourage more effi cient
they include Ramsar sites. However, protected areas often go
resource use. A higher price for pesticides, for example,
unprotected if resources for enforcement are inadequate. For
helps sensitize farmers to the costs of pesticide pollution
example, the Issyk-Kul, Sevan, Tonle Sap, and Xingkai/Khanka
of water, and encourages them to use less pesticide.
briefs all describe how poaching and other activities (such as
industrial development) continue to occur in areas offi cially
Pollution charges are used at Lake Dianchi and at Laguna de
zoned for protection.
Bay to discourage the discharge of harmful wastes into the
lakes. The higher the level of discharge, the greater the charge.
The administrative burden in enforcing a CAC policy becomes
Other lakes provide examples where fees are levied on the
greater when the policy is more fi nely tuned (e.g. different
use of the lake's resources. In the Tanzanian portion of Lake
standards for different users), when more people are affected,
Victoria, fi shermen paid a levy based on the fi sh catch on a trial
and when there is lower social acceptance of government-set
basis. The removal of a fertilizer subsidy in the basin of Lake
standards. For example, it is possible to enforce fi sheries
Peipsi/Chudskoe is an example where a previous incentive had
regulations on larger commercial operations in Lake Victoria,
distorted the behavior of farmers and encouraged them to use
but much more costly to enforce regulations for thousands
fertilizer excessively, to the detriment of the lake.
of artisanal or near-shore fi shermen through traditional CAC
methods.
Although these economic instruments can be effective, it is
usually not a simple political process to introduce them. There
The importance of the social acceptance of CAC policies is
will always be pressures to resist changes by those who will
illustrated by the fi shing moratorium at Lake Naivasha. When
lose something due to changes in prices. Their introduction
the moratorium was lifted, it was decided in a public meeting
usually has to be accompanied by an extensive education
that the number of fi shing boats on the lake had to be reduced
program to explain the overall benefi ts, and be backed up
to a total of 43 boats. The diffi cult task of deciding who should
by strong political will. However, if the user group sees that
have a license was ultimately determined on the basis of how
they are in danger of losing all in the future, they may be more
a fi sherman had behaved in the past. Those who had obeyed
willing to accept some charges to control use of the resource.
the rules got a license. Several fi shermen subsequently were
For example, both the fi sh-pen operators in Laguna de Bay and
caught using small net sizes and were banned; their place was
the pulp industry in Lake Toba have accepted a new fee/charge
taken by other fi shermen on the waiting list.
in hopes of assuring the longer-term fi nancial and ecological
sustainability of the resource and their industry.
Policies
41

---

There are examples in the briefs where economic instruments
imposing fi nes on those who try to avoid the fee. Furthermore,
could be used to control use of lake basin resources. For with an economic-based system the other permit holders (the
example, the drawdown of Lake Naivasha has been caused, at
other stakeholders) now have an increased private interest in
least in part, by water consumption for horticulture. Although
seeing that no one reduces their costs by avoiding the fee.
a water use permit had long been required, many water users
were abstracting water without a permit or at levels well The Local Policy Mix
above the permit. More recently a water use charge has been
established under the 2002 Kenyan Water Act, but this has yet
Successful policy implementation depends on many
to be operationalized. Enforcement of the user charges would
factors--sociocultural factors, institutional dimensions, public
help support management of the lake and help to limit the
confi dence in the administrative system, and "social capital"
amount of water used.
(See Box 5.1). It is not possible to be prescriptive about which
policy is best for each problem. What works in one situation
One case where economic instruments are relatively easy to
may not necessarily work, or work as well, in another.
introduce occurs when there is a new or expanding use. For
example, the sport fi shery at the Kariba Reservoir was created
Successful policy making is almost always a combination
by the fi lling of the reservoir. There were no previous sports
of several different policy instruments. Because of their
fi shermen to object to the issuing of licenses that were used to
complementary strengths, it is common to combine CAC
control the extent of the catch.
policies with economic instruments (Box 5.2). Public
information and consultation is usually essential to gain
Just as with CAC policies, there is a need to monitor the acceptance of (and compliance with) the new approaches,
implementation of economic instruments and impose even when CAC approaches are chosen to address a problem.
sanctions if necessary. For an overfi shed lake fi shery, for Table 5.1 shows the mix of instruments described in the briefs
example, a fee on fi sh landings to discourage overfi shing
for the study lakes. The briefs do not describe the full range
would still require monitoring of catches and the possibility of
Box 5.1 Social Capital
Social capital is the sum of the benefi cial ways that different members of a society interact with one another. It is often the
missing ingredient in creating a successful policy intervention. Societies with higher levels of social capital have greater
possibilities of reaching cooperative solutions, and using self-discipline to enforce required changes. Social capital is not
the same as economic wealth--some poor societies can have a large amount of social capital (especially if the population is
fairly homogenous). One characteristic of societies with large amounts of social capital is a "shared vision"-- the Costa Rican
public's view of the role and importance of the environment is one excellent example. The lack of social capital, in contrast,
is often marked with distrust, cynicism, and failure to fi nd cooperative solutions. Unfortunately, in many of the world's lakes
(especially those with very mixed, ethnically diverse populations and sharp competition for available resources), social
capital is scarce and this makes implementation of new policies very challenging.
Box 5.2 Lake Dianchi, China--A Mix of Policies to Improve Lake Water Quality
Water pollution was a major problem in Lake Dianchi, which is an important water source for Kunming in dry years as well
as serving industry and agriculture. Pollution came from sewage, industrial effl uents, irrigation return fl ow, and stormwater
runoff. The municipal government responded with large engineering investments in sewers and wastewater treatment
facilities, and policies to control industrial polluters.
A pollution levy system had previously been introduced into China and was being applied in the basin along with discharge
standards under which industries were charged a penalty if their discharges exceeded the discharge standards. The penalties
provided an incentive for industries to take steps to control their pollution. They were assisted in making pollution-reducing
investments by government loans and grants, funded in part by the revenues collected from the pollution levies, as well
as from additional government funds for environmental protection. This "carrot and stick" approach combined discharge
standards, pollution charges, and loans for pollution-reducing investments.
In Lake Dianchi basin, progress has been reported in reducing pollution in the lake. By the year 2000, industrial wastewater
discharged was reduced by 60 percent compared with 1995, COD was reduced by 80 percent, and soot, dust, and SO were
2
all signifi cantly reduced. These benefi ts, largely due to capital investments and management improvements, have been
supported by an active program of citizen's involvement and public dissemination of water quality information. In order to
help repay loans for the capital improvements and their operation and maintenance, the city also began to charge user fees
via water charges, and fees for wastewater treatment and domestic solid waste disposal. The management of Lake Dianchi
illustrates the application of a number of different policy tools working together toward the longer-term goal of improved lake
water quality.
Source: Lake Dianchi Brief.
42
Chapter 5

---

of controls over uses; it is probable that a wider range of government agencies in setting and implementing the rules.
instruments are actually in use at many of these lakes.
Involvement of communities helps make the benefi ts of the
rules clearer to those affected, draws upon the accepted
The mix of approaches can change over time too, in response to
authority of local leadership, uses their local knowledge for
both experience and changes in external pressures. In the case
better design and enforcement, and reduces the cost to the
of Laguna de Bay, for example, the government's management
central government. Involvement of communities in drafting,
approach has evolved as the management authorities have
monitoring, and enforcing the agreed-upon regulations was
had to both respond to new challenges--such as expansion of
advocated in the thematic paper on basin problems in Africa.
fi sh pen operations and shoreline industrial development--as
well as search for new sources of funding (Box 5.3).
Fisheries management provides an example where the benefi ts
of enforcing the rules are readily apparent to the stakeholders
Lessons from Experience
and where there were existing informal institutions governing
fi shing behavior. This is illustrated in the case of Laguna de
Five broad lessons emerge from the lake briefs about what
Bay where, to augment the manpower needed to monitor
makes a successful local policy package.
the lake, the LLDA organized fi sherfolk groups and deputized
them as wardens. Later the Fisheries and Aquatic Resource
Build "Political Will"
Management Councils were formed and became one of the
Without the support of the political establishment, it is usually
partners of the LLDA in resource management. These groups
impossible to implement effective management. Whether this
clearly have a direct stake in successful management of the
is done by grassroots-level efforts, by carefully developed and
lake and enforce the regulations on the allowable extent of
implemented public consultation and information campaigns,
fi sh pens, since "they stand to lose if the capacity of the lake
or by direct contacts with decision makers, the creation of
to sustain fi sheries is surpassed." There are other examples
high-level commitment to the introduction and application of
in Lake Victoria and Lake Malawi/Nyasa and at Lake George,
controls over resource use is an essential component of lake
although their effi ciency has yet to be established.
basin management. Often referred to as "political will," this
merely means that governments and management authorities
The voluntary moratoriums on fi shing in Lakes Baringo and
are committed, and therefore adequately resourced and Naivasha are powerful examples of stakeholder involvement in
empowered, to take actions and enforce the local policies. enforcing rules. The moratorium in 2001 at Lake Baringo was
For example, the lack of political backing for the Lake Chad
instituted after a monitoring report by the Kenya Marine and
Basin Commission is identifi ed in the brief as being the major
Fisheries Research Institute was presented to the fi sherfolk.
impediment to the introduction of rules for allocating the Based on these data, it was agreed to impose the moratorium
waters of the Lake Chad basin.
and help the Fisheries Department enforce it. After two years,
the size of tilapia has increased by 100 percent; this success
Involve the Stakeholders
has strengthened local support for the fi shing rules.
Some of the most successful examples of enforcement of
rules occur when the affected community is involved with
Box 5.3 The Laguna Lake Development Authority, Philippines
When the LLDA assumed full responsibility in 1975 for regulating the use of the surface of the lake and in regulating effl uent
discharge quality, it used a traditional CAC approach. Over time, the LLDA has evolved in its response and more recently has
tried to blend economic instruments with CAC policies.
Implementation of an environmental user fee system (EUFS) began in 1997. It combined a fi xed fee and a variable fee to attack
the problem of BOD discharges from lakeshore industries. The fi xed-fee component is based on volume of discharge and
covers administrative costs. The variable fee is based on whether discharges are above or below the effl uent BOD standard
of 50 mg/l. These two components act as an incentive for polluters to reduce both the total load of effl uent discharged and
improve its quality. The EUFS was initially focused on a small set of industrial polluters and is being gradually expanded to
cover other fi rms, residential areas, and commercial establishments. A CAC component is also needed since all industrial
fi rms have to be registered and the effl uent needs to be monitored.
The EUFS has been very successful: annual BOD loading to the lake dropped from 5,400 metric tons in 1997 to 790 metric
tons in 2002 for the initial batch of 222 fi rms. The number of fi rms rose to 914 by 2002. Industries have introduced waste
minimization, increased wastewater recycling, and improved treatment processes. In spite of this successful reduction in BOD
loading, other problems in the lake (Table 3.2) remain to be resolved.
The CAC approach at Laguna de Bay is illustrated by the use of a zoning scheme for controlling the spread of fi sh pens. Within
the zoned area, a fi sh pen permit (basically a licensing fee) has been introduced. The fee is currently about $120 per hectare
per year and so is directly related to the extent to which the lake's waters are used for fi sh raising.
Source: Laguna de Bay Brief.
Policies
43

---

The European Union (EU) imposed sanction on the export of
There are fewer examples in the lake briefs of the successful
Nile perch in 1999 from Lake Victoria provides an example involvement of more distant stakeholders--where the
where an external shock galvanized stakeholder involvement.
rules have less obvious benefi ts to those on whom they are
The sanctions were imposed because of the poor hygiene imposed--in setting and enforcing rules in lake basins. For
conditions at landing sites and during fi sh processing. example, the Lake Baringo brief makes a point of contrasting
The industry responded quickly and, with external funding the willingness of the fi sherfolk community to support the
assistance, improved the handling of the fi sh so that exports
fi shing moratorium with the failure of attempts to control
were resumed to the EU the following year.
erosion on grazing lands. The brief attributes this difference to
the acceptance, on the one hand, that fi sh are a common-pool
Table 5.1 Command and Control (CAC) and Economic Instruments Described in the 28 Lake Briefs.
Command and Control
Economic Instruments
Lake Basin
Licences to access
Fees for use of
Standards
Bans/Quotas
Zoning
Subsidies
Effl uent Charge
resources
natural resources
Fixed quotas of
Aral Sea
water allocation
between countries
Zoning under
Timber harvesting "Baikal law"
Lake water level
Baikal
banned within
controlling
standards
ecological zone
permitted
activities
Standards for
Fishing licenses;
fi shing gear;
Fishing
Baringo
Licenses for water
Fees for water use1
Controls over tree
moratorium
extraction
cutting
Foreshore
Ban on
Subsidy to
zoning; Buffer
Water quality
motorboats; Ban
washermen to
Bhoj Wetland
zone between
standards
on recreation
move out of lower
settlements and
activities
lake catchment
plantations
Preferential
national
Water quality
government
standards for
National park with
subsidy rates for
Detergent
industrial, urban
controls over land
major prefectural
phosphorus ban;
Direct and indirect
and agricultural
use; Lake zones
environmental
Ban on persistent
payments from the
Biwa
discharges;
for recreation
infrastructure
organic pollutants;
downstream water
Voluntary
boating; Zoned
development;
Ban on invasive
users
pollution control
protection of reed
Compensation to
fi sh
agreements by
beds
fi shermen for loss
factories
of fi shery; Subsidy
for catching
invasive fi sh
Water quality
Water use charges
Chad
Fisheries licenses
standards
(Nigeria)
Detergent
Water quality
phosphorus
Agricultural
standards for
bans; Restriction
Buffer zones for
subsidies
Champlain
effl uent and
on emissions
Fishing licenses
wetland protection
for riparian
industrial
of atmospheric
protection, etc.
discharges
pollutants (U.S.
Clean Air Act)
Allocation of water Shoreline zoning Licensing of
for environmental
Chilika Lagoon
(1 km) of restricted fi sheries and
fl ows (to be
activities
prawns
approved)
Buffer zones;
Cocibolca/
Biological
Nicaragua
corridors
Emission controls
on boats;
Regulations
Prohibition on
on agriculture
atrazine; Bans on
Sensitive shoreline
Fee for water
Constance
in catchment;
toxic anti-fouling
areas closed
consumption
Regulations on
paints
water sports and
hunting
Reforestation
Water quality
support; Industrial Industrial
Dianchi
Land use controls
standards
effl uent control
pollutants levies
grants
44
Chapter 5

---

Ensure Administrative Sustainability
resource where the rules protect the resource for all fi sherfolk,
and on the other hand to the individual ownership of the grazing
The administrative requirements of any local policies need to
lands where the benefi ts to the landowners from reducing lie within the capacities and resources of the management
erosion are less apparent. Some recent demonstrations of institution. CAC polices (regulations) may be particularly
land conservation measures have successfully shown that they
demanding on institutions--both for monitoring compliance
can result in improved productivity, which may assist in the
and imposing sanctions. There are many instances in the lake
adoption of erosion control measures.
briefs where it was stated that existing regulations were fi ne in
principle but were not enforceable (African Lakes Workshop,
Lakes Malawi/Nyasa, Nakuru, Naivasha, Chad, Cocibolca
Table 5.1 Command and Control (CAC) and Economic Instruments Described in the 28 Lake Briefs (cont'd.).
Command and Control
Economic Instruments
Lake Basin
Licences to access
Fees for use of
Standards
Bans/Quotas
Zoning
Subsidies
Effl uent Charge
resources
natural resources
Water quality
standards;
Regulations
Prohibition on
Great Lakes
on discharge
further water
(North American)
of nutrients
diversions
from livestock
operations
Ban on grazing and Land use controls
Rents for grazing
Issyk-Kul
hunting in mining
in Biosphere zones
land use
lease
Guidelines for
Charges for
Fishing quotas;
resource use
water use for
Kariba Reservoir
Closed fi shing
on Zimbabwe
hydropower
seasons in Zambia
foreshores
production
Water quality
Industrial
Laguna de Bay
Fish pen zones
Fish pen fee
standards
pollutants levies
Standards for
Water resources
fi shing gear;
Water use permits
Malawi/Nyasa
use charges in
Regulations on
in Tanzania
Tanzania2
forestry activities
Fishing
moratorium; Quota Zoning over
Water resources
Naivasha
Water use permits
on number of
shoreline use
use charges1
fi shing licenses
National
Industry and
Park zoning;
Water resources
Nakuru
effl uent standards
Water use permits
Forestry zoning
use charges1
(local council)
(degazetted)
Water quality
National Park and
discharge
other protected
Fish levy at 10% of
standards; Fishing Prohibition on
Ohrid
areas; Littoral zone
catch value (FYR
regulations;
non-native fi sh
protection (FYR
Macedonia)
Regulations on use
Macedonia)
of agro-chemicals
Quotas on
Fishing gear
fi sh catches
Removal of
standards and
Peipsi/Chudskoe
(exchangeable
fertilizer subsidy
catch limits; Water between Estonia
(Russian Fed.)
quality standards
and Russian Fed.)
National Park and
Licenses for
Payment for use of
Sevan
other protected
traditional fi shing
fi shing resources
areas
Water resources
Tanganyika
Fishing regulations
use charges in
Tanzania2
Land use controls;
Environmental
Prohibition on
management
Regulations on
Permits issued for
Toba
constructions
fee set at 1% net
lake level
forestry
within 10 m of
revenue from
shoreline
chemical factory
Ban on fi shing in
Land use controls
Tonle Sap
fi sh sanctuaries
in Biosphere zones
Wetland protection
Fish catch levy trial
Victoria
Fishing regulation
zones (Uganda)
(Tanzania)
Ecosystem
protection zones
Water quality
Xingkai/Khanka
(China); Nature
standards
reserves (Russian
Fed.)
Note:
No information provided in briefs on Lake Titicaca and the Tucurui Reservoir.
1.
Kenya has legislated for water resources user fees but has yet to introduce them.
2.
Tanzania has legislated water resources use charges.
Policies
45

---

Briefs and in a mid-term evaluation report on Lake Titicaca).
widespread community representation on the institutions that
The thematic paper on lake basin problems in Africa claims
establish and implement the rules.
that there is a lack of enforcement of laws governing pollution
of water, environment, farming practices, and waste discharge
There are clear examples in the briefs where rules have been
in all countries in Africa, while the Lake Nakuru brief lists the
introduced that do not protect the powerless. Lake Naivasha
range of lake basin problems that are poorly regulated as provides an example where there has been a progressive
including "uncontrolled sand harvesting and quarrying along
involvement of those who use the lake's resources, although
river channels, illegal diversion and damming of streams and
some--such as the Maasai pastoralists--are still poorly
rivers, dumping of industrial wastes in unapproved areas, represented in decisions about water allocation. Perhaps the
cultivation along river bank buffers, and illegal conversion of
most dramatic example occurred with the displacement of
public utility land for private use."
local, disadvantaged persons living in the area fl ooded during
the construction of the two large reservoirs in this study, the
Weak enforcement arises primarily from three underlying Kariba and Tucurui Reservoirs. At the Kariba Reservoir in the
problems:
1950s, the Tonga people were displaced to make way for the
new reservoir and neither adequately compensated nor able to
·
Lack of equipment, knowledge, and training; for reap benefi ts from the dam. This is described more fully in the
example, at Lake Baringo the Fisheries Department next chapter.
could not carry out regular surveillance because they
lacked motorized boats;
Actively Work toward Policy Integration
Different policies in different sectors of the economy should be
·
Lack of political and administrative leadership for coordinated to help obtain the desired benefi ts from the lake
enforcing the rules; for example, the Eastern Mau forest
basin. It requires that analysts, planners, and decision makers
in the Lake Nakuru basin, originally over 65,000 ha, has
explicitly consider the external impacts of their more narrow
been progressively de-gazetted over the last 10 years
sectoral policies. For example, attempts to improve lake
to make way for human settlement, even though it is
water quality are hurt when agricultural development policies
central to the protection of the lake. What forest remains
designed to increase grain production provide subsidized
now is restricted to the crest of the escarpment, and
fertilizer or agricultural chemicals in the upper watershed,
consists of thickets of bamboo interspersed with stands
thereby promoting increased chemical use that results in
of trees; and,
reduced water quality.
·
Resistance from stakeholders in the lake basins; this
Policy integration is especially diffi cult for transboundary lake
can be overcome with improved understanding of basins. The Great Lakes Commission of the United States and
the benefi ts of the policies and by ensuring that the
Canada illustrates the many decades required for the evolution
affected communities have a real role in formulating and
of a successful international management regime. For
implementing them. Thus, the extensive involvement of
example, the numerous diffi culties in implementing improved
fi sherfolk in management of the Lake George fi shery has
management in Lake Victoria illustrate the great challenges in
resulted in a high degree of acceptance of new fi sheries
tackling diverse problems in a developing country context with
regulations.
a weak enabling environment within a much shorter period of
time. Strengthening national and international collaboration
Experience in the 28 cases illustrates the diffi culty in mechanisms is one way in which common diffi culties can be
building institutions that are effective and sustainable. This
shared and possible ways to overcome these diffi culties can be
is increasingly diffi cult when the scale of the institutional discussed. In many cases these diffi culties are created simply
responsibility increases. Localized institutions may be easier to
because of a lack of information.
set up and maintain than regional or international institutions.
Overcoming the hindrances in administrative sustainability
is not easy for any institution. But identifi cation as well as
removal of inadvertently introduced obstacles, creation of
conducive environments for collective pursuit of a common
goal, introduction of innovative but informal means of sharing
of information and data, and institutional adjustments to the
long-term needs for sustainable use of lake basin resources
need to be continually explored.
Be Equitable
One important requirement of good local policies is that they
are fair and protect those who are underrepresented, poor, or
from marginalized communities. This is closely connected with
46
Chapter 5

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Chapter 6
Involving People and Stakeholders:
An Essential Element of Effective Lake Basin Management
Key Lessons Learned about Involving People
·
Public participation and active stakeholder involvement is essential to managing lakes and their basins for sustainable
use. There are numerous benefi ts, including a greater acceptance of rules for allocating lake basin resources if
stakeholders are involved in their formation and implementation.
·
All affected stakeholders, both powerful and marginalized, need to be included in the decision making process.
Historically disenfranchised stakeholders, including Indigenous Peoples, must be included if they and the lake basin
are to benefi t.
·
Not only does stakeholder involvement potentially improve lake basin outcomes, but the omission of stakeholder
groups from key decisions can lead to serious problems if their livelihoods are affected. Examples in the briefs show
there is still some way to go in involving necessary groups in some lake basins.
·
Creating linkages to the improvement of livelihoods of the local communities is a key to promoting participation in lake
basin management and moving toward sustainable use of lake basin resources in many developing countries.
·
Without proper understanding and appreciation of the local cultural beliefs, values, and norms, a lake basin
management plan will not be accepted and properly implemented by the community.
·
Women play a central role in the provision, management and safeguarding of water. Their participation in a full civil
society, using a participatory approach and using culturally sensitive methods, will enhance efforts to achieve effective
lake basin management.
·
NGOs and CBOs play key roles in agenda-setting and the policy development process. Their roles include operational
functions, networking, collaboration, and mediation among government agencies and local communities, and
transferring skills to local institutions and community groups.
·
Any effort that depends upon a change in behavior or compliance with new legislation must rely on CEPA
(Communication, Education and Public Awareness) if change is to occur.
Throughout this report reference has been made to the need
and stakeholder involvement particularly important. The briefs
to manage lakes and their basins together for sustainable show that some lake basins have gone through many decades
use. Of all the elements of this shift, none is more diffi cult
of struggle to improve their management, and in the process
and controversial than the movement from a citizenry have devised ways to involve people in the development and
that "receives governance" to one that is organized and implementation of their management plans and programs.
participates actively in the governance process. The briefs are
replete with examples of engineering solutions, some of which
How deeply people are involved in lake basin management
have led to major improvements in the environmental status
varies from one lake basin to another. For example, fi sheries
of lake basins. However, even when engineering solutions are
are a major resource in many lakes, and the development
successful, behavioral change at the individual, household,
and implementation of various fi shery management schemes
and community levels is essential for sustainability, and requires strong involvement of the fi shing community. The
involving people is the only means to that end.
mode of involvement, however, varies depending on the type of
fi shery. In the case of a community-based subsistence fi shery,
Management plans or programs will be diffi cult to fund and
the mode of involvement has to be adjusted to the traditions,
implement without the involvement of people who are directly
culture, and life style of the fi shing community, while in the
or indirectly dependent on a lake basin's resources, since case of an export-oriented fi shing industry, the socioeconomic
stakeholders will have little sense of ownership or commitment.
implications of the industry to the lakeshore communities
The number of stakeholder groups competing for the limited
have a strong infl uence on the mode of involvement. Again,
resource base can be quite large, making public participation
the involvement of people in lake basin management activities

---

has been the major driving force in promoting environmental
populations because of their residence as opposed to
protection, pollution controls, ecosystem management,
the government staff (African Lakes Workshop)."
and biodiversity preservation in many countries in the
industrialized world, including countries in Asia-Pacifi c, North
·
The local community would be able to provide the local
America, and Europe.
knowledge useful for developing and implementing the
management plan (the Lakes Victoria and Tanganyika
This chapter discusses this subject from two perspectives. First,
and Chilika Lagoon briefs and the African Lakes
it summarizes the discussion in the lake briefs and thematic
Workshop all identifi ed this advantage) as exemplifi ed
papers on public participation and stakeholder involvement,
by the observation, "the existing practices refl ect not
including how the process of developing and implementing
only the interests of local communities but also their
lake basin management plans and projects can be better
informal management methods (Chilika Lagoon brief )."
facilitated with the involvement of people. Second, based
It also implies that local cultural beliefs, values, and
on the fi ndings from the briefs, it explores ways to improve
norms need to be fully understood and appreciated
community participation and stakeholder involvement,
by the developer of the management plan for it to be
particularly in areas such as communication, education, and
accepted and properly implemented by the community.
public awareness (CEPA). It also discusses gender equity and
women's participation, involvement of Indigenous Peoples, ·
Community-based activities using a participatory
and the special issue of displaced peoples. Emphasis is
approach could bring into the policy development
given to the role of NGOs and CBOs in management and
process the voices of usually excluded stakeholder
communication. In addition, the chapter briefl y introduces the
groups so "policy makers can draw insight into what
international context of participation and involvement, as well
works and why, and use that knowledge to create
as the role of international NGOs.
strategies to bridge the gap between national or regional
policy and local practice (Lake Toba brief )." Not only
Benefi ts of Stakeholder Involvement
does their involvement confer the above benefi ts, but
it can assist with improving social equity and poverty
Participants at all three regional workshops agreed
reduction.
emphatically that public participation and stakeholder
involvement in lake basin management are essential, ·
There is a greater acceptance of rules for allocating
including relevant groups upstream, downstream and even
lake basin resources if stakeholders are involved
outside of the basin if they are stakeholders. The briefs also
in their formation and implementation. As the Lake
stressed the benefi ts of stakeholder involvement in lake basin
Champlain brief says "Because stakeholders have been
management, including the following examples.
involved from the beginning of the planning process,
they have shown a greater acceptance of the policies
·
The public's interest in the implementation of a
and actions developed, and a greater willingness to
management plan is generally longer than the time
form partnerships to work toward implementation."
span of the government offi cials and so participation
There is also a reduced cost of enforcing the rules if
can promote sustainability. "The long-term viability of
the stakeholders have been involved in formulating
many project outputs would depend heavily on local
them since the communities are more willing to become
Box 6.1 Participation and Involvement: Defi ning Key Terms
The terms "participation" and "involvement" are used interchangeably in this report. There are four levels, or types, of
participation, in ascending order from least infl uence to most infl uence: (1) information sharing (one-way communication), (2)
consultation (two-way communication), (3) collaboration (shared control over decisions and resources), and (4) empowerment
(transfer of control over decisions and resources). The four levels are not indicators of scale; they indicate distinctly different
types of participation. It should not be assumed, however, that all participation is good or that a higher level of participation
is automatically better; the type and extent of participation depends on the situation.
The terms "public", "community", "citizen", and "stakeholder" are used with loose distinctions. Public participation is often
distinguished from stakeholder involvement, with the latter processes being more inclusive and targeted. Stakeholders are
defi ned as individuals or groups who make use of, have an impact on, or are impacted by, decisions regarding the use and
management of lake basin resources. There is no blueprint for stakeholder participation. In many situations, it is useful to get
an overview of all the stakeholders relevant to the issue of concern using "stakeholder analysis". Such an analysis can help
refi ne issues that are strongly felt but often poorly articulated.
The term community designates both communities-of-place and communities-of-interest. Communities-of-place include
members of the public who may be affected by, or interested in, management decisions and actions by the nature of their
residency within or near management activities. Communities-of-interest include groups with a focused interest in (often
accompanied by organized efforts to infl uence) management of resources unrelated to their member residence (Kusel 1996).
Some communities may be both of place and interest, such as villages highly dependent on fi sheries, forestry, or agriculture.
48
Chapter 6

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involved in implementation activities (Chilika Lagoon assistance for developing and establishing participatory lake
and Lakes Baringo, Naivasha and Toba briefs).
basin management in the developing countries.
·
Public involvement can help get politicians interested
If possible, it is best for stakeholder groups "to be involved from
in supporting lake basin management. The protests of
the beginning of the planning process so that they may have a
fi sherfolk at Chilika Lagoon, and public understanding
greater acceptance of the policies and actions developed, and
of the implications of losses of public assets at Lake
a greater willingness to form partnerships to work toward
Cocibolca all contributed to building government implementation (Lake Champlain brief )." The Lake Toba
support.
brief also emphasized that stakeholders should be involved
from the outset of the planning process. However, this is not
·
Public participation, particularly through skilled NGOs
always possible because of the different levels of experience,
and CBOs, can also augment the skills of management
capacities, and vision of the groups and the closeness of the
institutions (Lakes Toba and Champlain briefs).
issues to their concerns. The Laguna de Bay brief took a more
organic view, seeing lake basin management as "a work in
Overall, the briefs stressed that community participation progress with different stakeholders. Understanding a lake
needs to be properly designed (Lake Victoria brief, African and its environs takes time, and, along the way, knowledge is
Lakes Workshop); the roles of communities and government
gained and mistakes are committed."
institutions need to be well defi ned (African Lakes Workshop,
Lake George report); existing traditional structures should A number of the lake basin briefs stated that the power of
be involved where feasible (Lake Malawi/Nyasa brief, African
community-level participation is evident when the outcomes of
Lakes Workshop); and local and international knowledge participation are clearly and directly linked to an improvement
institutions should be involved (Lake Naivasha brief ).
in the livelihoods of participating communities. The Lakes
Champlain, Baikal, Baringo, Malawi/Nyasa, and Nakuru briefs
Identifying and Involving Stakeholders
all stated that local people would support interventions that
will improve their livelihood security, while the Lake Toba
The management of a lake basin involves a broad spectrum
brief stated that people will not change their behavior until
of stakeholder groups concerned with both land and water
they realize or experience the benefi ts (Also, to note, while
management. The Lake Naivasha brief provides an example
it was not mentioned in the lake briefs, there is also good
of the limitations on lake basin management when some evidence from research into procedural justice (Syme and
important groups in the basin have not been involved. others 1999) that stakeholders who have been involved in
Although there has been a history of growing involvement by
decisions show increased acceptance of rules, even when
groups around the lakeshores, the communities in the upper
the rules do not favor their interests.) The use of small-grants
basin have little interest or involvement in the lake. The loads
programs and a focus on poverty reduction activities, including
of pesticides, nutrients, and sediments entering the lake from
in GEF-funded projects, is an important aid to promoting
the intensive horticulture practiced around the lakeshores is
stakeholder involvement and contributing to sustainable lake
believed to be low, partly because groundwater fl ows away
basin management. At Lake Nakuru, the biggest hindrance to
from the lake and partly because of stringent self-regulation.
undertaking catchment restoration activities was that many
Rather, these pollutants are believed to originate from poor
communities could not immediately identify the potential
agricultural practices in the upper catchment, and this benefi ts of the activities. Overall, the experiences with rural
circumstance is unlikely to change while these groups are not
water supply, sanitation, and reforestation projects in the briefs
fully included in the lake basin management process.
indicate that participation of citizens and local communities
greatly improves the likelihood that project assets will be fully
While some of the stakeholder groups have a vested interest
used and properly operated and maintained.
in lake basin resources themselves, others, like politicians,
play catalytic roles. For example, during the African Lakes The participation and involvement of an individual is strongly
Workshop it was noted that legislators and their staff may
infl uenced by that of the group he or she belongs to, or more
themselves be important stakeholders, but they represent the
broadly, by the political and/or cultural environment he or
constituent stakeholder groups. Depending on specifi c lake
she is in. For example, one brief points out that people are
basin management cases, other kinds of catalytic stakeholder
more easily convinced by their neighbors' experiences and
groups may be identifi ed. For example, the Lake Champlain
tend to trust those they live with rather than outsiders. In
brief identifi es watershed associations as catalysts for "non-
this connection, one of the briefs states, "Behavioral change
regulatory protection programs." The experience of most of the
does not happen until people realize or experience the benefi t
developing countries also suggests that international actors
resulting from the change. Behavior can be said to have
constitute an important group of stakeholders. They play a
changed only when newer behavior patterns replace older
unique and critical role in the translation of global institutional
ones consistently and are sustained thereafter. Measuring the
agendas and local grassroots agendas into a common change of behavior as a result of environmental education of
policy for sustainable lake basin management. Often, it is schoolchildren would certainly take a very long time, but the
international actors that provide critical technical and fi nancial
Involving People and Stakeholders
49

---

results can be far more effective and sustainable" (Lake Toba
Women, Indigenous Peoples and Displaced People
brief ).
In many briefs and at the regional workshops, specifi c reference
The briefs describe a range of techniques for improving was made to the important role of women, Indigenous Peoples
community involvement. For example, the Bhoj Wetland and displaced people in lake basin management. Key lessons
brief states, "Community participation may be made more for these three major groups of stakeholders are summarized
effective if they are combined with awareness campaigns and
below.
other eco-friendly activities"; the Lake Ohrid brief describes
"a pilot project and catalytic measures designed to test and
Gender Equity and Women's Participation
demonstrate affordable and cost-effective measures for The nature of gender issues in lake basin management is not
improving the environmental conditions in the watershed." The
much different from that in other environmental and natural
thematic paper on basin problems in Africa mentions involving
resources management settings. The experiences in the lake
stakeholders in "drafting of regulations and in monitoring and
basin briefs, however, reinforce the notion that without full and
enforcing." At Lake Toba, a coordinating board of stakeholders
persistent attention directed to gender issues, it will be more
has been established "to build synergism, coordination, and
diffi cult to achieve successful and sustainable implementation
sustainable development of the drainage basin, including of lake basin management. Some comments from the briefs
regular monitoring to allow timely corrective measures." include:
Other approaches are described in the following sections on
awareness raising and education, gender equity and women's
·
Women's roles have been and will remain important in
roles, and NGOs and CBOs.
lake basin management (Box 6.2), although there are
numerous obstacles to recognizing and promoting their
Some successful examples of capacity building in community
roles. Deliberate efforts have to be made to remove
groups include the fi re-fl y monitoring (including by school
obstacles and to provide opportunities for women to
children) program at Lake Biwa; an awareness-building
participate;
program that was linked to the establishment of four wildlife
sanctuaries managed by local communities at Lake Baringo,
·
Better governance, institutions, and policies will arise
and the involvement of fi shing communities in helping enforce
from an empowered and gender-sensitive community
a fi shing moratorium; the training of fi shing communities at
(thematic paper on Basin Problems in Africa); and,
Lake Victoria in raising and releasing weevils for water hyacinth
control; and the involvement of citizens and stakeholders ·
Particularly in rural areas, where women's energy and
in developing a comprehensive plan for the Lake Champlain
competence are well-developed, the integration of
basin.
women into the development and decision making
process is of great importance (Lake Constance brief ).
Box 6.2 The Important Role of Women
The importance of women's participation in the water sector was raised at the International Conference on Water and
Environment (Dublin 1992) and at the United Nations Conference on Environment and Development (Rio de Janeiro 1992). In
particular, the third of the Dublin Principles relates specifi cally to the issue of women's participation, stating that "Women
play a central role in the provision, management, and safeguarding of water." Increasingly, government offi cials of institutions
related to water management are aware of the need to recognize women's participation in the hydrological sector.
Women play an increasingly important economic role in developing countries, particularly in countries where the economic
crisis has pushed men to migrate to cities or to other countries in search of increasingly important cash incomes. In the wake
of this massive migration, many rural women have become the head of their household. In addition, women have become
more active in their community's administration, such as the management of their water and sanitation systems, community
services, and other economic responsibilities. In most of the poor agricultural economies of Africa, Asia, the Middle East, and
Latin America, women are working in the fi elds, managing the transportation of their products, and offering their products
in the marketplace. Nevertheless, as a result of gender bias, this work is generally unrecognized and their economic role is
invisible.
Women also have active roles in the non-economic sector. Urban and peri-urban water use related to health relies mostly on
women as housekeepers, where they are in charge of the washing, cooking, and other hygienic activities within the family.
The lack of access to safe water and sanitation, especially in rural areas, and the exposure to contaminated water are linked
to pregnancy failures, infant illnesses, and deaths, as well as all sorts of water-related diseases that affect the community
and family health. A greater part of government budgets goes to "curative" health programs, instead of "preventive" health
programs that could be managed by women. In many rural areas, women are in charge of watering and washing cattle,
irrigating homestead crops, and other tasks. They have to spend hours every day collecting water, sifting it, or taking care
of their children affected by water-related diseases. If women had more access to training for more effi cient use of water
and the care of waterbodies such as lakes, they could prevent many health problems and have more time to spend on other
economically productive activities with their families.
50
Chapter 6

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Several examples of targeted efforts to promote the In many cases, Indigenous Peoples may have been forced, due
participation of women emerged from the lake briefs. For to displacement by other groups and/or restrictions of access
example, a three-month gender sensitivity training course to traditional grazing lands, to use unsustainable livestock
was instituted at Lake Nakuru; at Lake Toba, participatory practices. As reported in the lake briefs, the indigenous
rural appraisal (PRA) was a successful technique in which communities that live in the Lake Baringo basin keep large
women were invited to participate in community meetings;
numbers of cattle which overgraze the basin leading to
in the upper watershed of Chilika Lagoon, a pilot project increased soil erosion, sedimentation in streams and the
was conducted to create women's forums geared to enhance
lake itself, and intensifi cation of frequent fl ash fl oods. The
their participation; at Lake Biwa, women organized the "Soap
large herds of cattle also invade the lakeshore where they
Movement" to reduce use of a detergent that was causing
destroy the habitats of various plants and animal species.
pollution and contamination in their lake; and at Lake Baringo,
Reducing the number of animals in the herds is a practice
eight women's groups were funded to start microenterprises,
which is not acceptable to the pastoralists. As an alternative, a
including purchase of zero-grazing animals, poultry-keeping,
participatory range management plan that regulates access to
merchandise kiosks and market-day trading, and food crop
grazing lands and movement of herds could be developed with
production.
involvement of pastoralists and enforced by elders. However,
this has yet to be developed. Issues of limited access to lake
Promoting the role of women does not always mean that they
waters by indigenous pastoral communities were also reported
should contribute jointly with men. In some cultures, it is not
in the Lake Naivasha brief. It should be noted that traditional
appropriate for a woman to attend a meeting with men and
pastoralists may not understand the effects that their
it is more appropriate to organize separate activities. "Men
individual activities have on the lakes and their resources.
organize the men's activities, women organize theirs," one
workshop participant said of a case at his lake basin. For Lakes
In other cases, such as Laguna de Bay, indigenous
Nakuru, George, and Toba, a community-based process was
communities are located in the near shore area and depend
used where women could attend meetings or participate in
directly on lake resources for their livelihoods. At Laguna de
activities with other women.
Bay, a National Commission on Indigenous Peoples that was
created at the country level to protect the welfare and interests
Indigenous Peoples
of Indigenous Peoples played a useful role in involving these
Indigenous Peoples have a wealth of traditional knowledge and
communities in lake management. Other examples have
experience and a key stake in the sustainable use of lake basin
been less successful. Although overcoming extreme poverty
resources. However, Indigenous Peoples are often among the
situations and paying attention to the rights of indigenous
historically disenfranchised stakeholders. The experience in communities were identifi ed as important issues for lake
the lake basin briefs shows the importance of engaging all
basin management efforts in several lake briefs, there remains
basin stakeholders, especially Indigenous Peoples.
a need to signifi cantly increase the engagement of these
communities. Careful study of pre-existing resource use rights,
Box 6.3 Indigenous Peoples: Key Lessons from Lake Titicaca
Located in the Andes Mountains on the border of Bolivia and Peru, Lake Titicaca is, volumetrically, the largest high altitude
lake in the world. Although year-round air temperatures on the high altitude plateau are cool at night (8-10 degrees C) and
moderate during the day, the lake has a moderating effect on the local climate, which has led to the development of unique
plant and animal species and also the establishment of indigenous communities. With the exception of mixed populations
found in cities and large towns, the general population of the Titicaca basin is comprised almost entirely of Indigenous
Peoples: the Quechua zone in the north, the Aymara zone in the center, and another Quechua zone in the south. In addition,
the Uro population is located in some areas near the lake, including the Puno area in Peru, in the Desaguadero River basin in
Bolivia, and around Poopo Lake in Bolivia.
With the change from Spanish colonial rule to national rule, large tracts of land were taken from indigenous communities to
form properties controlled by new landlords. This system of large haciendas remained until the application of agrarian reform
laws in Bolivia in 1953 and Peru in 1969. This history, spanning centuries, created hostility and distrust among the indigenous
population that remains to this day. Later policies to create an open market resulted in the reduction of prices for agricultural
products. Added to this, government investments in infrastructure and services in cities had a negative impact on rural areas.
Nevertheless, the local population possesses a great desire to improve livelihoods in the Lake Titicaca basin, which if properly
directed could produce positive results for the people and the lake.
The introduction of exotic species in the Lake Titicaca basin, such as the Trout (Salmo truta) during the 1940s, and the Pejerrey
(Basilichtys bonaerensis) to Lake Poopo in 1969, led to the extinction of native fi sh species and infestation of a protozoan
parasite that affected 70 percent of the annual native fi sh harvesting in 1988. These fi sh introductions had negative impacts
on the socioeconomic conditions of the Aymaras and the Urus whose indigenous communities and livelihood patterns
depend on native fi sh.
Source: Lake Titicaca Brief.
Involving People and Stakeholders
51

---

traditional management methods or potential impacts to the
case of the Tucurui Reservoir, which commenced operation
environment or local communities is especially important in
in 1984, 4,300 families were displaced but the reservoir
areas with indigenous communities. Mechanisms should also
construction attracted over 20,000 workers to the dam site.
be developed to protect the rights of Indigenous Peoples and
These increased populations bring further social changes.
resolve confl icts that may arise.
At the Kariba Reservoir, the construction workforce attracted
prostitutes to the area with a concomitant rise in sexually
Lake Titicaca, where the rural population is almost entirely
transmitted diseases. Not all changes are detrimental. At
made up of Indigenous Peoples, provides another example
the Tucurui Reservoir, traditional small-scale navigation was
where there is a need to increase the participation of replaced with road transportation; there was also a change in
indigenous communities in lake basin development (Box 6.3).
the macro economy, including large-scale industrial, forestry,
In this context, agreements between Bolivia and Peru led to
and agribusiness projects. Small businesses derived from
the establishment of a binational authority and the creation of
the rapid increase in the worker's population also developed
a Master Plan for Flood Prevention and Resource Management
rapidly. The important point is that public decision makers (at
in the Lake Titicaca basin. The binational authority has a variety of levels of government) and stakeholders need to be
recognized a special role for indigenous communities and adequately informed of the scope of the proposed project, have
other key stakeholders in the implementation of the Master
access to information on the positive and negative impacts of
Plan.
the construction and operational phases of the investment,
and have the opportunity to participate in public consultations
Experience shows that lake basin management is more cost-
and receive compensation for losses in a transparent manner.
effective if stewardship of lakes and their basins is built upon
the customs and cultures of the community. Furthermore, the
The Role of NGOs and CBOs
disruption of traditional uses of a lake and basin resources can
negatively impact the daily activities, food sources and ability
The briefs illustrated the diversity of roles played by NGOs and
of the lake basin environment to support life. It is important to
CBOs in lake basin management.
recognize that direct engagement with indigenous leaders and
indigenous communities has proven to be the most effective
Agenda Setting and Policy Development
way to foster their participation in lake basin planning and
NGOs and CBOs have the advantage of being more
management activities.
independent of political pressures than formal management
agencies, and so are often well positioned to play an important
Displaced People
and frequently leading role in the agenda-setting and policy
A special case arises with reservoir construction or when development processes. For example, in the Lake Baikal and
management interventions at lakes (especially those involving
Lake Biwa basins, consumer and environmental movements
infrastructure such as regulation dams/weirs, fl ood control have played key roles in some of the major changes in
structures and drainage programs) affect the livelihoods of environmental management.
local people. It is becoming widely accepted that local people
affected by these investment decisions must be involved from
In many other cases, NGOs have had an active role in promoting
the beginning and compensated when they suffer losses. issues within institutions for lake basin management (Lakes
Increasingly, development projects recognize the need to Champlain, Naivasha, Nakuru, Ohrid, Peipsi/Chudskoe, and
focus on restoration of livelihoods rather than solely on the North American Great Lakes). For example, the Peipsi/
compensation, and the importance of making communities the
Chudskoe Center for Transboundary Cooperation is a regional
benefi ciaries of projects. However, this has not always been
NGO that works to promote sustainable development and
the case. For example, the Kariba Reservoir brief describes
transboundary cooperation in the border areas of the Baltic
how, in the 1950s, prior to the use of resettlement action plans
States and the New Independent States. It cooperates with the
and other instruments used today, 80,000 Tonga people were
local authorities and stakeholders on regional development
displaced from their traditional lands to make way for the dam.
projects, as well as on educational, research, and social
They were neither involved in the decisions about the dam,
projects in the region, and is also actively involved in the work
adequately compensated for their losses, nor able to share in
of the Estonian-Russian Transboundary Water Commission.
the benefi ts from the dam and reservoir.
International NGOs not only play a unique and critical role in the
There can be secondary and tertiary impacts beyond the direct
translation of global institutional agendas and local grassroots
impacts of dams and similar large infrastructure on local people.
agendas into a common policy for sustainable lake basin
Typically, infrastructure projects in developing countries attract
management, but they also lead many new initiatives that are
both formal and informal populations during the construction
supplementary and/or complementary to the activities of the
period, who in many cases become permanently settled in international funding organizations and national governments.
the project area. Although addressed in many contemporary
Increasingly, the environmental threats to lakes have a
projects, these impacts have historically received little or no
regional or global dimension. For example, the World Wildlife
attention in project planning and implementation, despite the
Fund for Nature (WWF) brought international attention to the
often signifi cant ecological and social consequences. In the
threat to the internationally recognized fl ocks of fl amingos at
52
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Communication/Facilitation Role
Lake Nakuru from urban and rural pollution. IUCN has played
a pivotal role in supporting the Ramsar Convention, which NGOs have played an important role in the collection,
has provided the basis for defi ning a number of threatened
dissemination, and analysis of information in the Aral Sea
lakes as Ramsar sites. They can also assist in linking lake basin, North American Great Lakes, and Lakes Baikal,
basin management programs with global initiatives and sister
Champlain, Nakuru, and Naivasha. In other cases, NGOs
lake programs; for example, the Tahoe-Baikal Institute is a have played the role of information brokers, facilitating the
registered nonprofi t organization that organizes education, exchange of information across national borders (for example,
research, training, and exchange programs between these the Peipsi/Chudskoe CTC). NGOs often are active in public
sister lakes in the United States and the Russian Federation.
awareness raising and environmental education; illustrative
examples of public awareness campaigns include those from
Operational Functions
the Aral Sea and Lakes Baikal, Ohrid and Peipsi/Chudskoe.
There are examples in the lake basin briefs where NGOs A lake basin program may form an outreach partnership with
perform operational functions. In other cases, NGOs act as
a network television affi liated in the basin. The features,
implementing agencies for lake basin management. Lake specials, and promotional material aired for the project may
Naivasha is the outstanding example where a lakeshore reach millions of viewers in the basin, with the costs shared
protection organization has evolved to play a major role in
among partners (Lake Champlain brief ).
lake planning and management. In still other cases, NGOs
have implemented projects through small grants provided by
Whether through governments or NGOs, effective
governments or international donor organizations. NGOs and
communication strategies are matters of critical importance
CBOs can become very experienced and effective in such work
in lake basin management because of the need for the
because of their closeness to communities and their needs,
stakeholders to understand the complexities of biophysical
their fl exibility in operations, and their low cost structures.
phenomena and the complexities and subtleties associated
with socioeconomic, cultural, and political dimensions of
Networking, Collaboration, and Mediation
management. As indicated in the Lake Malawi/Nyasa brief,
NGOs are often active in networking, collaboration, and researcher-policy maker communication problems need to be
mediation among government agencies and local communities.
overcome for every lake.
Examples from the lake briefs include:
Training
·
The network of NGOs and CBOs that has promoted International NGOs often have specialist technical skills
an outreach program around Chilika Lagoon. The within their organizations and can transfer some of these
stakeholders have also formed a federation of NGOs skills to local communities and institution staff through
and CBOs called the "Campaign for Conservation of training programs and other capacity building exercises. For
Chilika Lagoon" that is working closely with the Chilika
example, the Wildlife Conservation Society has been able to
Development Authority;
train counterpart staff from Cambodian government agencies
in techniques of biodiversity survey and assessment, report
·
A network of community groups has been used to preparation, and environmental education and awareness.
undertake conservation activities at Lake Nakuru;
Other NGOs such as WWF-Cambodia have undertaken similar
projects. Training needs analyses have been undertaken
·
With a wide area of jurisdiction and with limited staff to
as part of donor-supported natural resources management
carry out its mandate, the Laguna Lake Development
projects in Cambodia.
Authority has developed strategic alliances with local
government, CBOs, and NGOs to help gain wide support
Funding NGOs and CBOs
in the implementation of its plans and programs; and,
Funding is needed to sustain the above NGO and CBO activities
over the long term. In both developed and developing countries,
·
"NGO roles can become even more signifi cant when NGOs proliferated through specifi c projects and programs
there has been past political instability" (Tonle Sap for lake basin management. In particular, international aid
brief ).
programs and donor agencies, but also international NGOs,
have played an important role in the development of the NGO
Although NGOs also often play an important role in mobilizing
sector in countries in economic transition and in developing
funds for lake basin management, maintaining a steady countries. The Chilika Lagoon and Lakes Ohrid, Peipsi/
fl ow of funds has always been challenging for lakes in the
Chudskoe, and Baikal briefs provide examples. Yet many
industrialized countries (Lakes Biwa, Champlain, Constance,
of them currently face diffi cult organizational and fi nancial
and the North American Great Lakes briefs) as well as in challenges because of the short-term nature of these funding
countries in economic transition (Lakes Baikal, Peipsi/
sources. In both the developed countries (such as Lakes Biwa,
Chudskoe and Ohrid briefs) and in developing countries (Lake
Champlain, Constance, and the North American Great Lakes)
Naivasha brief ).
and countries in economic transition and developing countries
(e.g. Lakes Baikal, Naivasha, and Ohrid), NGOs have problems
to consistently maintain even part-time staff.
Involving People and Stakeholders
53

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Communication, Education and Public Awareness
Indicators of success, monitoring, and evaluation are essential
(CEPA)
to assess the effectiveness of CEPA programs. As with other
aspects of conservation, it is extremely valuable to assess
Effective participation of local communities in lake basin the success of CEPA actions in relation to the measurable
management means that local communities need access to
objectives, including changes in the community's attitude
technical, social, and economic information. Consequently, to the need for resource conservation and co-management
public awareness and information campaigns are a vital part
initiatives.
of the participation process. In fact, any effort that depends
upon a change in behavior or compliance with new legislation
The Scope of CEPA Programs
needs to rely on CEPA (Box 6.4) if change is to occur. The lake
CEPA is often slow-acting and is best understood as a series of
basin briefs provide a wide range of experiences with regard
investments for signifi cant future returns with each investment
to CEPA.
strategically linked to ensure direction, continuity, and
effectiveness. Strategic thinking and coordination between
Designing CEPA Programs
activities and programs should be important components of
Integrated approaches should be considered in designing CEPA action planning, which should also be realistic about
and implementing CEPA programs. Awareness-raising or time-scales. CEPA activities take time to be effective. For
community education alone will not stop unsustainable example, at Lake Biwa, long-term efforts on changing values
resource exploitation by community members; several factors
and empowerment have paid off after many years; at Lake
need to act concurrently, such as changed community values,
Nakuru, the 10-year CEPA program has not yet reached a
availability of alternative behaviors, and disincentives for threshold level.
unsustainable activities. Lake Ohrid is an example where
increasing community awareness through community-based CEPA programs should be sustained and sustainable, with
organizations, coupled with changes in legislative frameworks,
innovative arrangements and capacity building. It is thus
is slowly helping to improve the conservation of the lake sensible to link with institutions that will provide long-term
system.
funding. At Lake Constance, networking, campaigning,
and public relations required sustainable fi nance; at Lake
Situation analysis and problem identifi cation should be Champlain, the program employed a full-time education
undertaken before designing the CEPA program. A basic and outreach coordinator and a communications and
principle of intervention in community affairs is that root publications coordinator; at Lakes Biwa, Tanganyika, and
causes of problems must be understood and agreed upon Toba, mainstreaming environmental education was a means
before actions are developed and implemented. A period of
to ensure sustainability; and at Lake Chad, local user
research is necessary for gaining an understanding of the associations were provided with loans to establish institutions
situation and helping the community to understand the root
for management of water resources, with the fees used for
causes of the problems, and also to analyze their relationship
maintenance of the equipment but also for implementation of
to government, other communities, and middlemen.
environmental projects. The Lake Ohrid experience highlights
the importance of using early successes to leverage investment
in, and broad support for, sustaining CEPA programs. At Lake
Box 6.4 Communication, Education, and Public Awareness
The components of CEPA--as described by the Ramsar Convention on Wetlands based on UNESCO, the Convention on
Biological Diversity, and the World Conservation Union-IUCN publication--are defi ned as:
·
Communication is the two-way exchange of information leading to mutual and enhanced understanding. It can be used
to gain the involvement of actors and stakeholders and is a means to gain cooperation of groups in society by listening
to them fi rst and clarifying why and how decisions are made;
·
Education is a process that can inform, motivate, and empower people to support wetland conservation, not only by
inducing lifestyle changes, but also by fostering changes in the way that individuals, institutions, businesses, and
governments operate; and,
·
Awareness brings the issues relating to wetlands to the attention of individuals and key groups who have the power to
infl uence outcomes. Awareness is an agenda setting and advocacy exercise, which helps people to know what and why
this is an important issue, the aspirations for the targets, and what is or can be done to achieve these targets.
The fi ve common objectives of a conservation-based CEPA program are (1) to encourage a general interest in conservation,
(2) to generate greater awareness of conservation issues, (3) to bring about a specifi c change in opinion, (4) to disseminate
specifi c information, and (5) to build capacity (Sutherland 2000).
Source: UNESCO (2002).
54
Chapter 6

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Toba, the approach was to train environmental cadres from
schematic diagram called "the Water Mondriaan"; at the Bhoj
within local communities. This proved to be a very successful
Wetland, there were competitions, rallies, and street theatre
way of garnering trust and support; however, the brief notes
performances with a conservation message; at Lake Biwa, a
that small incentives to compensate cadres for their time and
"fl oating school" offered 5th-graders the opportunity to have
energy would help to sustain the initiative.
fun while learning; at Lake Peipsi/Chudskoe, there was an
annual international children's creative works competition;
CEPA actions must be placed within the larger economic at Lake Baringo, environmental awareness packages
and social context. CEPA solutions that are not socially incorporated incentives; and the GEF-funded Lake Malawi/
and economically acceptable cannot hope to achieve Nyasa Biodiversity Conservation Project used an innovative
their goals. For example, at Lakes Baikal and Cocibolca, environmental theatre (staffed by actors from the three
watershed management policies and actions needed to riparian countries) that reached over 100,000 people.
be linked with regional economic development priorities.
The lack of awareness about social and economic benefi ts
Identifi cation of the target group(s) is an important fi rst step
was a limitation to successful implementation of lake basin
in designing an effective CEPA program. A common problem
management efforts at Lakes Dianchi, Laguna de Bay, with awareness-raising activities at the community level is that
Malawi/Nyasa, Nakuru, Toba, and Victoria. At Laguna de they are not targeted at the groups who are most important
Bay and Lake Malawi/Nyasa, awareness-raising and poverty
in resource utilization and management and in forming
alleviation actions were linked to reduce pressure on the community opinion. There is a tendency to focus on the easy
lakes' resources, while at Lakes Baringo, Champlain, Toba, and
parts of awareness-raising, such as education in schools, or
Nakuru, environmental education and awareness programs on general presentations through posters. Better results tend
were coupled with economic incentives and improvement of
to follow targeting of specifi c groups, following an analysis of
the livelihood of the local communities. At the Bhoj Wetland,
infl uence patterns. For example, at Lake Cocibolca, students
the shifting of the idol immersion venue to reduce stress on the
and the younger generation were identifi ed as primary targets:
upper lake was only made possible because of an extensive
at Lakes Nakuru, Chilika, Toba and Tanganyika, women were
public awareness campaign that was designed to work within
identifi ed as a specifi c target group; at Lakes Tanganyika,
the existing cultural and religious context.
Nakuru, and Tonle Sap, political leaders and decision makers
were singled out as the primary target for awareness efforts;
Making CEPA Effective
and at Lake Constance, consumers were targeted.
Involvement of all stakeholders in identifying issues and their
solutions, and providing them with suffi cient technical and There may be signifi cant benefi ts to be gained from involving
local knowledge of the issues, will improve the effectiveness
the private sector (industry) in CEPA efforts. The "Shiga
and effi ciency with which CEPA can effect change. For example,
Environment Conservation Association", a private-sector
at Lake Cocibolca, increased awareness among local offi cials
initiative at Lake Biwa comprising more than 400 relevant
has led to an increased call for national action; at Lake Baringo,
local companies, actively contributes to and supports lake
a moratorium on fi shing was instituted to improve fi sh stocks
basin management activities, allowing it to operate over the
once fi sherfolk had been informed of data on catches and long term. At Issyk-Kul, three pilot projects have been initiated
brought into the management process; and at Chilika Lagoon,
for the development of green industry and tourism. The Lake
local fi sherfolk helped disseminate information about the Champlain Basin Program has formed an outreach partnership
importance of using the right mesh size nets, and imposed a
called Champlain 2000 with a network television affi liate and a
ban on juvenile catch, resulting in a signifi cantly higher yield.
bank in the basin. Conservation of Laguna de Bay Environment
and Resources (CLEAR) is a tripartite partnership--including
Dissemination of information and data to stakeholders the LLDA, Unilever Philippines, and the Society for
is important. The information and data gained from lake Conservation of Philippine Wetlands (SCPW)--to ensure the
basin management programs and experiences should be continuity of efforts to conserve the lake's resources and
disseminated to national and local governments, lake basin
empower and educate the communities within the watershed.
management practitioners, NGOs and other stakeholders, and
In some cases, private-sector support has come about in
should be easily accessible. At Lakes Champlain, Chilika, Biwa,
response to public pressure, such as the case of PT Toba Pulp
Ohrid, Nakuru, Sevan, and the Bhoj Wetland, CEPA programs
Lestari (PT TPL), a private industry operator in the Lake Toba
established resource, education, or exhibition centers; at region, which agreed to set aside 1 percent of its net revenue
Lakes Baringo and Toba, they established participatory rural
for environmental management.
appraisal (PRA) programs.
A variety of CEPA methods may be needed within one CEPA
program. At Lake Toba, a variety of small-scale, grassroots-
level CEPA programs produced tangible results; at Lakes Toba,
Peipsi/Chudskoe, Laguna de Bay, Dianchi, Tanganyika, and
the Chilika Lagoon, CEPA programs used IT technologies; at
Laguna de Bay, water quality data was presented in a simple
Involving People and Stakeholders
55

---

---

Chapter 7
Responding with Technology:
Opportunities and Limitations
Key Lessons Learned about Technology
·
Justifying the introduction of technological interventions strictly for the purpose of lake environment protection is
generally quite diffi cult unless the long-term resource values of the protected environment are properly accounted for
in decision making. The long-term view in policy making is critical in appropriately introducing protective technological
interventions.
·
Exploration of lower-cost technological options, combined with source control of pollutants, should be a priority
consideration for lake basin management. A long-term objective should be to reduce, reuse, and recycle land-based
sources of possible pollution through on-site control technologies with involvement of representatives from the
polluting facilities and local communities.
·
Nonpoint-source problems, particularly sediments, nutrients and agro-chemicals from agricultural and forestry land
uses, can be tackled through community-based reforestation and afforestation, and catchment protection activities.
These approaches need to be sustained for decades or even tens of decades to have visible impacts on the receiving
water body. Institutional sustainability is strongly linked with successful technological interventions involving collective
efforts by people and communities. In spite of the long-term benefi ts of retaining tree cover in lake basins, for example,
there were a number of examples in the study lakes where forest clearance was practiced for short-term economic
gains because of lack of awareness as well as lack of institutional strength.
·
Wetlands act as effi cient traps for contaminants as well as providing other valuable services. Rehabilitating degraded
wetlands, and even constructing artifi cial wetlands, is seen as a cost-effective method of protecting lake environments
because removing contaminants after they have entered lakes is very expensive. Protection of existing wetlands should
be a priority.
·
There is a need for concerted scientifi c research into technological development and application for better lake basin
management. For example, the introduction of biological methods based on scientifi c studies has been successful at
a number of study lakes to control nuisance fl ora and fauna. Scientifi c research is also needed also to ensure that the
introduced biological agents will not have unexpected effects.
·
A shift to a long-term view of sustainable lake basin resources use requires new conceptual approaches and innovative
technological designs for lake basin management. For example, making appropriate provisions for environmental
fl ows to maintain the ecological health and resource uses of lakes is a growing concern as more dams and weirs are
constructed for water storage and regulation.
Investments in technologies that support lake basin The term "technology" has been interpreted broadly here to
management come in several forms. Some technological include:
interventions such as primary or secondary sewage treatment
or on-site sanitation (such as pit latrines, soakaways and ·
Engineered infrastructure (such as sewage treatment
septic tanks) are constructed for public health purposes for
plants and fl ood control dykes) as well as restoration of
communities along the shoreline or in the basin but may
"natural infrastructure" (such as wetlands);
have signifi cant supplementary environmental benefi ts.
Other technologies such as tertiary treatment for removing ·
Techniques (such as biomanipulation of foodwebs) as
nutrients from sewage or other interventions including fl ood
well as physical infrastructure;
control works may be designed specifi cally to improve the lake
water environment. This chapter deals with the use of both
·
Technologies that can be applied within the lake basin,
these incidental and deliberate conservation or remediation
as well as those applied within the lake itself; and,
technologies; it does not deal with the much wider range of
technologies intended for development purposes, such as ·
Technologies that are reactive to symptoms of the
dams or fi sh pens.
problem, as well as those intended to treat root causes

---

such as soil erosion from poorly managed agricultural or
modifi ed through either regulatory structures (such as dams
forest lands.
and weirs) or through upstream water withdrawals. In the
study lakes, this has occurred at the Aral Sea and Lakes Chad
Changing people's behavior through rules, incentives/
and Baringo, Chilika Lagoon, and Tonle Sap. Lake ecology is
disincentives, or education to bring about improvements affected by changes in both the volume of water reaching the
in the environmental status of a lake is not easy. For some
lakes as a result of these upstream changes, the timings of the
problems and under particular circumstances, it is more fl ows, and in some instances the changes in water quality as a
effective to use a technological response. When well-designed
result of changes in river fl ows. For example, some fi sh species
and implemented, these technological responses can have used spring fl oods as cues for breeding; if these fl oods are
profoundly positive effects on lakes. However, many problems
reduced by upstream structures, then breeding may not occur
are not amenable to technological solutions, and even for or may be disrupted.
those problems that are amenable, technological responses
are often not suffi cient by themselves. The Lake Xingkai/
It is only recently that the signifi cance of maintaining
Khanka brief shows how construction of fl ood diversion canals
these important components and patterns of natural fl ow
and sluice gates on the Muling River dramatically altered the
regimes for the benefi t of downstream ecological life has
hydrology of the Lake Xingkai/Khanka Basin, allowing part been realized. These environmental fl ows are now being
of the fl ood waters from a hydrologically-separate river basin
increasingly accepted as a necessary part of water resources
to eventually enter the lake. Although this engineering effort
developments. For example, the World Commission on Dams
was initiated to provide fl ood protection to the citizens in a
identifi ed environmental fl ows as being an important aspect
different river basin, the river fl ows through a number of major
of dam development with environmental fl ows being part of
cities and towns, receiving wastewaters from these cities along
"Sustaining Rivers and Livelihoods", one of the seven strategic
its journey. This has resulted in the canals potentially affecting
priorities identifi ed in the report of the World Commission
both human health and the environmental quality of the lake.
on Dams (2000). Also, the World Bank has begun including
environmental fl ow assessment as part of the environmental
The range of conservation and remediation technologies assessment process when it is appraising project proposals.
included here, as well as the lessons that can be extracted
from the briefs (Table 7.1), is limited for two main reasons.
At both Tonle Sap (as part of the Mekong River system) and
First, the lakes studied in this project tend to be quite large,
at Chilika Lagoon, there are efforts under way to identify
so many of the engineering techniques used at smaller the operational procedures that will ensure that the most
lakes (such as water-level drawdown, deep water discharge,
important components of natural fl ows are maintained for the
artifi cial circulation, or sediment oxidation) are not described.
benefi t the lakes (and other parts of the river systems). Both
The Bhoj Wetland (one of the smallest lakes in the sample)
these projects are being fi nancially supported by the World
is an exception that illustrates some of these techniques Bank; GEF is supporting the Tonle Sap project.
suited to smaller lakes. Second, the focus of the briefs is
on non-technological responses to problems, and so many As part of its Water Utilization Program, the Mekong River
technological responses may be omitted from the briefs. Commission is supporting the development of river fl ow
Three of the 28 lake briefs (Lake Malawi/Nyasa, Tonle Sap and
rules that will include environmental fl ows to meet such
Issyk-Kul) did not describe any technological responses to lake
requirements as minimum monthly natural fl ow during the
basin management problems. A more complete description of
months of the dry season, the reversal of the Tonle Sap fl ows
conservation and remediation technologies is available from
in the wet season, and daily fl ood peaks at natural levels.
Holdren and others (2001) and National Research Council While hydrological, hydraulic, and some simple water quality
(1992).
models have been developed for the lower Mekong River, there
is a dearth of information on the impact of changes in fl ow on
At least one technological response has been applied to each
both the basin's environment and on the people's use of the
of the problems affecting the lakes in this study (Table 3.2),
basin's resources. Consequently, an approach involving expert
with the exception of emerging problems such as climate judgment has been used to develop an initial set of fl ow rules
change and atmospheric transport of nutrients that require
that meet environmental and social goals. It is intended that
long-term regional and global approaches for which the these initial fl ow rules will be superseded in about 5 years
practical and signifi cant provisions have been quite limited. In
when better information is available on the environmental and
the following discussion, these technologies are divided into
social assets to be protected and the links between fl ows and
two groups: those that are applied within the lake basin and
environmental and social outcomes.
those that are applied directly in the lake.
A new barrage is being constructed, with World Bank support,
Watershed-based Measures
to replace an old weir at Naraj on the Mahanadi River, which
partly fl ows into the Chilika Lagoon. The operation of this
Flow Control
barrage will affect the river fl ows into the lagoon, potentially
The ecological functioning of downstream lakes can be with impacts on the entire ecosystem. The Orissa State
severely affected when the fl ows of infl owing rivers are Department of Water Resources has made a commitment to
58
Chapter 7

---

develop an environmentally sensitive operating rule for the
the wastewater of Chicago in the north central United States
Naraj Barrage, and an Environmental Flow Assessment has was diverted from discharging into Lake Michigan, which
been undertaken as part of the process of determining the
adjoins the city, to combat typhoid and cholera outbreaks, and
barrage operating rules.
channeled to the Illinois River/Mississippi River system. While
this solution reduced the pathogen problem in Lake Michigan,
The effects of four river fl ow scenarios on the spatial and it caused a deterioration in the water quality of the Illinois and
temporal patterns of salinity, turbidity, water level, and Mississippi rivers.
sediment deposition within the Chilika Lagoon were modeled
using a 2-D hydrodynamic model. These effects were, in Of the lakes in this study, diversions of sewage have been
turn, translated into direct and indirect social and economic
carried out only at the Bhoj Wetland to control nutrient infl ow
impacts on the lagoon fi sheries, tourism revenue from and to minimize microbial contamination of this drinking water
biodiversity, and economic impacts from waterlogging on source. Sewage may be diverted from the Lake Dianchi basin,
the fl oodplain. An interim set of environmentally sensitive but this will not occur until after another diversion project--to
operating rules were developed during 2004 as a result of
bring water from outside the Dianchi basin for use in Kunming
these investigations. However, they will need to be revised as
City--is completed. The reason is that irrigation return fl ows
monitoring continues in the lagoon and the understanding of
and reuse of domestic sewage are important inputs to the
the hydrological-ecological links and the social and economic
water balance at the lake and, if sewage is exported, then
impacts improves.
these inputs will need to be replaced with other freshwater
supplies.
Flow Diversions
Out-of-Basin Diversions
Although there is little discussion in the briefs about sewage
The detrimental effects of wastewater on a lake can be avoided
diversion, the key lesson from the Lake Michigan and other
by diverting it outside of the basin. This technique has been
examples (such as diversions from Lake Washington and
used occasionally in a range of countries. Over 100 years ago,
Lake Tahoe in the United States) is that it is critical to assess
Table 7.1. Summary of Technological Responses at the Study Lakes.
Basin
In-lake
Biolo- Chem-
Point Source
Non-Point Source
Physical
gical
ical
Lake Basin
ersion
entional
anced
ation
ophytes
etlands
edation
ersions
edging
v
esting
astewater
eatment
eatment
eatment
r
estation
otection
div
W
Biocides
Aer
Dr
W
Adv
Industrial
Catchment
pr
Pr
Div
Har
Conv
wastewater
tr
wastewater
tr
wastewater
tr
r
ehabilitation
Fo
macr
Aral Sea



Baikal



Baringo


Bhoj Wetland








Biwa







Chad




Champlain




Chilika Lagoon




Cocibolca/Nicaragua

Constance

Dianchi






Great Lakes (N. America)




Kariba Reservoir


Laguna de Bay





Naivasha




Nakuru



Ohrid




Peipsi/Chudskoe

Sevan



Tanganyika

Titicaca


Toba




Tucurui Reservoir

Victoria





Xingkai/Khanka

Note:
The table lists the technologies described in the lake briefs or that were known to the editorial team. However, it is likely that many
more technological responses have been applied at the study lakes and in their basins.
Technologies
59

---

whether, on balance, the benefi ts to the lake from diverting
up carefully in each case before decisions are made on water
the wastewater outweigh the costs of the diversion plus any
transfers.
costs imposed on the receiving waterbody. These costs can
arise from water quality problems, changes in fl ows, and Control of Point-Source Pollution
introduction of exotic organisms in the receiving waters, On-site Effl uent Disposal
together with social issues such as the perception of being the
Simple pit toilets sometimes connected to septic tanks for
recipients of other people's wastes.
primary treatment are by far the most common method of
disposing of human wastes in rural (and many urban) areas
Diversion into a Basin
in the developing countries in this study. Unfortunately, only
In cases where water in a lake basin is in short supply or when
one lake basin brief provides data on the use of these on-site
a lake has been heavily polluted, additional water can be methods. The Lake Cocibolca brief shows that, in the Costa
imported from outside the basin to alleviate a water shortage
Rican part of the basin, 31 percent of people use pit latrines
or dilute the polluted water. While bringing in more water with no treatment method, while 68 percent of the population
does not address the root causes of any problems (ineffi cient
use latrines connected to septic tanks. A negligible number
water use, overuse, or pollution), it is used in cases where
were connected to a sewerage system. This is also the case in
neighboring basins have surplus water and other solutions are
other lakes such as Victoria, Tanganyika, and Malawi/Nyasa.
expensive. There are a number of examples in the lake briefs:
There is no information on the extent to which these effl uents
·
At Lake Ohrid, the Sateska River has been diverted to
reach watercourses. Based on experiences in other countries,
fl ow into the lake to increase the hydropower potential
septic tanks and pit latrines commonly overfl ow during wet
of the lake;
seasons, creating a local health hazard and washing effl uent
into streams, often into shallow groundwater aquifers and
·
A 49-km long tunnel was completed in 1981 to divert
eventually into lakes.
water from the Arpa River to stabilize the level of Lake
Sevan, and a second tunnel was completed in 2004 and
Many development agencies are pursuing programs to improve
both are being used to raise the lake level;
access to both safe water and improved sanitation facilities
(some form of treatment such as a septic tank) in urban and
·
To alleviate a chronic water shortage in the Lake rural areas in developing countries. However, the World Bank
Dianchi basin caused by rapid population growth in a
(2000) states that only 35 percent of the rural population in
water-scarce area, a water transfer scheme from the developing countries had access to improved sanitation, and
Zhangjiuhe River is under construction to bring in about
no more than 20 percent of developing countries (and less
245 million m3 of water to augment Kunming City's than 10 percent of the lowest-income countries) are increasing
water supply. One of the purposes of the diversion access at the rate needed to meet the Millennium Development
of freshwater into the Lake Dianchi basin, apart from
Goal (MDG) for water supply and sanitation. While these
overcoming a shortage of water for urban water supply,
programs are primarily pursued for health and development
is to increase the fl ushing rate of the lake in order to
reasons, the low coverage of wastewater collection and
reduce the lake's eutrophication;
treatment implies that individual household effl uent disposal
poses a considerable threat to water quality in developing
·
During the latter part of the Soviet period, there were
countries, particularly those with periods of high rainfall.
proposals to divert massive amounts of water (between
30-60 km3/year) from Siberian rivers to the Aral Sea There has been growing interest shown in the technological
region to be used for irrigation. This proposal did not
development of ecological sanitation systems that not only
proceed because of economic and scientifi c diffi culties;
encourage resource conservation (such as dry toilets to save
and,
water and produce compost materials) but also in systems that
employ resource recovery and reuse (such as urine and feces
·
There are proposals to transfer water to Lakes Chad and
separation for collection and extraction of phosphorus as a
Issyk-Kul from outside their basins. However, the large
useable resource). These technologies are drawing signifi cant
costs associated with such projects and the complex
interest in both developing countries and developed countries.
potential environmental and social impacts make such
It is anticipated that over the next few years, the conventional
schemes slow to be realized.
low-cost sanitation projects promoted in many developing
countries will increasingly make use of these technologies
While these transfers may have a benefi cial effect on the basin
where appropriate.
that receives water, they may also have adverse environmental
and social impacts in the basin that provides the water. Detailed
Conventional Wastewater Treatment
environmental and social studies need to be undertaken in
Directly treating wastewater before it gets to a lake is another
each case to make sure that the costs and benefi ts and equity
engineering response to lake problems that was widely
implications for all users of the water resources are weighed
practiced in the lakes studied in this project. Fourteen out of
the 24 lake basin briefs that reported technological responses
60
Chapter 7

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had primary and secondary wastewater treatment, at least in
then, threatening the lake's ecosystem and the people and
the densely populated urban areas of their basins. Even so,
industries dependent on lake water.
only a small fraction of the lake basin population usually has
access to reticulated sewage and wastewater treatment.
Together with the subject of runoff control from the upper
watershed region, sewage treatment requires an all-out
Primary treatment removes larger material from sewage, while
international effort to come up with more appropriate and
secondary treatment (which usually utilizes microorganisms
practical technological and institutional solutions than
to decompose organic material) removes many pathogens are currently available. The importance of increasing the
and much organic material, thereby alleviating problems international effort to share information and experiences
related to pathogenic contamination and low dissolved oxygen
cannot be overstated.
levels due to high organic loading. However, conventional
wastewater treatment is costly to both develop and maintain.
Advanced Wastewater Treatment (Tertiary Treatment)
In most study lakes in developing countries, the funds were
Advanced wastewater treatment involves enhanced nutrient
provided through external donor support (the Bhoj Wetland in
(nitrogen and/or phosphorus) removal at conventional
India and Lake Dianchi in China are exceptions).
wastewater treatment plants to cut down on the load of
nutrients reaching lakes. It can achieve up to 95 percent
However, the continued functioning of these plants requires
removal of nutrients. Advanced treatment is expensive to
a reliable stream of fi nance for operations and maintenance
construct and operate and requires that a conventional
costs. In a number of lake basin briefs, the projects were not
wastewater treatment facility is already operating reliably.
completed or failed after completion because the national Consequently, it is usually carried out only in high-income
and/or municipal governments were unable to meet their countries (Box 7.1). In the 28 briefs, only Lakes Biwa,
commitments. For example, the Njoro sewage treatment plant
Champlain, Constance, Dianchi, and the North American
at Lake Nakuru was never fully operational because of a lack
Great Lakes have extensive advanced treatment facilities in
of government fi nance to provide the necessary wastewater
place. In those cases, advanced treatment has profoundly
collection infrastructure to transport sewage to the plant for
reduced the load of phosphorus to the lakes, a root cause of
treatment. The Lake Naivasha sewage treatment plant ceased
eutrophication.
to function in the early 1990s when vital equipment was stolen.
Untreated sewage has been discharged to the lake since
Box 7.1 Conventional and Advanced Wastewater Treatment in the 28 Study Lake Basins
The extent of sewage treatment in the 28 lake basins is related to per capita gross national income (GNI) and population
density. The results are summarized in the table below. The extent and degree of wastewater treatment is indicated by the
bold words in each cell (e.g., Low to High). The classes of treatment are indicated as low = primary, medium = secondary, and
high = tertiary. For lake basins with low population density and low GNI per capita (cell I-1), almost no sewage treatment is
carried out. As both income and density increase (I-2, II-1, II-2), conventional treatment systems expand, usually with bilateral
funding. For high GNI per capita countries (III-1, III-2), even in sparsely populated areas (III-1), conventional and advanced
treatment are carried out, usually with central or local government funding.
Population Density
GNI per capita
1) < 100 persons/km2
2) >= 100 persons/km2
I-1) No provision
I-2) Low to medium provision
Lakes: Malawi/Nyasa, George, Tonle
Lakes: Victoria, Naivasha, Nakuru, Bhoj
I)
Low-Income
Economies
Sap, Issyk-Kul, Chad, Kariba Reservoir,
Wetland, Toba
< $765
Tanganyika, Baringo, Chilika Lagoon
Funding: Mostly by international
Funding: Not currently planned.
assistance.
II-1) Low to medium provision
II-2) Low to high provision
Lakes: Aral Sea, Baikal, Titicaca, Ohrid,
Lakes: Dianchi, Laguna de Bay
II)
Middle-Income
Economies
Xingkai/Khanka, Tucurui Reservoir,
Funding: Mostly by international and/or
$765­$9,385
Peipsi/Chudskoe, Cocibolca
central government assistance.
Funding: Partly funded by international
assistance.
III-1) High provision
III-2) High provision
III) High-Income Economies
Lakes: Champlain, Great Lakes
Lakes: Constance, Biwa
> $9,385
Funding: By central and local
Funding: By central and local
governments.
governments.
Note:
Sewage treatment is provided at Laguna de Bay through a private sector initiative for new residential areas and industrial
establishments.
Source: S. Ide, Possibilities and Limitations of Environmental Infrastructure Provisions for Lake Basin Management, Thematic
Paper, Lake Basin Management Initiative.
Technologies
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None of the technologies described in the briefs addressed
years. In 2002, the U.S. Congress authorized $270 million over
a more recent concern regarding the ecological effects of fi ve years from fi scal years 2004 to 2008 for cleanup activities.
pharmaceutical wastes discharged into surface waters from
domestic sources.
This level of funding is generally not available for cleaning
up industrial contaminants once it has reached lakes in the
Industrial Wastewater Treatment
developing world. One exception is Lake Dianchi, where
Industrial wastewater treatment can collectively remove not
more than 4 million m3 of contaminated sediment have been
only organic matter and nutrients but also toxic contaminants.
dredged up, removing 8,200 tons of total nitrogen, 1,900 tons
The coverage of industrial wastewater treatment is similar of total phosphorus, and 4,400 tons of heavy metals.
to advanced wastewater treatment (discussed in Box 7.1);
extensive treatment with strict effl uent standards is in place
Control of Nonpoint-Source Pollution
at Lakes Biwa, Champlain, Constance, Dianchi, and the North
Even in cases where point-source controls have been
American Great Lakes. Treatment of industrial wastewaters successfully managed, nonpoint sources of pollutants often
can also be coupled with water conservation. Thus, at Lake
remain uncontrolled and contribute to persistent problems.
Baikal, the only signifi cant source of industrial wastewater The Lake Biwa, Champlain, Constance, and North American
to the lake--a pulp mill--has installed a closed wastewater
Great Lakes briefs all cite nonpoint sources as the main
treatment system to limit the release of organochloride challenges facing those lakes now that point sources have
compounds to the lake.
been controlled. The diffi culty in controlling nonpoint sources,
which include agriculture and urban runoff, is that sources
However, industrial wastewater treatment need not involve cannot be readily identifi ed or monitored, involve numerous
expensive centralized treatment plants. While not a lake basin,
stakeholders, and are episodic (usually arising after rainfall
the control of tannery effl uent streams in the Palar River Basin
events) rather than continuous. Regional and national
in Tamil Nadu State, India provides an example. This river basin
programs and projects for the control of nonpoint source
is the center of India's leather tanning industry, providing pollution from agriculture, especially livestock, are being
35 percent of the country's leather export earnings and supported by the GEF and World Bank in the Baltic Sea Basin,
employment to 50,000 workers. The tanneries discharge a wide
Danube River Basin, and Black Sea Basin. These programs and
range of pollutants, including large quantities of salt, BOD,
projects involve the direct participation of rural communities
acids, and heavy metals. Both surface and groundwater have
and farm families and provide models that can be used for
become heavily polluted. Currently, 330 of the 594 tanneries
addressing this issue in lake basin management programs.
in the river basin are connected to simple Common Effl uent
Treatment Plants (CETPs) that remove BOD and particulates.
Nonpoint sources usually become more of a problem with
However, these simple treatment plants are not able to remove
increased development and changes in land use within the
dissolved salts, which need to be reduced through changes in
basin. Not only do the changes in land use in lake basins
treatment in the tanneries.
lead to increased generation of sediment, nutrients and agro-
chemicals, but often the associated destruction of wetlands
The main lesson regarding industrial wastewater treatment and riparian areas reduces the basin's ability to fi lter these
comes from the study lakes where it was not carried out and
pollutants before they reach lakes. For example, the partial
toxic industrial contaminants have been released into a lake.
destruction of the extensive wetlands in the Lake Xinghai/
The characteristics of lakes make cleanup very diffi cult and
Khanka basin due to their reclamation for agriculture has
expensive: the integrating nature of lakes means that the compounded the effects of the land use change occurring in
problem cannot usually be contained within a small area; long
the basin. Over the years, one third of these unique wetlands
retention time means that toxic chemicals in a lake stay in the
has been destroyed.
system for a long time; and complex response dynamics means
that the chemicals often biomagnify, creating both ecological
Wetland Restoration and Construction
damage and risk to humans.
Eleven of the 28 lake briefs describe the loss of littoral wetlands
(Table 3.2). Their destruction usually results from development
A number of lakes in this study reported toxic industrial of lakeshore areas (such as urban sprawl at Lake Champlain,
contamination. The North American Great Lakes are perhaps
construction of roads at Lake Biwa) or reclamation of wetlands
the best illustration of how long term and pervasive toxic for farming or grazing. Rehabilitating these wetlands can
contamination can become. By the early 1980s, decades worth
reduce nonpoint-source loads delivered to lakes, as well as
of heavy metals and toxic organic chemicals had collected in
help conserve and restore biodiversity. Some examples from
the sediments of the rivers and harbors in the Great Lakes
the briefs include:
Basin to the point where the U.S. EPA's Great Lakes program
identifi ed polluted sediments as the largest major source of
·
The Lake Chad brief describes the rehabilitation of the
contaminants to the Great Lakes food chain. Over 2,000 miles
Logone Wetland in Cameroon in 1993. Stakeholders and
(20 percent) of the Great Lakes shoreline were considered
local community members were involved in the planning
impaired. On the U.S. side of the border, over 1,000,000 m3 of
and design of the project;
contaminated sediments have been remediated over the past 3
62
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·
The Lake Champlain brief details how the Lake Champlain
Amu Darya delta, including Lake Sudochie, a Ramsar
Basin Program sponsored a wetland acquisition strategy
site.
that laid the groundwork for a four-phase, multiyear
program to permanently protect almost 9,000 acres of
The briefs show that destroyed wetlands will ultimately either
wetlands in the Champlain Valley. By 2001, the project
need to be replaced or a technological solution (such as
had conserved 4,000 acres of wetlands and surrounding
wastewater treatment) will need to be introduced if pollution
areas in the basin;
loads to lakes are to be reduced. In many cases, it is more cost-
effective to avoid destruction in the fi rst place. However, the
·
The Lake Naivasha brief shows how several of the larger
briefs still detail many lake basins where wetland destruction
horticultural enterprises in the basin have reduced continues (Lakes Victoria, Xinghai/Khanka, Ohrid).
their impact on the environment by using constructed
wetlands to treat their wastewater. In addition, the Reforestation and Afforestation
protection of much of the lake's fringing wetlands over
Loss of forest cover in a lake basin usually increases land
the years has helped reduce the impact of pollutants
erosion and sediment transport, resulting in reduced lake
from surrounding urban and agricultural areas; and,
water quality. Many of the lake briefs describe efforts to
develop forests in lake basins, either through reforestation
·
The Aral Sea brief illustrates international efforts by the
(replacing destroyed forests) or afforestation (planting forest
GEF and World Bank to restore wetlands on the lower
where it did not exist before). The former are discussed in the
Box 7.2 Wetland Conservation: The Ramsar Convention and Lakes
One of the most important international initiatives to protect and restore wetlands is the Convention on Wetlands (Ramsar,
Iran, 1971), commonly known as the Ramsar Convention. The majority of lakes in this survey have Ramsar sites in their basins,
which include, in some cases, both littoral areas and the lakes themselves.
The Ramsar Convention defi nes "wetlands" in its Article 1.1 as "...areas of marsh, fen, peatland or water, whether natural or
artifi cial, permanent or temporary, with water that is static or fl owing, fresh, brackish or salt, including areas of marine water
the depth of which at low tide does not exceed six metres." Article 2.1 provides that wetlands "may incorporate riparian and
coastal zones adjacent to the wetlands, and islands or bodies of marine water deeper than six metres at low tide lying within
the wetlands."
For lake systems, a detailed Ramsar Classifi cation System for Wetland Types includes the following categories.
O--Permanent freshwater lakes (over 8 ha); includes large oxbow lakes.
P--Seasonal/intermittent freshwater lakes (over 8 ha); includes fl oodplain lakes.
Q--Permanent saline/brackish/alkaline lakes.
R--Seasonal/intermittent saline/brackish/alkaline lakes and fl ats.
For the convention, lakes can be fresh, brackish, saline, or alkaline. Importantly, the fact that the convention urges contracting
parties to manage effectively and sustainably all wetlands, including lakes, within the contracting parties' national boundaries,
means the convention process and advice covers all lakes and the dependant biodiversity, even if some of this is migratory.
Of the Ramsar sites (wetlands of international importance), the areal extent (in hectares) of the four categories is shown in the
table below for each of the Ramsar regions.
O
P
Q
R
All types
Africa
14,535,913
16,253,389
1,593,452
2,294,209
24,313,987
Asia
2,904,800
1,589,078
4,100,218
2,442,435
6,118,175
Europe
15,372,268
5,807,754
3,818,388
2,172,043
16,861,747
North America
14,289,625
1,360,416
913,297
1,201,914
14,920,266
Oceania
704,720
3,609,323
477,211
1,789,330
4,982,808
Neotropics
18,751,932
11,116,523
4,391,158
8,242,720
25,440,355
World Total
66,559,258
39,736,483
15,293,724
18,142,651
92,637,338
The Ramsar Small Grant fund has supported management interventions at lakes in many regions of the world, including the
following countries: Algeria, Argentina, Armenia, Bolivia, Bulgaria, Burkina Faso, China (3), Comoros, Ecuador (2), Former
Republic of Yugoslavia, Georgia, Mongolia, Paraguay, Peru, Philippines, Russian Federation (3), Togo (2), and Uganda. The
convention will continue to promote wise management of lake systems as part of its global approach to wetlands and water.
Source: Ramsar Secretariat.
Technologies
63

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Lakes Baikal, Chad, Laguna de Bay, Nakuru, Ohrid, Tanganyika,
Economically, this problem represents a loss to the
and Toba briefs; the latter are described in the Lakes Baringo
agriculturalist as well as a cost to the downstream water users,
and Dianchi, Bhoj Wetland, and Chilika Lagoon briefs.
and therefore soil conservation activities are often welcomed
by agricultural communities once their effectiveness is
In some of these cases, native tree species have been demonstrated. The sedimentation of Lake Baringo is partially
replaced by exotic species. While these replacement species
due to soil loss from poor pasture and farming management
usually have more rapid growth rates (leading to quicker in the lake's watershed. Soil conservation trials were funded
soil stabilization) and greater marketability, they may not as part of the GEF-funded Lake Baringo Conservation Project,
restore the biodiversity of the original forests. In addition, the
including over 30 km of terraces to control sediment movement.
hydrologic balance of the lake basin can be altered through
One of the outcomes has been a successful harvest for farmers
reforestation and afforestation schemes. For example, in the
after previous years of crop failure. This success will act as an
Lake Toba basin native species have been replaced with quick-
incentive for wider adoption of these conservation measures.
growing eucalypt species. Local people believe that these
exotic species use more water than the pines they replaced,
Control of Mining Wastes
although forestry experts dispute this belief.
Mining wastes are described as affecting a number of lakes in
this study. For example:
In addition to the intensive afforestation in the lake's basin,
plantations have been used at the Bhoj Wetland to create ·
Mercury, believed to come from gold mining activities in
a buffer zone around the western, southern, and northern
Tanzania, has been detected in the sediments offshore
fringes of the Upper Lake to prevent encroachment by human
from the Tanzanian part of Lake Victoria. This heavy
settlements, cultivation, and grazing within the lake area. The
metal is believed to originate from the large number
species selected either produce biomass or have medicinal
of artisanal miners operating in this part of the basin.
properties, as well as being tolerant of both fl ooding and
These miners have neither the training nor fi nances to
drought conditions. Such management of littoral zone forest
operate mercury separation technologies safely;
stands, including active reforestation and afforestation,
should also be extended beyond lakeshores to the riverbanks
·
There are a number of old mines that used to produce
in the lake basin.
chromium, nickel, iron, and coal near the Albanian part
of Lake Ohrid. Many large piles of waste material remain
In addition to the efforts to restore or create forested land
and are a source of pollutants to the lake each time it
cover, several briefs indicate that forestry practices in terms
rains. Concentrations of heavy metals in samples taken
of site selection, forest road design, harvesting rotations,
from the near shore lake water are very high;
and preservation of riparian forest stands can be improved to
reduce sediment sources (Lake Nakuru, Lake Malawi/Nyasa,
·
At Issyk-Kul, there are widespread mining operations,
Issyk-Kul, and Lake Victoria). As the extent of erosion problems
which have resulted in occasional illegal dumping of
depends on local climate, geology, topography, and the
chemicals;
intensity of human activities (highlighted in the briefs of Lake
Nakuru, Kariba Reservoir, and Issyk-Kul), land use planning
·
Gold and other minerals are mined extensively in the
can be effective in minimizing the environmentally adverse
Russian part of the Lake Baikal basin. There are almost
effects of forestry activities. GIS-based databases are one tool
no environmental controls, and the mines generate
that can identify areas that are unsuitable for forestry because
signifi cant levels of iron, sulphur, chloride, mercury, and
of their natural characteristics.
nitrogen in the rivers. Countless copper and gold mines
also exist in the Mongolian part of the basin, which
Catchment Protection
has little or no control efforts in place. For example,
Soil loss from poor land management in agricultural and
the regional government in Zaamar, Mongolia has an
pastoral areas was widely reported in the lake briefs. The
environmental inspection budget of roughly $1,200/
causes included overgrazing, fallow cultivation, gully erosion,
year for a gold fi eld that in 2001 produced almost $40
and unstabilized streambanks. Lake Tanganyika is a case where
million in revenues; and,
large-scale deforestation and farming practices in the smaller
northern watersheds of the lake have caused a dramatic ·
Phosphorus mining at the southern end of Lake Dianchi
increase in the soil erosion rates and represent a threat to
has caused serious erosion. Phosphorus-rich soils have
the integrity of one of the world's most biodiverse lakes.
been fl ushed into the lake, adding to the lake's high
Sediment transport rates have been measured to be about
nutrient loads.
10 times greater in cleared and settled areas in the Tanzanian
part of the lake basin than in comparable uncleared areas. The
A number of simple technologies exist for controlling the loss
freshly eroded sediments entering the lake adversely affect its
of mercury from small-scale artisanal gold mines--such as
biodiversity by blanketing important breeding areas.
modifi cations to sluice boxes to reduce their mercury losses
to creeks, and the use of retorts to reduce the atmospheric
loss of mercury--but the briefs report few, if any, attempts to
64
Chapter 7

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introduce technologies. Even many of the commercial mines in
combat serious infestation of water hyacinth. The success was
the above examples appear to use few technologies to control
probably assisted by a period of high rainfall that disrupted
the discharge of contaminants.
the weed's habitat. Extensive research was conducted prior
to the release of the weevils to show the weevils would be
In-Lake Measures
specifi c to the water hyacinth and would not result in another
uncontrollable distortion of the ecosystem (as occurred after
Control of Water Levels
the introduction of the Nile perch in the 1950s). This biological
A number of lake briefs reported actual or potential reduction
method has been sustainable because it was accompanied by
in lake size as a serious problem (the Aral Sea, Lakes Baringo,
a community involvement program whereby traditional fi shing
Bhoj, Biwa, Chad, Naivasha, Sevan, Toba), to the point where
communities, who were adversely affected by the explosive
it has been identifi ed as an emerging issue in Chapter 3. Dams
weed growth, were taught to raise and release the weevils.
or weirs have been installed at Lakes Sevan, Biwa, and Toba to
control the lake levels. These structures have primarily been
Lake Naivasha, the Kariba Reservoir and the Bhoj Wetland
developed for production purposes--water supply at Lake provide examples of successful biological control of invasive
Biwa, hydropower at Lake Toba, and both hydropower and weeds using different predators. At the Kariba Reservoir,
water supply at Lake Sevan. While the dams at Lakes Toba and
grasshoppers (Paulinia acuminata) were used to control Kariba
Sevan have had detrimental environmental consequences, weed (Salvinia molesta); at Lake Naivasha, a host-specifi c
the weir at Lake Biwa has helped the lake's fringing reed insect (Cyrtobagus salviniae) was introduced; while at the
beds to survive, provided habitat for fi sh and water birds, and
Bhoj Wetland, a herbivorous grass carp (Ctenopharyngodon
contributed to the recreational values of the lake.
idella) and Indian major carp were used to control submerged
weeds such as Hydrilla, Najas, and Vallisnaria. Sterile triploid
A small dam is being constructed between the Northern Aral
species were used to avoid problems from excess numbers of
Sea in the north and the Large Aral Sea to help maintain the grass carp.
water levels in the former. At present, water fl ows from the
Northern Aral Sea to the Large Aral Sea, where it tends to be
Although the insect had effectively reduced the Kariba weed
rapidly lost due to high evaporation. With this intervention,
cover at Lake Naivasha to insignifi cant levels by the early
the Large Aral Sea will receive even less water, the Northern
1990s, water hyacinth then spread rapidly. This was probably
Aral Sea will likely stabilize, and a portion of the original due to the lake's increasing nutrient levels and the lack of
biodiversity will be maintained. In this case, a technological
competition from Kariba weed. Water hyacinth is now being
response (construction of a small dam) is being used to controlled by the Neochetina weevils. The key lesson learned is
mitigate problems from a previous technological intervention
that even successful biological control may not be sustainable
(upstream irrigation).
if root causes (such as high nutrient levels) are not tackled.
Control of Nuisance Species
Biomanipulation is another biological approach to the control
Nuisance species include both plants and animals. Some have
of nuisance species. It involves the deliberate introduction of
been introduced and multiplied uncontrollably in the absence
species that will affect the lake's food chain in a benefi cial way.
of natural predators; others are native and have multiplied to
The technique has been most widely used to control outbreaks
nuisance levels because of changes in the lake environment.
of nuisance algae. In the classic approach, top-level predatory
Water weeds, particularly water hyacinth, were widely fi sh are introduced to a lake in order to reduce the populations
reported in the lake briefs as being a nuisance. Excessive of insectivorous fi sh. This, in turn, reduces the pressure
growth of aquatic weeds impedes boat traffi c, promotes on invertebrates, which feed on the algae. Invertebrate
water loss through increased evapotranspiration, interferes populations increase and algal numbers decrease. While
with fi shing, blocks irrigation channels, and interferes with the technique has been successful in trials, it is usually not
hydropower generation and water treatment plants, as well
sustainable in the long term because there are too many
as reducing the recreation uses of lakes. Infested areas can
alternative food pathways and too many other infl uences
also foster vector-borne diseases. Algal blooms, particularly
on the spread of the algae. In addition, it requires a detailed
cyanobacterial blooms, were also widely reported. There knowledge of the aquatic ecology of the lake and the long-term
are a number of biological, chemical, and physical options presence of ecological monitoring. For these reasons, its use
for controlling both water weeds and algae; however, these
has been largely confi ned to lakes in the developed world, and
methods do not attack the underlying causes, which usually
even there it is not in widespread use.
involve high nutrient levels and sometimes disturbances to the
ecological structure of the lakes.
Chemical methods
Chemicals can be applied to a lake to control an algal bloom
Biological methods
or to kill an invasive species. However, on all but the smallest
Known predators of the invasive water weeds can be lakes, the cost is usually prohibitive if the infestation is
introduced to control their rampant growth. In a well-known
extensive. For example, herbicides were trialed at the Kariba
example, two species of weevils (Neochetina eichhornia and
Reservoir to control both water hyacinth and Kariba weed
Neochetina bruchi) were used successfully at Lake Victoria to
and at Lake Victoria to control water hyacinth, but--given
Technologies
65

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the scale of these infestations--it was shown that chemical
productive agricultural land because of their high nutrient
measures would be uneconomical. In addition, there is concentrations.
usually a strong public reaction against these methods, even
when biodegradable chemicals are used. For this reason, this
Dredging has also been used to remove toxic chemicals
approach is not very common.
from lake sediments. For example, over 140,000 tons of
PCB-contaminated sludge were removed from the sediment
Physical methods
of Cumberland Bay in Lake Champlain at a cost of $35
Direct harvesting can be a relatively quick and direct way to
million. Similar programs have been used to remove toxic
remove nuisance weeds, but is not suited to controlling algae.
contaminants from the North American Great Lakes and heavy
Weed harvesting has been carried out at the Bhoj Wetland,
metals from Lake Dianchi.
Chilika Lagoon, and Lakes Biwa, Toba, and Victoria. The
harvesting programs at Lakes Toba and Victoria relied heavily
However, there are also potentially severe ecological effects
on community involvement. At Lake Victoria, the harvested arising from dredging. The sediments of a lake are part of a
weeds were turned to commercial gain--they were used for
complex ecosystem harboring benthic organisms that act as
manufacturing handicrafts. However, like many technological
food for higher trophic levels and provide services such as
interventions, harvesting does not address the root causes
removal of nitrogen. Removing sediment invariably destroys
leading to excessive weed growth and is not sustainable in the
these functions and can potentially stir up toxic sediments,
long term.
thereby putting them back into the water column. In addition,
dredging is expensive to carry out and is not a long-term
The large commercial Nile perch fi shery on Lake Victoria is an
solution unless the sources of contamination are tackled.
example of harvesting of introduced fi sh. While the Nile perch
was initially seen as a nuisance species when it fi rst dominated
Aeration
the lake, the value of the commercial fi shery is now such that it
The decay of organic matter in a lake, either because of high
is regarded as an important industry for the riparian countries.
organic loading from the watershed or from the decay of algal
Whether a nuisance or a benefi t, the harvesting of the fi sh has
blooms, can depress dissolved oxygen levels (DO). Low DO, in
been so intensive in recent years as to raise concerns about
turn, can lead to fi sh kills and the loss of benthic water habitat
overfi shing.
to commercially and ecologically important species.
Control of Water Quality
One short-term way of dealing with the problem is to inject
The integrative characteristic of lakes means that water quality
dissolved oxygen or compressed air directly into the low DO
problems are best controlled at source before they reach the
region, usually the bottom of the lake. To date, this approach
lake. However, some technologies were reported in the lake
has only been viable in the smallest lakes because of its cost.
briefs for controlling in-lake water quality issues.
For example, among the lakes in this study aeration has only
been used at the Bhoj Wetland, where a total of 15 aeration
Dredging
units have been installed to oxygenate the bottom water.
The removal of sediment from rivers and lakes by dredging
This has not only led to improvement in water quality, but has
is a common method for removing excess silt, nutrients, and
increased the attractiveness of the lake for tourists. However,
toxic compounds. For example, changes in basin land use led
remediation technologies such as aeration do not attack the
to large increases in sediment loading to Chilika Lagoon. The
root cause of low DO levels. For sustainability they need to
high silt loads blocked the outlet of the lagoon and prevented
be accompanied by source control measures--in the case of
normal exchange of sea water. The salinity levels dropped,
Bhoj Wetland, reduction in the infl ux of nutrients and organic
leading to a sharp decline in the native fi sheries as well as an
material from the surrounding urban region.
increase in invasive macrophyte growth. When a new channel
to the ocean was dredged, the salinity returned to normal
conditions, leading to a dramatic recovery of the fi shing
and prawn industries and a decrease in the area covered by
invasive weeds.
Dredging is sometimes used to remove nutrients from the
bottom of shallow, eutrophic lakes. Dredging has been used
to remove phosphorus-laden sediment from Lakes Biwa,
Dianchi and the Bhoj Wetland. For the Bhoj Wetland, the
deposition of the contaminated silt affected the water quality
and obstructed the lake's outlet. Silt was removed from the
upper and lower lakes by both hydraulic and dry excavation,
increasing the capacity of the lake by 4 percent. The excavated
materials were used to convert previously barren areas into
66
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Chapter 8
Informing the Process:
The Role of Science
Key Lessons Learned about Information
·
Both natural science information and social science information are needed for lake basin management. The latter
includes socioeconomic and cultural information pertaining to and held by local communities and Indigenous Peoples.
Sometimes the information on locally generated management approaches can be very useful when there are no long-
term monitoring studies available to provide scientifi c data.
· Scientifi c information has been successfully used in the study lakes to show the limits of lake basin resources, enlighten
hard-to-see connections, and provide innovative solutions to problems. However, the benefi ts from use of information
have not been fully realized. The briefs described a number of problems where scientifi c information could have been
used by decision makers, managers, and other stakeholders, but was not. Scientifi c information needs to be translated
into the language of decision makers and stakeholders if it is to be fully applied in management.
·
While there is need for more directed research with application in mind, having managers defi ne the research needs,
possibly through a formal needs analysis, was recognized as an effective way to have research results taken up and
applied in management. There is a need for a collective, widely shared knowledge base of experiences in applying
scientifi c information.
·
The GEF-IW requirement to produce a diagnosis of transboundary lake basin problems (Transboundary Diagnostic
Analysis) that is mutually agreed by riparian countries appears to be successful in promoting joint lake basin
management programs.
·
Two of the characteristics of lakes (long retention times and complex response dynamics) make long-term scientifi c
commitment particularly valuable. Resident research institutions in developing countries can be assisted by
international collaborators through training and technology transfer programs.
·
Monitoring has been used to both develop a baseline for the lake basin and to assess the effectiveness of management
interventions. Some diffi cult problems have been resolved through use of monitoring data.
· Scientifi c models had been used to help managers at a number of study lakes. However, the appropriate model has not
always been used. The complexity of the model needs to be matched to the capacities of the users, the available data,
and the demands of the task.
Information Needs for Lake Basin Management
socioeconomic information, such as people's values and
associated goals for their resources and social and cultural
Information that is reliable, widely understood, and accepted is
relationships that would improve resource use and control
central to decision making in lake basin management. Without
(Box 8.1).
it, institutions can be ineffi cient, rules can be ineffective,
and technology can be misapplied leading to problems such
Another valuable source of information resides in the
as the desiccation of the Aral Sea or the drawdown of Lake
communities, including indigenous communities, living along
Sevan. Knowledge can play a particularly important part in
a lakeshore or in a lake basin. Often this local knowledge can
improving the management of transboundary lake basins; this
augment scientifi c information. In the absence of long-term
chapter includes discussion on the promotion by the GEF of
monitoring programs, it may be the only source of information
Transboundary Diagnostic Analysis (TDA) as a tool to promote
about a given lake. Thus, the Ugandan government has been
discussion and agreement on joint management programs able to use local knowledge to identify and protect important
between lake basin countries.
fi sh breeding areas on the eastern shore of Lake Albert on
the border between Uganda and the Democratic Republic
Information includes both scientifi c information--such as of Congo. Nevertheless, where it is available, scientifi cally
the values of measured parameters like dissolved oxygen, acquired knowledge is preferable because it is subject to
nutrient concentrations, and biomass counts--as well as quality control procedures.

---

The integrating nature of lakes, long retention time, and Table 3.2 shows that eutrophication, caused by excessive
complex response dynamics mean that good information is
nutrient load (usually phosphorus; occasionally nitrogen)
particularly valuable in the decision-making process because
generated from human activities in a lake's drainage basin
the cost of a mistake (or missed opportunity) can be very (and sometimes beyond) is another common problem in lake
high. In the case of the Aral Sea, the very high costs from the
basins. As illustrated in Figure 2.2, a lake can absorb a certain
decision by the former Soviet Union to divert large quantities of
quantity of nutrient load without showing major changes.
water from the two principal infl owing rivers might have been
However, there comes a point at which the loading leads to a
avoided if environmental, social, and economic studies had
major, undesirable shift in the lake ecosystem. The extent of
been carried out to predict the consequences of the decision. A
the shift, along with information on the nutrient load that is
similar outcome may have occurred in the case of Lake Sevan
"tolerable", is a key contribution of science.
had Soviet planners examined more comprehensively the long-
term environmental impacts of the decision to reduce the lake
The briefs on Lakes Champlain, Constance, and the North
level for power generation and irrigated agriculture.
American Great Lakes show how far science can actually go
in aiding the decision-making process. For example, based
Use of Scientifi c Information
on a comprehensive modeling exercise, the United States
and Canada acted jointly to reduce the phosphorus load to
The case studies show that science is used in three main the Great Lakes, mainly by enhancing phosphorus removal
ways in decision making: to show the limits of the resource;
at wastewater treatment plants and by banning P-containing
to enlighten hard-to-see connections; and to provide novel/
detergents in the drainage basin. Even though this policy was
innovative solutions.
successful in controlling much of the point-source load to the
lakes, a more recent study has shown that nonpoint sources
Showing Limits to a Resource
also must be controlled to fully meet the target loads. The
Fishing is one of the main resource uses in many of the Lake Baikal brief also demonstrates how scientifi c study can
lakes in this study; unsustainable fi shing practices, primarily
reveal that nonpoint sources of pollutants can be transported
overfi shing, are one of the main problems (Table 3.2). to a lake via both waterborne and atmospheric pathways
Overfi shing threatens lake ecosystems and livelihoods, and pose a major threat to a lake. Scientifi c studies at Lake
especially in developing countries. Scientifi c studies have Malawi/Nyasa showed the limits of different fi sh populations.
provided key information leading to temporary moratoriums
Inshore artisanal fi shing was overexploiting the available
on fi shing (Lakes Baringo and Naivasha) and restrictions on
resource. The ornamental fi sh trade was threatening some of
allowable technologies (Lakes George, Ohrid, and Victoria). As
the highly localized cichlid species the lake was renowned for,
a result of the rules based on this information, these fi sheries
but the pelagic fi shery was largely unexploited and potentially
have either recovered, or are in better shape than they would
available for providing much-needed protein for lake basin
have been without the information.
populations.
Box 8.1 The Information Bare Essentials: A Checklist for Decision Makers
·
Scientifi c/Technical Prospects and Options. What is the current condition of a lake; that is, current water quantity and
quality, and changes in them over time? What is the status of its biological communities? What are the root causes,
within and outside the drainage basin, for the observed problems? What are the lake basin management options and
what are their possible outcomes? How can progress in lake recovery be evaluated? What is the expected degree of,
and recovery time frame for, specifi c lake problems?
·
Sociological Perspectives. What is the cultural history of lake use in its drainage basin? What customs, social mores, or
religious beliefs infl uence the use of the lake and its resources? To what extent can the public and other stakeholders
be mobilized to help identify and implement effective lake basin management efforts?
·
Economic Characteristics. What are the economic characteristics of the drainage basin stakeholders, including the
relevant governmental management bodies? Are suffi cient fi nancial resources available for sustainable management
interventions? Is poverty alleviation linked to sustainable lake use? What economic incentives, penalties, or subsidies
exist to facilitate lake basin management interventions and what are their past experiences?
·
Institutional and Legislative Frameworks. What is the existing legislative framework in the drainage basin? Do adequate
institutions and laws exist to regulate, protect, or guide the sustainable use of the lake and its resources, or are new
or modifi ed ones needed? Do different lake basin management institutions have overlapping or confl icting mandates?
Are existing laws and regulations enforced in a consistent and equitable manner? What other legislative incentives exist
and what are their experiences?
·
Political and Governance Structures. What are the political realities regarding the sustainable use of the lake and its
resources within the lake drainage basin? Is the political structure amenable to public inputs? Are current politicians
and government offi cials providing the necessary leadership to facilitate needed lake basin management interventions?
Is the governance process transparent, equitable, and accessible to the public and other stakeholders?
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Chapter 8

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Enlightening Hard-to-See Connections
·
At Lake Naivasha, there was a controversy about the
The biophysical processes in lakes are complex. A key role of
causes of the declining water level. A simple model was
science is to shed light on the hard-to-see, indirect connections
developed, making use of long-term monitoring data, to
that are common in lake basin management. Some examples
show that while the lake level fl uctuated naturally due
include:
to climate variability, abstractions for horticulture were
almost certainly responsible for the recent decline in the
lake level (Box 8.2). As a result, there was widespread
Box 8.2 The Value of Long-Term Monitoring and Simple Modeling at Lake Naivasha
For over 100 years, Lake Naivasha in Kenya had attracted the attention of hydrologists, partly because of the extreme
decade-to-decade changes in its surface area. The phenomenon was eventually explained as being the result of the shallow
bathymetry of the lake coupled with climate variability. Starting in 1982, much of the land around the lake was converted from
grazing and cropping to intensive horticulture. By the early 1990s, over 100 km2 had been converted to grow fl owers for the
European cut-fl ower trade. With this growth came an infl ux of workers. Water was abstracted from the lake, the local aquifers,
and the infl owing rivers for the horticultural industry and for domestic use by the rapidly increasing population.
The Lake Naivasha Riparian Association (LNRA), representing landowners and others around the shores of the lake, feared
that the lake's water was being overused by this new development. They also were concerned about pollution of the lake
and aquifers from agro-chemicals used by the horticulture industry. Many horticulturalists did not believe that they were
overusing the water resources and pointed out that the lake was higher than it had been in the 1950s prior to the development
of their industry. They, in turn, formed the Lake Naivasha Growers Group (LNGG) to counter these and other claims about their
industry.
In 1996, the LNRA asked the Kenyan Ministry of Water Development to study the water balance and the water-related
environmental impacts. This study was carried out in close collaboration with International Institute for Geo-Information
Science and Earth Observation (ITC) in the Netherlands. ITC developed a simple, spreadsheet-based water balance model of
the lake and its basin. The model used data from a variety of sources--government and private sector--for a period from 1932
to the present day.
If a groundwater outfl ow of 4.6 million m3 per month was allowed for, then the model was able to reproduce the observed lake
level from 1932 to 1982 with remarkable accuracy (Figure 8.1). Over this period, 95 percent of all observed monthly lake levels
differed from the modeled levels by 0.52 m or less. This accuracy makes the growing discrepancy between the observed and
the modeled lake levels after 1982 all the more striking. By 1997, the observed level was 3-4 m below that predicted by the
model.
Figure 8.1. Long-term Water Level Change in Lake Naivasha.
The onset of this decline in water level coincided with the commencement of horticulture in the area in 1982, and there was
a close match between the annual water defi cit by 1997 (60 x 106 m3) and the estimated water use based on the area of
horticulture and the crops grown.
These results are now broadly accepted by all stakeholders around Lake Naivasha as showing that the rapid development
of the industry and the increase in domestic demand has had a signifi cant impact on the lake level. The LNRA and the LNGG
now work more closely together to promote a stronger conservation ethic among horticulturalists and to protect the lake's
values.
Source: Becht and Harper 2002.
Information
69

---

acceptance of this cause and an understanding that
this reservoir would provide a commercially valuable
different interest groups needed to work together to use
fi shery;
the lake's resources equitably;
·
In the Lake Chad basin, scientifi c fi eld experiments
· Scientifi c investigations showed that a proposed
showed that wet-season conditions could be simulated
hydraulic control structure at Laguna de Bay (designed
by water releases from the Tiga and Challawa dams. This
to stop saltwater intrusion from the ocean) would have
demonstrated that artifi cial fl ooding of wetlands could
a detrimental effect on the lake fi sheries. Eventually, it
be undertaken using existing infrastructure;
was decided to cease operating the structure, allowing
natural saltwater intrusion to occur again, resulting ·
High levels of heavy metals at the Bhoj Wetland were
in a decrease in turbidity and improved conditions for
shown to result from immersion of idols during religious
fi sheries;
festivities, an unlikely but signifi cant source. The
research also showed a solution (moving the ceremony
·
Detailed measurements and investigations at Lake
to another site) was possible; and,
Biwa showed that decreasing snowfall over the last
few decades, along with a weakening of the overturn
· Scientifi c studies at the Aral Sea indicated that
of the lake waters in spring (both possibly related to
construction of a dam between the Northern and Large
climate change), led to lower dissolved oxygen levels
Aral Seas could maintain the current size of the Northern
in the bottom waters of the lake every spring, providing
Aral given the reduced infl ows, and with it, some of the
the conditions for potentially large phosphorus release
lake's biodiversity and livelihoods for local people.
from sediments and a rapid worsening of eutrophic
conditions;
Opportunities for the Use of Scientifi c Information
There were a number of cases where scientifi c information
·
Research at the North American Great Lakes has shown
was not used but where it could have made a major difference.
the connection between fossil fuel burning at distant
Examples where the lake briefs cited the urgent need for
power plants and mercury deposition to the lakes. These
scientifi c studies include the:
sources are mostly outside of the watershed but are part
of the airshed, and therefore not normally considered by
·
Effects of climate change versus local water withdrawals
decision makers; and,
on lake levels at Lake Chad;
·
Recent studies at Lake Victoria (Hecky, R., H. Bootsma,
·
Limits of sustainable grazing in the Lake Baringo basin;
and E. Odada, "African Lake Management Initiatives:
The Global Connection" Thematic Paper, Lake Basin ·
Quantities of water available for irrigation at Lake Chad;
Management Initiative) suggest the role of atmospheric
deposition of phosphorus to the lake has been greatly
·
Effects of aquaculture on Lake Toba on the lake's water
underestimated. If confi rmed, this unexpected transport
quality;
pathway could have major implications for managing
the lake and its basin.
·
Effect of proposed upstream dams, forest clearance and
land degradation on Tonle Sap; and,
Providing Innovative Solutions
The understanding of the lake basin process developed ·
Effects of increasing sediment (and attached
through scientifi c studies can be used to develop innovative
phosphorus) loads on the ecosystems of Lakes Malawi/
approaches to address a range of problems. Some of the major
Nyasa and Tanganyika.
examples from the case studies include:
While the briefs do not speculate on why scientifi c studies
·
For the Chilika Lagoon, modeling studies showed that
were not carried out in these and similar cases, it is possible
dredging a channel between the lake and the ocean to use experience from scientifi c input to management in
could improve salinity conditions and fi shery production
other fi elds to suggest the causes. First, decision makers
in the lake. The construction of the channel led to a
often see scientifi c inputs as time-consuming, expensive,
dramatic recovery in the fi shery and prawn catches. and inconclusive when they need to make decisions quickly.
Apart from restoring livelihoods of fi sherfolk, this action
It can be as diffi cult to persuade scientists that an imprecise
also helped alleviate a major source of confl ict among
but timely answer is required as it is to persuade decision
the local communities;
makers that a delay of a year while waiting for factual
information can be cost-effective in the long term. Second,
·
At the Kariba Reservoir, ecological studies showed scientists are often poor communicators with both decision
how introduction of a fi sh (Limnothrissa miodon) into
makers and stakeholder groups. They can have diffi culty in
an ecological niche opened up by the formation of expressing their fi ndings in ways that have meaning to non-
scientists. Finally, it can be very diffi cult to get scientists from
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Chapter 8

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Assessing Baseline Conditions
disciplines as diverse as sociology, biology, and hydrology to
work together. This integrative approach to scientifi c studies
Baseline monitoring programs have been in place at all of
is particularly necessary in understanding lake basins, where
the study lakes located in industrial countries and in some of
so many processes (terrestrial and aquatic; biophysical and
those in developing countries. Two examples from developing
socioeconomic; physical and ecological) interact. These countries illustrate the value of baseline monitoring:
diffi culties affect scientifi c studies in the industrialized world
as much as they affect the developing world.
·
The Lake Nakuru brief notes that the monitoring data
demonstrate the high degree of natural variation that
The Use of Models
can occur in the lake's water levels due to high levels
of evaporation and water abstractions, as well as
A wide range of models have been used for the lakes in this
infl uences from more global phenomena, such as global
study, ranging from the simple to the complex. A complex
climate change. All are causing dramatic changes in the
hydrodynamic model of circulation patterns was used to assess
lake's limnological characteristics. By having information
the likely benefi ts from different lake openings in the Chilika
on this natural variation, decision makers are better
Lagoon before the new opening was dredged to the ocean.
positioned to recognize and evaluate the impacts on the
Modeling fi ve scenarios for Lake Peipsi/Chudskoe showed
lake from human activities in its drainage basin; and,
that nutrients from nonpoint sources were the principle issue
to be tackled, and that they were likely to decrease as a result
·
Monitoring data collected over the past several years
of reduced usage of fertilizers in the Russian Federation. On
at Lake Ohrid suggest that both the phytoplankton
the other hand, a model was constructed of Lake Victoria, but
and zooplankton communities in the lake are changing,
it has not proven useful to understanding the processes in the
consistent with the increasing eutrophication of the
lake or been infl uential with decision makers because of its
lake. This baseline monitoring makes it unequivocally
complexity and data demands. The issue of model complexity
clear to the basin communities that there is a need to
also was illustrated at the North American Great Lakes. Five
control nutrient loads to the lake.
different eutrophication models, ranging from the simple to
the complex, were used to determine the phosphorus target
While long-term monitoring provides the best baseline picture
loads for the North American Great Lakes (International of a lake basin, even short-term or even historical studies can
Joint Commission 1978). Despite their range of complexity, prove valuable. For example, the classic research by Talling
they tended to converge on the same targets, implying that
and Talling (1965) and Talling (1966) on Lake Victoria in 1961
the simple models were suffi cient. Lake Naivasha (Box 8.2)
has been used to show that the lake's zooplankton changed
provides another example where a simple, spreadsheet model
dramatically from being diatom-dominated to cyanobacterially
proved to be infl uential in aiding management.
dominated. In another example, studies on the endemic
species of Lake Dianchi in the 1950s helped scientists
It is noticeable how often simple models have proven understand past conditions in that lake as they attempt to
successful. However, the lesson is not that simple models are
conserve its biodiversity.
best--it is doubtful if the Chilika Lagoon requirements could
have been met with a simple model--but that the complexity
Long-term monitoring can have serendipitous effects. For
of the model needs to be matched to the capacities of the
example, the Lake Biwa brief describes how long-term
users, the available data, and the demands of the task.
records of snowmelt, together with lake water temperature
and dissolved oxygen concentrations, provided indications
It is essential that the model design be driven by lake on the potential effects of global warming on the lake. The
basin managers and other stakeholders and not by the North American Great Lakes brief also notes that both formal
model developers. Initial brainstorming sessions between and informal data sets "become invaluable in monitoring and
stakeholders and model developers can substantially facilitate
interpreting ecosystem changes often unrelated to the purpose
this goal, along with the participation of local experts and for which the data were originally collected."
offi cials in its development. A conceptual model developed at
an early stage of a lake basin management project can help
However, lake basin-wide monitoring programs in
identify data needs and required sampling and monitoring transboundary lake basins need to be consistent across
efforts.
national borders. If inconsistent data--different parameters,
different sampling and analysis techniques, different locations
The Value of Monitoring
and frequencies, and so on--are collected, then it can be very
diffi cult to develop a reliable picture of the status of the lake
Monitoring of a lake and its basin can provide valuable insights
basin. There are a number of examples in the lake briefs where
into the lake basin's baseline condition and changes over the environmental status of transboundary lake basins has
time, including any changes from the effects of management
been diffi cult to access because of inconsistent monitoring
actions.
programs. At Lakes Ohrid and Xingkai/Khanka, there have
been recent efforts to harmonize monitoring programs with
GEF assistance. The fi rst lake-wide status reports have been
Information
71

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produced for both lakes. Harmonizing monitoring procedures
Sharing Information
is not easy when the transboundary lake is only one out of
many waterbodies in each country. The Xingkai/Khanka brief
For maximum effect, the results of scientifi c studies should be
makes the additional point that research efforts also need made available in language that decision makers and resource
to be coordinated across national boundaries. To date, lack
users can understand. This is an important point since it is a
of dialogue on research fi ndings for the drainage basin has
common experience for scientifi c information to be put aside
prevented harmonized, cost-effective management actions because those who could potentially use it do not understand
regarding transboundary environmental issues.
it. The following are some of the ways in which information at a
study lake basin was made available to stakeholders.
Assessing the Effects of Interventions
Monitoring can help managers assess the effectiveness of Use of Indicators
their interventions. The Lake Dianchi brief describes how The public and decision makers do not easily understand many
monitoring has shown that the pollutant loads entering the
scientifi c parameters. For example, while water transparency is
lake have increased in recent years. It also shows that policies
a fairly easy concept to understand, chemical oxygen demand
to reduce the loads from individual enterprises have been (COD) is more obscure. Therefore, many of the study lakes
successful. The increased loads to the lake are the result of an
have developed "indicators" to provide easy-to-understand
increased the number of polluting enterprises and population
summaries of scientifi c monitoring results.
in general. Without the monitoring information, the policies
would probably have been declared failures. On the other The development of indicators has been the subject of major
hand, the Lake Chad brief noted that, because of the absence
biennial conferences in the North American Great Lakes basin
of transboundary monitoring and a lack of political will, past
(Box 8.3). At Laguna de Bay, water quality data are presented
agreements on the conservation and development of basin
in a simple schematic diagram called the Water Mondrian.
resources could not be enforced, resulting in detrimental Inspired by the work of the Dutch painter, Piet Mondrian, it
impacts on the lake ecosystem.
presents technical information in the form of simple lines and
Box 8.3 Evolving Indicators: The State of the Lakes Ecosystem Conference (SOLEC)
The purpose of the U.S.-Canada Great Lakes Water Quality Agreement (GLWQA) is "to restore and maintain the physical,
chemical, and biological integrity of the Great Lakes Basin." To evaluate the GLWQA's progress toward this goal, the U.S.
Environmental Protection Agency and Environment Canada biennially host a State of the Lakes Ecosystem Conference
(SOLEC) to report on the state of the Great Lakes ecosystem and the major factors impacting it, including environmental
and socioeconomic indicators. SOLEC also provides a forum for information exchange and discussion among people in all
levels of government, corporate, and not-for-profi t sectors that make decisions affecting the Great Lakes. To date, fi ve SOLEC
conferences have been held.
·
SOLEC 1994 addressed the entire lake system, emphasizing aquatic community health, human health, aquatic habitat,
toxic contaminants and nutrients, and the changing Great Lakes economy.
·
SOLEC 1996 focused on areas where biological productivity was greatest and humans had maximum impacts, including
nearshore waters, coastal wetlands, lakeshore lands, impacts of changing land use, and information availability and
management. Also recognized was the need for a comprehensive set of indicators to allow the governments to report
on progress made under the GLWQA in a predictable, compatible, and standard format.
·
SOLEC 1998 focused more formally on the indicator development process, with development of a suite of easily
understood indicators that objectively represented the condition of the Great Lakes ecosystem components, as called
for in the GLWQA.
·
SOLEC 2000 reported on the state of the Great Lakes on the basis of 80 science-based indicators developed since
SOLEC 1998. It also introduced a new group of "Societal Indicators", which seek to measure both human activities
impacting the environment, and the societal action(s) taken in response to these environmental pressures.
·
SOLEC 2002 continued to update and assess the state of the Great Lakes, focusing on 43 indicator assessments used
to provide the most comprehensive analysis to date of the Great Lakes Basin Ecosystem. It also presented a candidate
set of "Biological Integrity" indicators, as well as proposed indicators for agriculture, groundwater, forestry, and
society responses, which, as a part of the "Societal Indicator" suite, measure positive human responses to ecosystem
pressures.
Work continues on the Great Lakes indicator suite, including efforts to streamline the reporting requirements of the GLWQA,
and to report progress under it within the context of management challenges and actions. Further information can be found
at: http://www.epa.gov/glnpo/solec/
Source: North American Great Lakes Brief.
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Chapter 8

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colors in an easily understood format (see Laguna de Bay brief
Science Center established at Barkul at the Chilika Lagoon
for a diagram).
basin for hydrobiological and other studies during 1999­2002.
The Lake Champlain brief highlighted the value of developing
The GEF has developed a framework consisting of three types
a lakefront laboratory and science museum as a means of
of indicators (process indicators, stress reduction indicators,
fostering effective management within the drainage basin.
and environmental status indicators) that can be applied The Lake Biwa Museum is a longstanding and very successful
fl exibly and allow easy evaluation of the progress of projects
example of a lake science center devoted to dissemination of
(Duda 2002). Process indicators measure the establishment
information and data about the lake basin and its problems.
of an institutional and political enabling environment for lake
Based in part on these successes, museums and information
basin management. In the initial phases of projects, process
centers are proposed or planned for the Bhoj Wetland and
indicators may be the only indicators of progress (for example,
Lakes Sevan, Toba, Victoria and Issyk-Kul.
establishing country-specifi c inter-ministerial committees,
documentation of stakeholder involvement in planning Involving People
efforts, or country ratifi cation of conventions or protocols Many of the case studies show the benefi ts of directly using
pertinent to a lake basin project). Stress reduction indicators
people to gather and provide information. The benefi ts
measure on-ground actions and investments implemented include building greater ownership among stakeholders for
within the lake basin. Examples include implementation of management actions and augmenting the monitoring efforts of
nonpoint-source pollution programs, releases of water from
scientifi c staff, particularly in developing countries. Examples
dams for environmental purposes, or enforcement of specifi c
include the following:
fi shing policies. Environmental status indicators are measures
of improvements in the quality of lakes and lake basins. ·
Akanoi Bay basin, which feeds into the South Basin of
Examples include improved (measurable) chemical, physical,
Lake Biwa, used to be famous for fi refl ies. Changes in
or biological parameters in a lake, improved recruitment
landscape (mainly the channeling of rivers and loss of
classes of targeted fi sh species or diversity, or changes in
natural habitats) have led to a decline in the number of
local community income and social conditions as a result of
fi refl ies. A local NGO implemented various restoration
improved environmental conditions.
projects, with the indicator of success being an increase
in the number of fi refl ies--a simple indicator of
The information collected in this project has been used to
restoration progress;
further develop the process indicators for assessing progress
in good governance of lake basins (World Bank 2005). For ·
At Lake Victoria, water hyacinth control efforts are
example, the lake briefs show that good practice in the
carried out and monitored by local fi shing communities,
involvement of stakeholders in lake basin management is
who are best positioned to carry out such work;
characterized by:
·
The Lake Tanganyika brief notes the importance of
·
Having all relevant stakeholders involved;
involving the local communities in data collection.
However, it does suggest limitations on the extent of
· Allowing
suffi cient time for stakeholders to develop the
this involvement, since the collection of water samples
capacity to be engaged and to become familiar with
or reading of water/rain gauges may not be appropriate
issues;
for communities that are not trained to undertake such
tasks; and,
·
The use of existing representation structures such as
local governments, NGOs, and traditional organizations;
·
The Lay Monitoring Program in Lake Champlain has
conducted lakewide monitoring of eutrophication
·
Having clearly defi ned roles for stakeholders, preferably
parameters using citizen volunteers every year since
defi ned in government policy; and,
1979. The information collected by these citizen
monitors has been used to develop state water quality
·
Having access to suffi cient resources for stakeholders to
standards.
be effectively engaged.
Undertaking Science and Monitoring
Similar characteristics have been identifi ed for the other
indicators of governance processes--clear national policy, Resident Research Organizations
effective institutions, effi cient rules for allocating resources,
A number of the study lake basins had resident organizations
scientifi c information, and suffi cient fi nances for both to carry out both required and elective research, together with
operations and investments.
monitoring and coordinating information gathered by various
sectors.
Museums and Information Centers
Lake-based museums and centers can also help disseminate
Lake Champlain (along with Lake Biwa and the North
scientifi c and other information. One example is the Lake American Great Lakes) provides an example of how science
Information
73

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and monitoring can play an important and effective role in
helped guide the development of the Lake Ohrid State of the
lake basin management. Nearly two dozen representatives Environment report. Lake Toba researchers have also benefi ted
from the scientifi c community have been brought together in
from an exchange program with staff from Lake Champlain, its
a Technical Advisory Committee (TAC) to examine the scientifi c
sister lake.
issues of every major policy question, and provide policy
and budget guidance to the Lake Champlain Basin Program's
Integrating Knowledge
Steering Committee each year. The TAC also oversees research
The complexity of lake processes and the close links between
and implementation projects to ensure their scientifi c merit
lakes and their basins means that scientifi c studies need to be
and application to lake basin problems. Links to management
integrated across disciplines. Lack of integration was explicitly
are further strengthened by the chairman of the TAC, a identifi ed as a shortcoming in the Lakes Toba and Chad, the
nongovernmental scientist who also holds a seat on the Lake
North American Great Lakes, the Tucurui Reservoir, and the
Champlain Steering Committee. When scientifi c information Bhoj Wetland briefs. At Lake Toba, the agencies conducting
is needed to guide a management decision, the Steering various research projects kept much of their results and data
Committee allocates funds to support research or monitoring
to themselves for reasons of prestige and dominance. As a
to address the knowledge gap.
result, there is no sound, comprehensive research project
covering the major aspects and concerns of the lake basin.
Internationally Funded Programs
Internationally funded studies can assist when developing The North American Great Lakes brief states that the previous
countries do not have resident scientifi c institutions able to
single-issue approach has proven valuable to a point, but now
carry out the necessary research. For example, Lakes Malawi/
the need is for a multidisciplinary approach. The Lake Titicaca
Nyasa, Victoria, and Tonle Sap have received much attention
brief describes how the Binational Master Plan was based on
from foreign scientists, although the information has yet to
an integrated study of the lake and its basin. The recent Lake
have a major infl uence on decision making.
Victoria stocktaking report (Hecky 2003) and the Lake Ohrid
State of the Environment report (Watzin and others 2002)
Carrying new knowledge forward into action is a common illustrate the value of an integrated approach, although the
problem in many development projects. The scientifi c
Lake Victoria research did not have a well-integrated research
component of a project tends to last long enough to gather and
design at the beginning. However, none of these reports has a
analyze information, but not long enough to follow through
signifi cant socioeconomic component.
with the implementation of results. This is partly because
implementation is usually viewed as the responsibility of GEF Transboundary Diagnostic Analysis
governments. Unless the project builds strong linkages between
Generating consistent knowledge for transboundary lake
local researchers and international experts, there is seldom a
basins is especially problematic because of different levels
mechanism for continuity. This problem can be exacerbated by
of development in riparian countries, different priorities, and
the lack of interest or political will by government agencies to
different scientifi c standards. The Transboundary Diagnostic
follow through on project recommendations.
Analysis (TDA) process has been devised by the GEF-IW
focal area to help overcome this problem (Mee and others,
Any collaboration with international groups should include 2005). It identifi es and analyzes the scientifi c, technical, and
a training component that transfers as much knowledge as
socioeconomic information relevant to determining the major
possible to local institutions. Without it, there is a cycle where
problems hindering the sustainable use of lakes and their
riparian states are forced to rely heavily on expatriates to resources, as well as the transboundary nature, magnitude,
undertake tasks that would otherwise have been undertaken
and signifi cance of the various elements as they pertain to
by local experts. The LLDA provides an example, in which local
water quality, quantity, biology, habitat degradation, and/or
ability is well supported and developed. Because of its limited
confl icts; identifi es the root causes of the problems; and
staff numbers, LLDA has teamed with international and local
ideally provides information and understanding on the types
academic and research institutions. The LLDA has taken on the
and magnitude of the programs and activities needed to
role of commissioning the necessary research and ensuring
address the problems. A properly conducted TDA will serve as
it infl uences management. At present, it is an active partner
a comprehensive information and database for the subsequent
of the University of the Philippines-Environmental Forestry development of a Strategic Action Program (SAP) comprised
Program in the implementation of the Philippine Millennium
of activities, projects, and remedial measures needed to
Ecosystem Sub-Global Assessment, with a focus on the Laguna
ensure the sustainable use of a transboundary waterbody
de Bay ecosystem.
and its resources to the overall benefi t of all drainage basin
inhabitants.
There were a number of cases in the lake briefs of successful
collaboration between local and outside researchers. Lake The joint development of a TDA provides riparian countries
Baikal has developed a sister lake relationship with Lake Tahoe
with a forum for cooperating and collaborating in the exchange
in the United States. The Lake Ohrid Conservation Project of information, and for working together to develop common
had a scientifi c advisor from its sister lake, Lake Champlain,
lake basin goals. It also contributes to transparency and
who advised on the monitoring component of the project and
accountability as part of the development of wider regional
74
Chapter 8

---

Table 8.1 The Production of TDAs and SAPs for the Eight
cooperation. This cooperative element is probably as valuable
GEF-IW Lake Basins.
as the assemblage of scientifi c information. For this reason, the
Lake Basin
TDA
SAP
GEF recommends that the development of the TDA be overseen
Aral Sea1
No
Yes
by a high-level (preferably inter-ministerial) committee from all
lake basin countries to provide strong country ownership of
Chad
Yes
Yes
the identifi ed problems and preliminary actions.
Cocibolca
In progress
In progress
Ohrid2
Yes
Yes
Eight projects in this study were funded under the GEF-IW focal
Peipsi/Chudskoe
No
No
area; only three of these have produced TDAs and SAPs (Table
8.1). Although there was very little comment in these lake briefs
Tanganyika
Yes
Yes
about the production of TDAs and SAPs, it was clear that the
Victoria3
In progress
In progress
signing of a Convention for Lake Tanganyika was assisted by
Xingkai/Khanka
In progress
In progress
the TDA process and the collaboration at Lake Ohrid in jointly
1.
Although no TDA was carried out during the GEF-funded
assembling data and developing the state-of-the-environment
Aral Sea project, there was suffi cient information available
report was central to the development of a comprehensive
for a SAP to be produced.
management plan for that lake system. The Lake Tanganyika
2.
The State of the Environment report for Lake Ohrid is
TDA is described in Box 8.4. The Lake Xinghai/Khanka brief
equivalent to a TDA and led to a SAP being agreed.
stated that there have been great benefi ts already from
3.
The TDA and SAP for Lake Victoria are being produced as a
collating data and information across national boundaries.
separate, short-term project.
However, the Lake Cocibolca brief warned that, even though
Box 8.4 The Lake Tanganyika Transboundary Diagnostic Analysis
The Lake Tanganyika Biodiversity Project commenced in 1995. Its objective was to "...establish a regional long term
management programme for pollution control, conservation and maintenance of biodiversity in Lake Tanganyika."
The main threats to Lake Tanganyika's biodiversity were identifi ed by the country representatives at a workshop early in the
project. These threats were:
· Unsustainable
fi sheries;
· Increasing
pollution;
·
Excessive sedimentation; and,
· Habitat
destruction.
The representatives ranked the perceived threats in order of national priority. A preliminary TDA was developed based on
this information as well as the outputs of a series of national review meetings. The preliminary TDA brings together the four
national review exercises and adds the regional and transboundary perspective. The fi nal TDA was undertaken following the
completion of a special studies program and the preparation of reports directed at the specifi c information requirements of
the TDA.
The TDA is structured as a three-level matrix with the four main threats to the lake, the transboundary implications, the
institutional problems and the general action areas constituting the fi rst level (Table 8.2).
Table 8.2 Level 1 of the Three-level Lake Tanganyika TDA.
Main Threat to Biodiversity
Cross-Cutting
Cross-Cutting
General Action Areas
and Sustainable Use
Transboundary Implications
Institutional Problems
· Unsustainable
Fisheries
· Global Loss of
· Lack of Resources
· Reduce Impact of Fishing
· Increasing
Pollution
Biodiversity
· Poor Enforcement of
· Control
Pollution
· Excessive
Sedimentation
· Loss of Shared Fisheries
Existing Regulations
· Control
Sedimentation
· Habitat
Destruction
Resources
· Lack of Appropriate
· Habitat
Conservation
· Decline in Water Quality
Regulations for Lake
Tanganyika
· Lack of Institutional
Coordination
The second level has four parts, one for each of the four identifi ed General Action Areas. Each part describes the problems
that together form the threat that the General Action Area is addressing; the stakeholders that that will need to be involved;
the uncertainties where further information is required; and a Programme of Actions which address the specifi c problem. The
third level takes each specifi c problem and its Programme of Action and identifi es its timing; the key agency that would lead
a particular proposed Action; and the available human and material resources.
Source: Lake Tanganyika: The Transboundary Diagnostic Analysis. GEF, Washington, DC.
Information
75

---

a TDA will be produced, the lack of reliable data will affect the
quality of the SAP.
Although the evidence is limited, it appears that technical
collaboration during the process of producing an agreed
diagnosis of the problems affecting a transboundary lake basin,
including the priority actions for managing the problems, does
advance cooperation between riparian countries.
This lesson of the importance of developing a common
understanding based on factual information can also be
applied to sectoral institutions within countries. There is a
greater likelihood of institutions cooperating when they have
a common understanding of issues and potential management
actions. This need is most acute in the case of environment and
water resources institutions which are commonly responsible
for taking the lead in lake basin management. Consequently, it
is important that scientifi c information is both translated into
language that staff from these institutions can understand and
targeted at the management objectives of these institutions.
In addition, this information should be made accessible to the
public at large.
76
Chapter 8

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Chapter 9
Mobilizing Sustainable Financing:
Local, National and External Funds
Key Lessons Learned about Financing
·
Locally generated funds, such as water user fees, fi sh levies and pollution charges, can provide a stable and important
part of the fi nancial base for lake basin management. However, unless there is a high value use extracted from the
lake's resources, these funds are not usually suffi cient for lake basin management.
·
It is important that locally generated funds are largely retained locally and that there is involvement of resource users
in establishing and administering the fees.
·
Most funding for lake basin management comes from national and/or local sources. External funds should play a
catalytic, rather than a primary role for implementing lake basin management activities and investments.
·
Financing for capital infrastructure investments usually comes from the national level or from international resources;
local-level funding is an important source of money to help meet routine recurrent expenditures.
·
National funding, sometimes supplemented by external loans and grants from development organizations, is often
used for large capital-intensive investments. In some countries, such as China and the Philippines, national funds
constitute the major of capital funding; whereas in others, such as Kenya, Albania and FYR Macedonia, donor support
constitutes a major source of capital fi nancing.
·
The GEF is a major source of funds for improving the management of transboundary and globally important lake basins.
These funds are used to establish the enabling environment for successful ongoing lake basin management.
·
To ensure global benefi ts from lake projects, particularly in the case of international lake basins, a programmatic
approach from GEF and other funding bodies, would be better than a project-by-project approach. This approach would
also require a longer-term commitment from lake basin countries to sustainable management.
Sustainable lake basin management depends on sustainable
·
"Lack of fi nancial support in general and poor working
fi nancing. Management expenditures are comprised of the
conditions in particular make it hard for the Preserve to
salaries, facilities and operating costs of the management
function in any normal way." (Issyk-Kul brief ); and,
organizations, including support for implementation of
regulations, monitoring, applied research and communication
·
"The assessment rates overall sustainability as
activities. These are complemented by expenditures for
unlikely. Staff incentives were reduced with a return to
infrastructure investments, often undertaken by specialized
government salaries. Malawi cannot provide suffi cient
agencies, including their operation, maintainence and
budget to sustain the lake research program..." (Lake
replacement (OM & R costs).
Malawi/Nyasa brief ).
According to the briefs, securing suffi cient fi nancial resources
Expenditures are of two major types:
is a constant concern:
·
Large, discrete capital investments, typically associated
·
"The Government has been suffering from acute
with investments in technological solutions such as
shortages of resources and this has weakened the
sewage treatment or hydraulic works (Chapter 7); and,
capacity of remaining extension staff to carry out its
activities." (Lake Nakuru brief );
·
Day-to-day OM&R costs, largely salaries and operating
costs.
·
"It is unclear how successful projects developed under
the GEF project will continue to receive funding now that
In most countries in economic transition and in developing
the (GEF) project is over." (Lake Baikal brief );
countries, neither cost is fully met from local resources.
National governments and foreign donors typically provide

---

funds for capital investments. This is likely to continue because
high value, such as drinking water or hydropower generation.
of the size and infrequency of these investments. However,
For example, Lake Biwa has been very successful in attracting
regular, ongoing expenses can be met, at least partially, from
money from Osaka and Kyoto (which use the lake's water
local funds, although in most lake basins these local funds
for domestic and industrial purposes) for investment and
need to be augmented with national sources.
management costs to help protect the lake's resources. In
fact, total public investment in the Lake Biwa region for lake
In principle, all stakeholders using lake basin resources basin management from 1972 to 1997 was $18 billion, most
should contribute to the management of those resources so
of which was paid by national and downstream sources. The
that their quality is maintained. However, in most lake basins
Kariba Reservoir provides another example. The lake's water is
the numbers of people involved are large and the ability of
used for hydropower generation. The operational costs of the
many to pay is very limited. In addition, there is often no Zambezi River Authority, which manages the lake basin, were
effective institutional mechanism to collect money from funded from the revenues of the energy generating authorities
individuals and make the required investments or payments.
in the riparian states of Zambia and Zimbabwe.
The administrative costs of collecting fees or charges can be
substantial. Hence the focus of this chapter is on practical
The Armenian community provides another example of a local
steps that can be taken to develop sustainable fi nancing for
community that benefi ts from the resources of a lake. Although
improved lake basin management.
not discussed in the Lake Sevan brief, a recent study (Laplante
and others 2005) has estimated that Armenians living in
While obtaining suffi cient funds will remain a problem for Yerevan, the capital, are willing to pay around $18 per person
almost all lake basin managers, the lake briefs provide for the continued existence of Lake Sevan at its present level.
examples of how additional fi nancing can be obtained. This is a substantial sum given the per capita GNI of $950 in
For example, judicious investment in knowledge gathering Armenia (World Bank data, 2003, Atlas method). Additional
(monitoring and scientifi c studies) can help target management
research is looking at the willingness of expatriate Armenians
interventions so that funds are used effi ciently, and high rates
to pay for the lake's existence. These numbers are expected
of fee collection can be achieved if users of the lake's resources
to be much higher. The challenge, of course, will be to collect
are given a genuine say in the management of the lake basin.
some of these potential contributions.
Most money for lake basin management has come (and will
Private funding is a subset of locally generated funding and
continue to come) from sources within each country. In this
is usually only important when the number of stakeholders
chapter, we use the case studies to examine the three principal
is small and the community is both relatively rich and socially
sources of funds:
cohesive. The stakeholders can band together to make needed
investments and enforce certain management policies. For
·
Local sources (including user fees and other locally example, the LNRA is an example of a relatively wealthy
generated revenues);
interest group that has joined together to protect the lake's
natural resources.
· National-level
fi nancial resources; and,
In many countries, the legal framework states that all money
·
International funding, including both bilateral and collected from user fees has to go to the national treasury.
multilateral funds (including the GEF).
Local water resources managers are discouraged from
collecting these fees if the funds are not to be retained for
Locally Generated Funds
local purposes. Where these revenues can be retained for
local use, collection rates are relatively high and have been
Locally generated revenues typically consist of payment for
applied successfully to meet local needs. Thus, the Tanzanian
services provided by lake basins (such as charges for use of
government has allowed water user fees to be retained for
raw water or recreational or economic use of a lake) or for
local use at all its nine river and lake basin water offi ces,
the use of the lake to dispose of wastes. Local revenue can
including those for the three African Great Lakes included in
also come from fi nes for not adhering to the conditions of a
this study. Under a separate policy, a trial of fi sh levies has
license or permit. These funds are collected from direct users
been successfully tested in the Tanzanian part of Lake Victoria
(and benefi ciaries) of lake resources such as fi shermen; those
(although the water user fees and the fi sh levy are collected
who benefi t from the lake as a source of ecosystem services
by separate agencies, their use is not complementary to each
(such as people who benefi t from fl ood mitigation); and those
other, thus important opportunities for strengthening lake
groups whose activities pollute the lake (such as industries or
basin management are being lost). At Laguna de Bay, fees from
municipal wastewater disposal systems).
fi sh-pen operators are split between the lake basin authority
(LLDA) and local governments, with the latter component being
Locally generated funds include those collected from people
applied locally to projects or activities related to environment,
who benefi t directly from the lake basin's resources. These
livelihood, river embankment and fl ood protection works, and
include revenues from downstream users of a lake's resources.
watershed development.
These funds are most valuable if the downstream uses have
78
Chapter 9

---

User Fees
levies that have been trialed in the Tanzanian part of Lake
A user fee is a charge that is paid by those who derive a Victoria provide another example of payment by industry for
benefi t from the direct, or indirect, use of the lake. In practice,
the services provided by a lake basin.
however, user fees have been instituted for direct use of lake
resources such as water and fi sh. These resource users have
Half of the lake basins in this study have per capita GNI that
both an interest in the conservation and management of the
falls in the "lower income" range (less than $765/yr). In the
lake's environment, and an implicit responsibility to help pay
most extreme case, the Lake Malawi/Nyasa basin has a per
for that conservation and management. Education and public
capita GNI of only $217. While it is argued in some lake briefs,
awareness are central components of any new user fee system.
such as the Chilika Lagoon brief, that some benefi ciaries are
For example, user fees from fi sh-pen operators in Laguna de
too poor to bear the costs of water resources management, it
Bay in the Philippines (Box 9.1) have become an important
is equally clear that they bear signifi cant costs if management
source of funds for the LLDA. This example also illustrates of the resources is not funded. In addition, the important point
the importance of agreeing on a distribution of the funds with
about locally generated funding is to establish a cause-effect
responsible institutions, such as local government.
link between the resource and those who benefi t from its use or
conservation. This helps create general public awareness and
Tourism, both national and international, is another resource
expectations about appropriate and effective management.
use where user fees (admission fees, daily use charges) can be
used to produce revenue for improved lake basin management.
Introduced properly, resource user fees can be accepted by
For example, at Lake Nakuru, visitors to the national park even the poorest communities. In some cases, a potential
to see the fl amingos and other wildlife pay a user fee. This
source of local revenue is through a fi sh levy. The fi sherfolk at
practice could be extended to other lakes, where there is Lake George, among the poorest in the world, have agreed to
a clearly defi ned lake basin-related tourism activity (such pay an annual fee (about $1.50) to LAGBIMO, the lake basin
as birdlife at Lake Baringo). Tourism is an important source
coordinating body. This fee is acknowledged to be inadequate
of income at the Kariba Reservoir, although it has yet to be
for funding management costs, but implementing even a
accessed for helping fund lake basin management. Recreation
partial user fee system--along with the necessary community
is another use that can provide a source of local fi nance (for
involvement, accountability, and transparent management--is
example, Lakes Constance and Ohrid, and the North American
part of the larger reform of lake basin management and can
Great Lakes).
begin to generate some revenues for improved management.
In another example, the Chilika Development Authority has
Healthy lake basins provide services and physical products
already initiated a process of self-fi nancing through local
to industries too. In Indonesia, for example, the management
benefi ciaries, although the sources of these funds are not
authority for Lake Toba has been working with various described in the lake brief.
stakeholders to increase its funding base for improved lake
basin management. In particular, a wood-pulp producer, PT
Pollution Charges
Toba Pulp, is working with the local community to ensure its
Fees can also be levied on those whose actions potentially
forestry activities are more "environmentally friendly." An damage the lake and its sustainable use. Pollution charges
important ingredient for success with resource user fees is
serve a double purpose; they generate revenue to address
the local retention of at least part of the fees collected. PT
the pollution issues or compensate those who are hurt by
Toba Pulp also sets aside 1 percent of its net revenue (about
the pollution, and they serve as an incentive for polluters to
$500,000) for the use of the local government for improved
decrease their pollution. These aspects of pollution charges
environmental management in the lake basin. The fi sh catch
are illustrated at Lake Dianchi (Box 9.2).
Box 9.1 User Fees at Laguna de Bay, the Philippines
The Laguna de Bay managers have used several different types of user fees to help both generate revenues and provide an
incentive for polluters to reduce pollution. They have adopted a fl exible, responsive system to allow them to make revisions
based on the results of monitoring.
Revenues from a user fee on fi sh-pen operators are shared between the local government units and the Laguna de Bay Lake
Development Authority (LLDA). The fee, currently about $120 per ha of fi sh pens, generates revenues for improved lake basin
management and makes the lakeshore communities active stakeholders in lake basin management.
While the fee has successfully generated income for LLDA and local governments, it does not act to discourage undesirable
impacts. The fee became an end in itself; as fi sh-pen numbers expanded, revenues rose. However, the expansion led to
confl icts between pen operators and marginal fi shermen who rely on access to open water fi shing. In 1983, the confl ict led
to loss of lives and properties. Nor did the fees act to discourage the increase in nutrients lost from the pens as a result of
overfeeding. (A different fee, the Environmental User Fee, was discussed in Box 5.3).
Source: Laguna de Bay Brief.
Finance
79

---

Box 9.2 User Fees in Lake Dianchi, China
Lake Dianchi, which is located near Kunming, China, is the center of a major urban, industrial, and tourism region. Pollution
from industry, agriculture, and urban sewage was a major problem. The lake authorities have made major investments in
sewage and wastewater control. In the year 2000 alone, they spent over RMB 340 million (about $41.5 million). To address
the ongoing problem of industrial pollution, the lake authorities have combined a pollution levy system with a loan/grant
program for installation of pollution control equipment.
Starting 15 years ago, old industries were charged a pollution levy if their discharges exceeded the stated discharge standard.
In addition, the 1988 Dianchi Protection Ordinance prohibits the introduction of any new polluting industries in the Lake
Dianchi basin.
Existing industries, when taking actions to control pollution, were provided with loans from the government for the required
investments. These loans were funded by a combination of the environmental pollution levy receipts plus special funds
allocated for lake basin environmental improvements. As an added incentive, if it was shown that after the pollution
controlling investments were made the industry could then meet the pollution discharge standards, the loan was converted
to a grant and no repayment was required. By combining government investments, pollution levies, and a loan/grant program
for pollution controlling investments, the authorities have begun to tackle the major problem of pollution of this important
lake.
Source: Lake Dianchi Brief.
It can be important to set the pollution charge at a level that
feasibility aspects, administrative convenience, institutional
encourages a reduction in pollution loads but does not drive
arrangements, and acceptability; (3) pick one or two
fi rms out of business. For example, pollution fees at Laguna de
controllable parameters; (4) revise charges based on results
Bay were set iteratively. Regardless of how carefully charges
of monitoring; (5) create a strong and credible regulatory
are adjusted, there may well be cases where some fi rms will
arm with multistakeholder orientation; and (6) set pollution
have to close, since the costs of either correcting the pollution
charges at all levels from zero discharge and increasing above
or paying the charges are too high. This has been the case
the effl uent standards.
at Lake Dianchi, where 249 previously polluting industrial
enterprises met the water discharge standards in response to
National Funding
the cleanup program and four enterprises closed down.
Most lake basin management programs rely, entirely or
While locally generated funds--both water resource user fees
in part, on fi nancing from the national or provincial/state
and pollution charges--are probably still only a small share
government, either through sectoral ministry budgets or
of lake-management funding at most lake basins, it is the special appropriations for integrated lake basin management.
part of the funding package that has the most potential for
National-level funding is often insuffi cient in amount and may
future growth. Few of the lake briefs provide details of local
not be sustainable, particularly if the lake basin is remote or
funding sources. However, the Laguna de Bay Brief shows populated by a minority group, or when issues pertaining to
that the percentage of income derived from water resource
that lake are competing with other priority concerns.
user fees (for fi sh pen) and permits to discharge wastes has
risen in recent years (Table 9.1), while income from fi nes for
National funding is often essential for capital infrastructure
noncompliance with permits has fallen.
investments. These large investments--for such things as
wastewater treatment, major water supply projects, or fl ood
The Laguna de Bay experience with pollution charges has been
control or dredging works--are rarely funded at the local
to start simple and fi ne tune as experience builds up. Their six
level because of the size of these investments or because
recommendations are (1) select a simple, modest approach;
the benefi ts may be quite wide ranging and long term. For
(2) start with a sector-based pilot to help understand example, from 1991­2001, the state of Vermont spent over $20
Table 9.1 Contributions to Local Sources of Income at Laguna de Bay.
Percentage contribution
Funding Source
1997
1998
1999
2000
2001
2002
Fish-pen fees
24
24
25
34
26
40
Discharge permits
10
13
12
12
15
22
Pollution fi nes
23
28
24
18
23
14
Interest on securities
18
16
15
13
16
8
Miscellaneous
25
19
24
23
20
16
Total
100
100
100
100
100
100
80
Chapter 9

---

million on reducing phosphorus discharges from municipal priority these activities are given in the allocation of loans and
wastewater treatment plants in the Lake Champlain Basin, grants from international sources.
and New York spent over $10 million building and enhancing
wastewater treatment plants. From 1991­98, Quebec invested
External funds are not necessarily essential for successful
over $13 million in construction of wastewater treatment for
lake basin management in countries in economic transition or
areas discharging to the Lake Champlain Basin and Richelieu
developing countries. Some lake basins in developing countries
River.
have no, or very limited, external funding. For example, the
primary source of funds to control pollution of Lake Dianchi
In lake basin activities that do not involve large capital and restore its ecosystem comes from Chinese government
investments, national government funding of lake basin sources. By the end of 2000, 2.1 billion yuan ($250 million),
management is usually delivered through the budgets of including part of a World Bank loan, was spent supporting the
sectoral agencies, such as Forestry or Water Resources completion of 17 engineering projects. This lake basin program
departments. For example, during the World Bank-supported
has achieved some success in controlling industrial point
Orissa Water Resource Consolidation Project, the Chilika sources of pollution, treating effl uent discharges, restoring
lagoon basin remediation activities were implemented by the
forest cover in the lake basin, and removing contaminated lake
Agriculture Department, Soil Conservation Department, Forest
and river sediments. The Chillika Lagoon and Laguna de Bay
Department, Fisheries Department, Department of Water provide other examples of successful lake basin management
Resources, Bhubaneshwar Development Authority, Orissa programs that were primarily funded from national sources.
State Pollution Control Board, and the Tourism Department.
The Chilika Development Authority coordinated these activities
External funding has benefi ts and costs. It allows managers
to ensure they contributed toward the lake basin's restoration.
to implement more policy reforms and undertake more
investments, but is usually not sustainable over time if
External Funding
efforts to develop local sources of revenues for lake basin
management are not developed. For example, without this
About two thirds of lakes in this study had some sort of external
important provision, the average GEF project is a one-time
support. External funding is often used for infrastructure investment over 3 to 5 years. Consequently, it is important that
investments where it supplements national government external funds are used to initiate management changes that
funding. Supplemental funding can range from a marginal are self-sustaining within the basin countries. The lake briefs
share of the total to the bulk of management funding. For these
refl ect this requirement that external funds play a catalytic,
jointly funded investments to be fully effective, there needs to
rather than an implementing, role in lake basin management.
be a clear agreement between the government and the donor
Basic ongoing funding has to come from national and/or
about how their respective commitments will be integrated
local sources if improved lake basin management is to be
and a mechanism to make sure that each party abides by its
sustainable.
commitment. For example, the Japanese government funded
the expansion of the Nakuru (Kenya) town water supply and
The Global Environment Facility
upgraded the town's sewage treatment plants to treat any The GEF is a unique mechanism in that it is based solely
consequent increase in effl uent being discharged to Lake on the fact that ecosystems, including lakes, have global
Nakuru. However, the benefi ts from these investments are environmental benefi ts and that the global community
not being fully realized because the Kenyan government has
should provide assistance in meeting the management costs
not fully met its obligations to fund the necessary reticulation
beyond what a country would normally provide to meet
infrastructure.
national benefi ts. Hence, GEF funding is designed to cover the
"incremental costs" of an activity--those costs that produce
External support can take the form of loans from the World
international environmental benefi ts over and above national-
Bank or regional development banks that have to be repaid.
level benefi ts.
"Hard" loans carry near market-determined interest rates;
"soft" loans or credits carry below-market, highly-subsidized
The GEF has a specifi c focal area to assist countries manage
interest rates and are generally only available to the poorest
transboundary waterbodies, including lakes. These funds
countries. Most bilateral assistance (such as from the supplement funds provided by the riparian countries and other
European Union and individual donor countries) and GEF donors. Thus, in the case of Lake Peipsi/Chudskoe, GEF funds
funding are in the form of grants. Some lake basin projects
have partially assisted the governments of Estonia and the
combine grants with loans. For example, the fi rst phase of the
Russian Federation set up the institutional environment for
Lake Victoria Environmental Management Program includes a
successful lake basin management, including transboundary
GEF grant of about $36.8 million, a "soft" loan from the World
cooperation and information exchange and the development
Bank of about $35 million, and a $7 million contribution from
of a transboundary water management program. The two
the three national governments. A key issue is the inadequate
governments have signed three agreements (fi sheries,
integration of institutional and investment costs for lake basin
environment, and water use) and have set up a Transboundary
management into the planning and budgeting system at the
Water Commission to improve the management of the lake
national and local level within countries, and the limited basin. In another case, the development and protection of Lake
Finance
81

---

Victoria has been hampered for many years by the absence of a
sources to reduce dependence on national government
broad agreement among the three riparian countries (Tanzania,
funding. Another consequence is that, with an increase
Kenya, and Uganda). However, with GEF, World Bank and other
in a programmatic approach to lake basin funding, it may
donor funding assistance, the three countries have collected
be possible to hold governments more accountable for
an extensive database of information on the lake basin and are
commitments to longer-term national contributions.
now drafting a transboundary diagnostic analysis and strategic
action program for the lake. If successful, this initiative will lay
the foundation for a joint approach to managing the lake and
much of its basin.
In other cases, where the lake possesses some globally
important values, the international community may need to
assist riparian countries with lake basin management. For
example, Lake Malawi/Nyasa, recognized to be one of the most
biodiverse in the world, is central to the economy of Malawi
but is of lesser importance to Tanzania and Mozambique.
Malawi operates an aquarium fi sh trade that exploits some of
the highly localized and rare fi sh species, while Tanzania and
Mozambique are developing agriculture and tourism within
the lake's catchment with the potential for adding sediment
and nutrients to the lake. There is considerable international
concern about the threat to the lake's biodiversity. Despite a
preliminary GEF-fi nanced biodiversity project and considerable
preparation work for a major follow-up project, the Government
of Malawi has decided not to give the conservation of the lake's
biodiversity a high priority.
However, the lake briefs note that, while highly valuable, the
short-term nature of these projects jeopardizes the long-term
sustainability of management improvements. There was
concern expressed at the African lakes workshop and in the
Lake Malawi/Nyasa brief that, when GEF funding ceased,
the activities being supported also ceased (The GEF-funded
Lake Malawi/Nyasa Biodiversity Conservation Project was a
small, early, pilot project). The brief on the Lake Baikal GEF-
Biodiversity project echoed the same concern: "it is unclear
how successful projects developed under the GEF project will
continue to receive funding now that the project is over." While
these comments may reveal a misunderstanding of the purpose
of the GEF funds, they still indicate that there is a need to make
the outcomes of GEF-funded projects more sustainable. While
it was not explicitly noted in the lake basin briefs, the GEF has
followed on from its initial investments at Lake Tanganyika and
Lake Victoria with second-phase projects aimed at building on
the achievements of the fi rst-phase projects.
While a programmatic approach to GEF funding would help
overcome this problem, it would also require a greater
commitment from national governments. The African and
Europe/Central Asia/Americas workshop attendees supported
greater commitment from national governments. The Lake
Malawi/Nyasa brief also complained that undertakings by
governments to incorporate responsibility for activities at
the end of the donor funding period are rarely honored. This
observation is valid for many externally-funded lake basin
management projects. One consequence is that externally
funded development projects may need to concentrate on
developing mechanisms for sustainable fi nancing from local
82
Chapter 9

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Section III
Synthesis
Chapter 10 on planning discusses how the components of lake basin management can be carried out in practice. Chapter 11
provides guidelines for taking action to improve lake basin ecosystems and benefi t the people who depend on lake basins.

---

---

Chapter 10
Planning for Sustainable Lake Basin Management
Key Lessons Learned about Planning
·
Planning processes for lake basins require the integration of the components of good management discussed in Section
II. Any plan for a lake basin needs to be aligned with regional and national plans for development and environmental
protection.
·
Plans vary in their levels of detail and breadth. By focusing on agreed goals, vision statements can be useful fi rst steps
to developing more detailed management plans.
·
Comprehensive plans have the advantage of improving effectiveness by integrating actions across sectors. However,
they can be expensive to implement, costly to coordinate, and infl exible in the face of changing political priorities.
·
Statutory plans provide control over day-to-day development activities in a lake basin through the existing legal and
institutional framework. Together with Environmental Impact Assessment and Strategic Environmental Assessment
frameworks, these existing statutory provisions need to be fully utilized. Implementation of statutory provisions
requires a good governance framework and associated institutional capacity.
·
At this stage, three of the eight GEF International Waters-funded projects in this study have produced Strategic Action
Programs. From the examples available, it appears that these SAPs have been benefi cial in promoting contact between
sectoral and national institutions and have laid the foundation for joint management interventions.
·
Coordination between sectoral and regional plans should fi rst take place where the pressures are greatest. They should
be phased over time and be opportunistic.
·
Sectoral or regional plans can be coordinated through (1) a separate coordinating project, (2) a post-hoc unifi cation of
outputs, or (3) a broadening in the scope of an initially narrow project as it achieves success and gains credibility.
·
Plans need to be fl exible in the face of changing social needs and external factors. They also need to be responsive to
the results of monitoring. Some activities may be less successful than envisaged, and new issues may be identifi ed
through the monitoring program.
This chapter covers two broad subjects. The fi rst explores The process of planning comprises the following stages:
how the terms "plan" and "planning" are used in lake basin
management as revealed in the lake basin briefs and how ·
Establishment of a goal (or a set of goals) agreed by the
they relate to the discussion of the components of lake
stakeholders;
basin management. The second focuses on the integration
of planning issues, including social consensus, scientifi c
·
Development of alternative strategies for reaching the
knowledge, and time factors.
goal;
Planning for Sustainable Lake Basin Management: A
·
Selection of the preferred strategy based on an
General Overview
assessment of feasibility;
Planning and Objectives
·
Implementation of that strategy with mobilization of
Lake basin planning is the process of developing an agreed set
necessary resources; and,
of goals for use of a lake basin and the means for achieving
those goals, typically within a particular time frame and · Refi nement of the strategy through monitoring and
resource constraints. Plans can be developed at different
evaluation.
levels of specifi city from local to basin-wide plans, and from
sectoral to comprehensive plans.
Lake basin planning relies on the components of good
governance discussed in Section II of this report (Figure 10.1

---

and Box 10.1). Development of a plan requires involvement
Engaging
of stakeholders and institutions concerned with lake basin
Choice
Stakeholders
management, the use of reliable and timely information, the
of
Financing
assessment and selection of both policies and technological
policy mix
responses to issues, and the identifi cation of fi nancing
Management plan
options for implementing the plan. The lake basin plan is the
to implement
mechanism for putting the components together in an effective
Technological
and fair way for resource development, environmental
Information
Effective
Response
protection, and social benefi t.
institutions
In both developing and industrialized countries, the viability of
On a foundation of good governance including:
a management plan for a lake basin is strongly dependent on
Legitimacy
Fairness
the alignment of the plan with regional and national plans for
Transparency
Accountability
Acceptability
socioeconomic development and environmental conservation.
If the policy and institutional contexts are not properly aligned,
Figure 10.1 A Conceptual Framework of Lake Basin Planning.
then the lake basin plan is unlikely to be supported.
Box 10.1 Planning and the Components of Lake Basin Management
"Opportunities for Action" (Lake Champlain Basin Program 2003) illustrates the inclusion of the components of lake basin
management, discussed in Section II, into a comprehensive plan. The plan, produced in 1996 and reviewed in 2003, includes
a shared vision for the entire lake basin; prioritized actions for water quality and quantity, living resources, cultural heritage,
recreation and economic development; and a variety of specifi c agreements (such as a Water Quality Agreement).
Institutions. There are a variety of institutions involved in the management of Lake Champlain, including:
·
The International Joint Commission, which coordinates activities across all boundary waters between Canada and the
United States;
·
The Lake Champlain Fish and Wildlife Management Cooperative, a federal-state cooperative between the various state
and federal fi sh and wildlife agencies that manages the fi sh and wildlife resources of Lake Champlain; and,
·
The Lake Champlain Basin Program (LCBP) which is a partnership between the states of New York and Vermont, the
province of Quebec, and various federal and local government agencies and local groups. The LCBP coordinated the
activities of the various sectoral and other institutions in developing and implementing the plan.
Rules. New York and Vermont have agreed on loading and in-lake concentration nutrient targets that have become the basis
of a federally mandated phosphorus total maximum daily load (TMDL) plan for Lake Champlain. Vermont and Quebec have
also developed an agreement dividing responsibility for phosphorus reductions in the northern section of the lake.
Stakeholder Involvement. Twenty-eight formal public meetings and countless informal meetings were held during the
development of the plan. There was similar intensive public involvement when the plan was revised in 2003. There was also
a series of advisory committees whose members represented the various interests associated with specifi c areas of the plan.
This consensus-driven approach tends to minimize the polarization of hard ideological positions.
Knowledge. The plan is based on the best available knowledge. A workshop, held in 1992 reviewed existing information and
established a research and monitoring agenda. Subsequently, technical projects have been funded to provide key information
to inform management decisions. After the plan was completed in 1996, research and monitoring were continued, both in the
form of targeted projects investigating particular issues and ongoing monitoring designed to document the long-term trends
in the quality of the basin's resources. Monitoring environmental conditions typically requires up to 15 percent of the annual
USEPA funds available to the LCBP.
Funding. Comprehensive plans are expensive to implement. Preliminary cost estimates from "Opportunities for Action"
implementation actions will require at least $12 to $15 million annually and at least $170 million for the period through 2016.
The LCBP has diversifi ed its federal funding base in recent years. Base funding is provided by the USEPA, with several other
federal agencies also contributing. Federal funding supports portions of the coordination, technical, and outreach activities
of the LCBP partners. A signifi cant portion of this funding is passed on to NGOs working on local issues throughout the basin,
resulting in increased interest, participation, and fi nancial support from local citizens and businesses. The Leahy Center,
a combined museum and science center, is funded from private donors, the federal government, and other supporting
organizations.
Source: Lake Champlain Basin Program (2003).
86
Chapter 10

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In both cases, political decision makers can be powerful Ohrid Transboundary Watershed Action Plan is typical of these
infl uences in drawing up and implementing management plans. It includes the following four primary action items:
plans. They can promote institutional cooperation, ensure
alignment with socioeconomic development and environmental
·
Reduction of point-source pollution through actions that
conservation plans, and access the necessary fi nances for
stress septic system management and maintenance,
implementation. For example, the Chief Minister for the Indian
homeowner education, and management of solid
State of Orissa played a prominent role in the development
waste;
and implementation of the Chilika Lagoon recovery plan.
However, there can be a cost to close political involvement, as
·
Reduction of nonpoint-source pollution through actions
shown at Laguna de Bay. Some members of the board of the
that focus on implementing conservation practices on
Laguna Lake Development Authority were appointed by the
farms and restoring impaired stream reaches;
president of the Philippines and, while that provided access
to senior political levels, it also meant that the Authority was
·
Habitat protection and restoration through wetlands
subject to shifts in government policy, with a consequent lack
inventory and the establishment of a no-net-loss policy,
of continuity in its programs. Hence, it is important for a lake
identifi cation and protection of fi sh spawning habitat,
basin management plan to allow for fl exibility and to include
and inventories of the native fl ora and fauna in the
risk mitigation and adaptation components.
watershed; and,
Forms of Plans for Lake Basin Management
·
Comprehensive planning through the establishment of
micro-watershed planning committees, and by creating
Vision Plans
a GIS system and building the planning capabilities
As a step toward developing a detailed management plan
within the municipalities.
for a lake basin, it can sometimes be desirable to develop
a vision statement. While strictly not a plan itself, such a Sectoral agencies are usually responsible for developing short-
statement provides a mechanism for stakeholders (both term management intervention plans for both development
cross-sectoral and transboundary) to agree on the higher-level
and conservation/remediation purposes. A 1993 Water
goals to be achieved within the lake basin and thereby lay the
Quality Agreement for Lake Champlain signed by the states
foundation for a more detailed management plan. The Vision
of New York and Vermont and the province of Quebec in 1993
and Strategy Framework for Management of the Lake Victoria
included, among other actions and strategies, a phosphorus
Basin is an example of a high-level statement of agreed goals
load reduction strategy from point and nonpoint sources.
developed through a highly consultative process carried out
A review of progress of the strategy showed that all three
at local, district, national, and regional levels (over 15,000 participant jurisdictions had considerably exceeded their
submissions were received). The vision contains numerous reduction commitments, but that the nutrient reductions from
sectoral strategies, grouped under fi ve policy areas. While point-source improvements were being offset by increases
the vision statement is well considered and widely accepted,
in other sectors, principally conversion of agricultural land
the strategy framework is generalized and lacks priorities to urban uses. This highlights one of the limitations of such
and implementation details. The North American Great Lakes
sectoral plans; they are not effective instruments for tackling
Charter, signed in 1985, established a series of principles and
problems that span numerous sectors, such as the problems
procedures for managing Great Lakes water resources and is
found in many lake basins.
effectively a vision statement.
Comprehensive Plans
A vision plan can be a useful device when the issues to be
A comprehensive lake basin plan details the long-term
resolved in establishing a management plan are complex, structural and nonstructural actions needed across
when there has been no history of cooperation between multiple sectors and (if necessary) jurisdictions to meet the
sectors or countries, or when there is a lack of information
development and conservation goals for the lake basin. These
and it is premature to decide on detailed actions. The level of
goals may have been outlined in a previous vision statement.
institutional commitment and the required fi nancial and human
The actions are carried out by a range of (usually sectoral)
resources for vision statements are likely to be quite moderate
organizations and a lake basin coordinating institution,
compared to the level associated with implementation of if one exists. Such comprehensive plans are designed to
projects that are typically associated with basin "action plans"
overcome the limitations of sectoral approaches to problem
or with sectoral "intervention plans".
management. However, their time frames may extend well
beyond the normal budgeting cycles of government agencies.
Action Plans and Intervention Plans
In addition, the priorities of sectoral agencies change over time
Terms such as "action plans" and "intervention plans" are in response to political needs. Consequently, there may be only
used fairly interchangeably to describe short-term plans with
a weak commitment to the long-term implementation of such
sectoral commitments to carry out specifi ed actions in pursuit
plans, unless an adaptive approach is used where the plans
of the agreed management goals for the lake basin. The Lake
are designed to be fl exible and subject to periodic review.
Planning
87

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Statutory Plans
The Lake Conservation and Management Project at the Bhoj
Wetland is an example of a comprehensive plan. It has tackled
Most countries have a form of statutory land use zoning, usually
various issues associated with conservation and management
implemented at the local government level, used to control the
of the upper and lower Bhopal lakes under a multi-sectoral
location of different land uses and impose conditions on uses
strategy. The strategy includes 16 sub-projects to be and changes of use. Such zoning schemes are intended to
implemented by sectoral agencies, including infrastructure coordinate land development with the provision of services
for the diversion and treatment of domestic sewage; city such as roads, water supply, and power; minimize nuisances
and catchment afforestation; de-weeding and aquaculture between incompatible land uses; indicate conditions that
operations in the large lake; fl oating fountains for aerating the
may be required on development proposals; and help protect
lake waters and promoting eco-tourism; relocation of clothes
environmentally sensitive areas. Statutory land use zoning
washing sites; construction of a road along the lake periphery
schemes are essentially reactive instruments that are used
for easing traffi c pressures to stop encroachments in the littoral
to respond to development proposals, rather than to actively
area; and dredging of silt to increase lake capacity and reduce
lead and promote development and conservation activities.
fl oods. Many of these actions have now been completed Nevertheless, they inevitably affect the development of basins
successfully. As a further example, Box 10.2 describes the Lake
and so can be used to help promote the objectives of lake
Biwa Comprehensive Development Plan.
basin management. There is little discussion in the lake briefs
about the use of these statutory zoning instruments for helping
While comprehensive planning has been practiced for many
protect lake basins, although the Lake Nakuru briefs describes
decades in order to tackle longer-term, cross-sectoral issues,
the development of a strategic structural plan for Nakuru city
the means for developing these plans has changed in response
in 1999 that identifi es key planning sectors and offers a vision
to lessons learned and changing social structures. Thus, of the intended spatial structure of the city.
the North American Great Lakes brief identifi es fi ve eras of
lake basin management, each with a different emphasis on
However, there are a number of special purpose zoning
planning: "Resources Development" in the late 18th through
schemes described in the lake briefs that are designed for lake
mid 19th century; "Transition" in the late 19th century; "Federal
basin protection and development.
Leadership" in the early 20th century; "River Basin" in the late
20th century; and the "New" era from the mid-1980s through
·
The zoning scheme for the Issyk-Kul Biosphere Reserve
today. During the "River Basin" era, there was an emphasis on
comprises four zones: a core zone; a buffer zone; a
environmental protection and resources management using a
transitional zone; and a restoration zone. Goals for
top-down, government-dominated approach. In the "new era,"
protection and development differ from zone to zone, as
planning and management is undertaken using a bottom-up,
do standards for use. However, environmental problems
partnership-based, inclusive approach.
in all four zones are closely intertwined with economic
Box 10.2 The Lake Biwa Comprehensive Development Plan (1972­97)
The Lake Biwa Comprehensive Development Project (LBCDP) was a major national project, with its primary object being
provision of additional supply of Lake Biwa water to the downstream Kyoto/Osaka/Kobe region. The specifi c goals of the
project were to:
·
Construct levees around the lake, with various fl ow control structures to enable the release of an additional 40 m3/sec
of lake water to the Yodo River;
· Improve
the
fl ood control capability of rivers by channelization and by installation of fl ow control gates along the Lake
Biwa coastline, as well as along the Yodo River itself; and,
·
Improve the water irrigation pipelines and sewerage systems around the lake.
The fi nancial support for these massive development projects came from the national government, the downstream prefectural
and municipal governments, as well as from the Shiga Prefecture. The LBCDP cost 1.9 trillion yen (about $17 billion), and
became the largest water resources development project in Japan. The project laid a sound foundation for fl ood control and
water utilization and industrial and urban infrastructure, boosting the economy of Shiga Prefecture. Transportation capability
of Shiga Prefecture has also improved signifi cantly with the construction of motorway-topped levees around the lake, which
was not however the primary objective of the construction.
However, the LBCDP also triggered the destruction of the lakeshores and littoral ecosystems, and possibly accelerated the
degradation of the lake's water quality. In 1976, demanding the right to enjoy clear water, more than 1,000 citizens brought a
lawsuit against the central and Shiga Prefectural governments to stop the LBCDP. Although the plaintiffs lost the case, their
advocacy led to the enactment in 1992 of the Reed Belt Conservation Ordinance and the Basic Environment Ordinance in
1996.
Source: Lake Biwa Brief.
88
Chapter 10

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activity, and so recommendations on environmental multilateral development banks and bilateral donor agencies,
improvement of the given areas are intertwined with including the World Bank, need to be accompanied by EIAs.
prospects for economic development.
While EIAs have proven valuable for bringing environmental
and social issues into project assessment, they assess only
·
There are regulatory zonings on Lake Biwa for recreation
specifi c proposals (or variants of them) and are sometimes
use that, for example, designate areas for pleasure completed too late in the project cycle to have a major
boats, prohibit the use of personal watercraft with infl uence on the design of the project.
2-cycle engines, and forbid the catch-and-release of
invasive fi sh.
In order to integrate the assessment of potential environmental
impacts at a higher level in the planning process, increasing
·
Protected areas have been zoned on the shoreline use is being made of Strategic Environmental Assessments
of Lake Constance by the Hochrhein-Bodensee and (SEA) in many countries, by the World Bank and some
Bodensee-Oberschwaben regional associations
bilateral donors. SEAs, which are emerging tools, are applied
to protect the valuable and sensitive shallows. For not to specifi c project proposals but to policies, plans, and
example, 51 percent of Baden-Wurttemberg's shoreline
programs, and so allow a more preemptive and strategic
has been designated as belonging to Protected Zone I,
assessment to be made of potential environmental and social
which comprises shoreline close to its natural condition
impacts. Cumulative and incremental impacts can be more
and transition zones with biotopes deserving protection
easily assessed and potentially benefi cial impacts can be
or valuable fi shing or spawning areas. This zoning not
identifi ed at an early stage and promoted. Although there are
only prevents further shoreline deterioration, but has
no examples of SEAs cited in the lake briefs, these higher level
been used to designate areas for re-naturalization instruments are being applied in the Nile Basin Initiative to
where reeds are being reintroduced, trees and bushes
evaluate the larger environmental and social issues associated
replanted, and impediments to fi shing removed.
with river, lake, and wetland management proposals to be
supported under this program. During the next few years, the
Environmental Impact Assessments and Strategic
use of SEA by multilateral development banks and bilateral
Environmental Assessments
donor agencies is anticipated to increase signifi cantly and is
Environmental impact assessments (EIAs) are now required by
the subject of an ongoing major review by the Development
most countries as part of the evaluation, review, and approval
Assistance Committee of the Organisation for Economic Co-
process for proposed investment projects. They are typically
operation and Development (OECD).
applied to larger projects (dams, irrigation and drainage,
transportation investments, ports and harbors, and so on) Strategic Action Programs
and are intended to integrate environmental and social issues
The GEF promotes the development of Strategic Action
into the planning, approval and implementation process for
Programs (SAPs) in its international waters projects. The SAP is
proposed projects. This includes evaluation of alternatives based on an analysis of issues and their root causes in the lake
to the proposed project, examination of potential positive basin (Chapter 8). The SAP describes the agreed actions to be
and adverse impacts, development of environmental and carried out by the national governments, local governments,
social management plans to mitigate potential impacts and
and NGOs/CBOs in the lake basin together with their
provision of a framework for monitoring. They also provide
development partners, including the GEF. It contains a clear
an important mechanism for public consultation concerning
statement of the actions needed to address transboundary
proposed investments, as well as support the dissemination of
issues; these actions include policy, legal, and/or institutional
information to stakeholders.
reforms, as well as remedial measures needed to ensure the
sustainable use of a transboundary waterbody. In some cases,
While EIAs for proposed developments in lake basins should
countries produce their own national action plans based on
identify, assess, and propose mitigation measures for the SAP as part of their development planning.
any environmental and social impacts, there is almost no
discussion of this instrument in the lake briefs. The Kariba
There were eight projects in this study that were funded under
Reservoir brief makes the specifi c point that it was the the GEF-IW focal area. The Lake Tanganyika, Lake Ohrid, and
absence of any requirement for EIA when the Kariba Dam was
Lake Chad projects have produced SAPs, while the GEF-IW
constructed in the late 1950s that led to many of the deleterious
projects at Lakes Peipsi/Chudskoe and Victoria have not
environmental and social impacts that followed. The absence
produced SAPs. While the Aral Sea GEF-funded project has not
of a formal EIA allowed the governments, developers, and produced a specifi c SAP, there a number of activities under way
funders to proceed without having to carefully consider the
to increase the effi ciency of water use by upstream countries
likely detrimental effects of the dam. Today, EIAs are legally
and to protect at least part of the Aral Sea and its wetlands
required in the countries in economic transition and most through engineering intervention. The more recent projects
countries in the developing world, although many countries
at Lakes Xingkai/Khanka and Cocibolca are committed to
lack the capacity to effectively use them in the decision-
producing TDAs and SAPs.
making process and to implement the mitigation measures in a
timely manner. Nevertheless, proposals for loans and grants to
Planning
89

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The Lake Ohrid Transboundary Watershed Action Plan is an
Lake Tanganyika project, the diverse technical programs,
example of a SAP produced by a GEF-funded project. The plan,
the national working group structure, and the SAP planning
endorsed by the binational Lake Ohrid Management Board,
process were all cited as good vehicles for generating broad
outlines the actions needed and the roles of the stakeholders
stakeholder participation. As another example, the Lake Ohrid
at both the national and local levels. The four primary action
brief stated that, "watershed management committees have
items include:
been formed and have succeeded in creating comprehensive
multistakeholder forums and in initiating pilot projects that
·
Reduction of point-source pollution through actions that
have helped to develop a SAP for the lake."
stress septic system management and maintenance,
homeowner education, and management of solid The GEF advocates that a TDA precede a Strategic Action
waste;
Program, and that the SAP be developed with widespread
consultation, because sustainable and effective management
·
Reduction of nonpoint-source pollution through actions
plans need to be based on both reliable knowledge and
that focus on implementing conservation practices on
social consensus. Box 10.3 summarizes the status of reaching
farms and restoring impaired stream reaches;
knowledge and consensus in selected lake basins included as
part of the LBMI process.
·
Habitat protection and restoration through wetlands
inventory and the establishment of a no-net-loss policy,
Coordinating Lake Basin Planning Activities
identifi cation and protection of fi sh spawning habitat,
and inventories of the native fl ora and fauna in the Approaches to Coordination
watershed; and,
Many lake basin management plans are sectorally or regionally
based. Even comprehensive management plans usually consist
·
Comprehensive planning through the establishment of
of numerous sectorally implemented components as illustrated
micro-watershed planning committees, and by creating
by the Bhoj Wetland example. The temporal and spatial
a GIS system and building the planning capabilities sequencing of projects both within a sector and between
within the municipalities.
sectors can be very demanding in the face of budgetary and
other resource constraints, compounded by changing social
The production of the SAP, like the production of the TDA,
and political priorities. Coordinating these components so that
acts as a mechanism for conducting multilateral dialogues they are mutually consistent and remain focused on the goals
on the broader transboundary subject areas of concern of lake basin management requires considerable fl exibility and
among the riparian nations. In the case of the GEF-funded willingness to adapt to change.
Box 10.3 Dealing with Uncertainties in Planning for Lake Basin Management
High consensus, good knowledge base. Many small-scale sectoral resource development projects (such as in fi shery
development or tourism) in industrialized countries have strong social support and are based on good understanding. These
sectoral plans tend to be very successful. For example, a series of programs to reduce nutrient loads from point sources in
both the United States and Canada received widespread public support and were based on a strong scientifi c knowledge
base. These programs have been successful.
High consensus, poor knowledge base. The lake basins facing this situation require plans that would typically include a
knowledge development component--such as an intensive monitoring program or a scientifi c or socioeconomic research
component--to reduce the uncertainties. These plans would also be developed under the precautionary principle; that is,
management actions would be conservative, so that the chances of causing unforeseen problems would be minimized.
Examples of lakes that fi t into this category include Lakes Dianchi, Victoria (prior to the LVEMP project), Tonle Sap and Issyk-
Kul.
Low consensus, good knowledge base. Lake Nakuru in Kenya provides an example where there is a large number of
stakeholder groups, and where there has also been considerable biophysical research undertaken into the water quantity
and quality problems of the lake and its drainage basin. The Lake Nakuru brief summarizes the situation as "It is now widely
recognized that the constraints to lake basin management are mainly social, economic, and institutional." The Kenyan Wildlife
Service has developed an Ecosystem Integrated Management Plan for the Lake Nakuru National Park surrounding the lake,
and the Nakuru Municipal Council completed a Strategic Structural Plan for the town. However, there is no overall plan for the
basin that sets out agreed sharing of the resources.
Low consensus, poor knowledge base. The Lake Chad Basin Commission has been unable to effectively manage the lake
basin because some of the countries have pursued independent irrigation development. In addition, there is only a limited
understanding of the combined effects of water withdrawals, climate variability, and climate change on the lake's water level,
so there is no accepted knowledge base from which comprehensive management decisions can be made. Typically, these
actions will be confi ned to individual sectors, such as fi sheries or tourism, and should ideally be based on a careful risk
assessment of a particular management intervention.
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The management of Tonle Sap and the broader Mekong River
and the livestyles of the culturally and ethnically diverse
system provides an example of coordinating different spatial
populations around the lake.
levels. A number of donor-funded projects have been initiated
to assist the Government of Cambodia in developing the Box 10.4 provides three broad approaches to coordinating
human resources capacity to manage this lake basin, which
sectoral and regional planning activities over time and space. In
is important for both its productivity and its biodiversity. At
the fi rst approach, "coordination by encompassing", separately
the same time, there are a number of initiatives under way to
implemented activities within a sector and between sectors
provide assistance to the development and conservation of the
are brought together under an umbrella framework that makes
Mekong River system. The Mekong Basin WUP commenced in
project linkages and the benefi ts of coordination explicit. The
2000 to help establish a reasonable and equitable water use
umbrella framework is effectively a comprehensive plan. In
allocation between the basin countries while maintaining its
the second approach, termed "coordination by unifi cation",
ecological integrity, including the integrity of Tonle Sap. A the activities within the same sector are implemented over
complementary program funded by the Finnish government,
time and space more or less independently and then unifi ed
WUP-FN, is addressing the environmental and socioeconomic
later. While this devolved approach places few demands
issues in the region caused by the unique nature of Tonle Sap,
on staff and budgets, it runs the risk of not achieving lake
including its unusual fl ooding cycle, its diverse ecosystems,
basin development and protection goals because of the lack
of overall direction. The third approach, "coordination by
Box 10.4 Ways of Coordinating Separate Activities
Coordination by Encompassing (Figure 10.2a). This type of coordination occurs when a specifi c project or program is
instituted to coordinate independently developed sectoral or regional programs and projects that are being implemented at
the same time. These coordinating programs are introduced when it becomes apparent that greater benefi ts can be gained by
integrating multiple sector activities to a coherent and collaborative framework. Typically, this integration will include cross-
sectoral coordination across different government ministries, and different countries for transboundary lake basins. There are
numerous examples of this approach in the lake briefs, including the Department of Lake Biwa and the Environment (Lake
Biwa), the Lake Dianchi Protection Committee and Bureau (Lake Dianchi), the Mekong River Commission (Tonle Sap and the
Mekong River), and the Lake Titicaca Binational Authority (Lake Titicaca).
Coordination by Unifi cation (Figure 10.2b). The Zoning and Management Plan for Aquaculture (ZOMAP) in Laguna de Bay
provides a typical example of coordination by unifi cation. The competition for Laguna de Bay's aquatic resources has been
fi erce for decades, particularly during the 1970s and 1980s following the introduction of commercial fi sh-pen technology
during the mid-1970s. During the 1980s, LLDA introduced various measures to both conserve the fi shery resources and
support small-scale local fi shermen. The comprehensive ZOMAP was approved in 1996 and placed under LLDA's Lake
Management Division in 1999. ZOMAP acted as a post-hoc unifying project, providing a basis for the new phase of sustainable
fi shery resources management for the lake, with clearer delineation of responsibilities and political commitments.
Coordination by Broadening (Figure 10.2c). Some project activities grow because of early successes and expand their spheres
of operation either spatially or sectorally. In the case of Lake Constance, the fringing wetlands around the lake have been
restored for biodiversity conservation over the past decades, with the extent of restored shoreline gradually expanding to
provide for natural habitats. This is an example where the broadening has occurred over space. The North American Great
Lakes provides an example where the scope of management has expanded from control of point sources of pollution, to toxic
contaminants, to invasive species, and, more recently, to nonpoint-source pollution.
Integration of
Projects by
Unification
Integration
Coverage
Sequential
Project
Broadening
Coverage
Related but
Encompassing
Provision of
Independent
Integration of
Unifying
Broadening
Project
Projects
Framework
of Coverage
Individual
Project
Individual
Project
Seed Project
(a) Coordination by Encompassing
(b) Coordination by Unifi cation
(c) Coordination by Broadening
Figure 10.2 Three Forms of Coordination.
Planning
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evolution", occurs when a single activity grows and matures
use of the exposed lake bed by riparian owners, it now has
over time to extend its coverage of issues and regions. The
a much wider role in environmental management of the lake
management infrastructure established at the beginning of the
and contributes to the lake's Management Implementation
activity evolves and provides the coordinating mechanism as
Committee, which is in the process of being gazetted under
the activity grows.
Kenya's Environmental Coordination and Management Act as
the lake basin's management body.
Coordinating through Opportunity
Successful integrated lake basin management requires both
The need for long-term commitments also applies to
political commitment and the necessary enabling conditions.
externally-funded assistance projects in developing countries.
These include effective institutions, genuine involvement of
Even though these projects are usually designed to help
stakeholders, fundamental biophysical and socioeconomic develop the enabling conditions for long-term lake basin
knowledge about the lake basin, and access to sustainable
management, their typical implementation period of 4­5 years
sources of fi nance. The Lake Chad brief shows that moving
is often too short for the institutions, community involvement,
too quickly to integrated lake basin management before these
and acquisition of knowledge to be fully established. These
conditions are established does not work. A number of lake
assistance projects need to be succeeded by follow-on
basin briefs emphasized that it is better to start small, bringing
projects that build on the initial development of the enabling
together management agencies and stakeholders where the
conditions. For example, the initial GEF-funded projects at
issues are apparent and where there is a developing social
Lakes Tanganyika and Victoria are being followed with further
consensus. These opportunities often lie within a sector (such
projects that are designed to help basin countries implement
as fi sheries), or where the problem is readily apparent (such as
stress reduction activities based on the knowledge acquired
pathogens from sewage). Success in correcting this problem
during the initial projects.
builds confi dence for tackling other problems. Box 10.5
provides examples from Lake Ohrid and the Chilika Lagoon.
Indicators, Monitoring, and Adaptive Management
It typically takes many years, even decades, for goals to It is essential that any lake basin plan includes indicators of
be agreed, for suffi cient knowledge to be accumulated for success. Not only should these provide quantitative measures
effective management, for institutions to be established or of progress in implementing the plan, but they should also be
coordinated, and for laws to be passed and rules developed.
designed to help identify impediments to achieving the plan's
Starting small and building on success before developing a
goals and help identify emerging issues. The GEF advocates
more comprehensive lake basin management plan typically the use of three types of indicators--process, stress-
takes many years, so all stakeholders need to be committed
reduction, and environmental status--for their international
for the long term. The Lake Naivasha Riparian Association has
waters projects (Chapter 8). These same indicator types can
evolved over several decades from the earlier Lake Naivasha
be used to track the implementation of lake basin plans. Box
Riparian Owners Association (1929) to take on an increasingly
8.3 describes the use of indicators in the North American Great
wider responsibility. Originally formed just to manage the Lakes.
Box 10.5 Building on Initial Success
Lake Ohrid, FYR Macedonia and Albania. An important commercial and cultural fi sh species, the Lake Ohrid trout, is
threatened by overfi shing, as well as by pollution, loss of breeding grounds, and competition from introduced species. Both
FYR Macedonia and Albania have agreed that the fi sheries are in immediate danger and rapid management action is required.
Scientifi c studies show that the fi sh in the lake form a single population, and so they must be managed jointly by both
countries. With assistance from the GEF, multilateral and bilateral donors, government offi cials and fi sheries experts in both
countries have agreed to a unifi cation of some of the fi sheries regulations. For example, in 2001, both countries agreed to the
same allowable net size. Although there have been improvements in management, the lake's native trout fi sheries have yet to
show signs of recovery. Nevertheless, the confi dence and trust gained in working together on this issue, together with other
joint activities, has helped the two countries develop a more comprehensive approach to managing the lake and its basin.
Chilika Lagoon, India. Chilika Lagoon, on the east coast of India, is an estuarine lake system noted for its scenic beauty,
its productive fi sheries, its religious signifi cance, and its importance as a resting place for migratory birds. However, due to
diversion of infl owing rivers for irrigation, and increased silt loads from surrounding catchments, the lake exit had become
silted up and fi sh catches had declined dramatically. The Chilika Development Authority was established in 1992 to coordinate
and promote lake restoration and development across the operational agencies. Through the CDAs efforts, a new entrance
was dredged to the ocean in 2000 to provide more direct interchange between the lagoon and the ocean. The results were
dramatic--salinity levels in the northern sector of the lake increased from freshwater levels back to "natural" brakish levels
of over 20 g/L, and fi sh landings increased from 1,600 metric tons before intervention to almost 12,000 metric tons in the
following year. There were other benefi ts in crab catches and in reductions in aquatic weeds. The obvious success of this
engineering intervention in the lagoon has strengthened the hand of the CDA in implementing other aspects of management,
including catchment management and introduction of environmental fl ows from upstream water storages.
Sources: Lake Ohrid and Chilka Lagoon Briefs.
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The lake basin plan needs to include a monitoring component
to provide the data to populate the indicators. The data from
monitoring can also be used to develop a better understanding
of the biophysical and socioeconomic processes occurring in
the lake basin (Chapter 8).
Lake basin plans need to be adaptive, not only in response
to the monitoring data, but also in response to changing
social needs and external factors. For example, there are
uncertainties about ecological processes and functions,
about the impact of different patterns of resources use, and
about political and social development and the effects of
external infl uences such as changes in international trading
arrangements. Lake basin management planning should
therefore include a process for reviewing and modifying the
plan either at regular intervals or when the indicators suggest
that goals are not being achieved.
Planning
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Chapter 11
Toward the Future
This report has discussed the major issues facing lake basin
·
Institutions. Is our organizational structure correct?
management and the range of options that might be considered
Do we have the necessary legislative powers? Have
to address these governance challenges. It has also discussed
we formed alliances with all relevant organizations
the unique biophysical characteristics (integrating nature, long
that need to be involved in management? Do we have
retention times, and complex response dynamics) that make
good links to decision makers and do they listen to
sustainable use and management of lake basin resources a
us? Has political will and commitment grown, or has it
complex environmental and natural resources management
waned? Are our capacity building and training programs
challenge.
effective? What mid-course corrections are needed; For
example, are there new skills not considered when we
The 28 lake briefs provide extensive experience from which to
started?
draw lessons. But there is also much that can be learned from
the management of other natural resources. For example, lake
·
Policies. When we developed rules, did we involve those
basin management has much in common with sustainable
who would be affected? Do we have adequate resources
management of whole river basins. Those who are involved in
to enforce the rules or do we need to use another
lake basin management can learn by joining networks of these
approach? Are economic instruments likely to succeed
other natural resources managers through the Internet and
in controlling the use of lake basin resources? Do we
through meetings, such as the World Lake Conferences, GEF
have an environment that would allow charges for use of
International Waters conferences, Ramsar meetings, the World
lake basin resources?
Water Forum, and the Stockholm Water Symposium.
·
Stakeholder Participation.
Are mechanisms in
Nonetheless, lake basins will not receive the management
place for effective stakeholder participation? All
attention they need because of both their importance and their
stakeholders? What has been the change in awareness
vulnerability, unless the unique characteristics of lakes are
and understanding of the problems and their links to
clearly understood.
stakeholder activities? What is the perception of the
program's stakeholders? Is there suffi cient community
Reassessing Existing Lake Basin Management
participation?
Programs
·
Technology. Will infrastructure be effective over the long
The picture emerging from the 28 lakes is that few seem to have
term, or does it need institutional changes? Have we
succeeded in reversing the general trend of environmental
budgeted for replacement costs of infrastructure?
deterioration, although some have had success in tackling
specifi c degradation issues. Many lake basin management ·
Information. What is the status of the knowledge base? Is
programs, however, have advanced far enough to pause and
a monitoring system in place that can measure changes
refl ect. For them, the past, ongoing, and emerging collective
in key indicators? Is the database suffi cient? What are
experience in lake basin management does give a great deal of
the remaining key gaps? Are information management
insight into future courses of action.
tools good enough to be deployed effectively?
Key Questions for Managers
·
Funding. Can we spend the funds collected locally?
What is the state of the lake and its basin today, both
Do we have suffi ciently strong links to the national
biophysically and managerially? What impact has an
government to obtain fi nancial support for major
existing management program had in terms of sustainable
projects? Are there globally important features in our
management of the lake basin; that is, on the development
lake basin that warrant international funding? How
and conservation/remediation of its resource values? Are we
best can we use external funds so that the fundamental
moving in the right direction, and are we sure we know what
components of management are developed?
that direction ought to be? What do we know now that we did
not know at the beginning? Specifi c questions include:
·
Planning. Are the priority elements of a management
plan properly implemented? Do we have an adequate

---

Policy Confl icts
management plan, or should it be brought up to
date? Are priorities and phasing clear? Are resources
Policy confl icts that arise from long-entrenched sector
suffi cient? Have we built the coalitions that would interests, priorities, or prerogatives are widespread in the
enable the required actions to be implemented? Is briefs. In some cases, they are between development-
coordination adequate? Have either technology options
oriented and conservation-oriented sectors; in other cases,
or costs changed, and are these changes refl ected in the
they are between sectors that use lake basin resources that
management plan?
are upstream of the lake, within the lake, and downstream
of the lake. These confl icts are particularly diffi cult to deal
It is comparatively easy to look outward from a program, with because sectoral institutions, such as government
but much more problematic to look inward with a "collective
departments, possess considerable autonomy. They are
critical eye". Program managers might consider whether they
responsible directly to government ministers, have their own
have a suffi cient number of the right kind of skills--answers
budgets, and are often mandated through legislation. Unless
to this question depend not only on current bottlenecks and
the government as a whole takes a wider view, each sector can
constraints that can be reasonably attributed to staff skills,
pursue its own agenda to the detriment of other sectors.
but also on reassessing the organization's mandate and
objectives, authority (powers and functions), and its work Political Motives
program. Specifi c questions to ask may include:
While not cited frequently in the lake briefs, political
obstruction can impede lake basin management. Actions
·
Staffi ng. Can we maintain the staff we have? Do we (or lack of actions) that serve narrow interests advocated by
need an expanded or a reduced staff? Some programs
infl uential politicians are not in the best interests of sustainable
are put together initially in an ad hoc manner with staff
use of a lake basin's resources. The infl uence and power of the
seconded from different sources for relatively short senior decision makers involved make these problems very
periods, an approach that can work relatively well in the
diffi cult to deal with, although once the politically motivated
short run. Has the program reached the point where a
decisions are widely known, the weight of public opinion can
more permanent arrangement is going to be needed,
lead to changes.
and what needs to be done to implement this? How
do we avoid having staff numbers beyond what we can
Lack of a Voice
maintain given the availability of fi nancial resources?
An unresponsive political system or administration that does
not consult widely or disregards credible advice can be diffi cult
·
Statutory Basis. Do we have an adequate statutory basis
to deal with. Such systems are typically inward-focused and
to enable us to do what we know must be done in the
uninterested in the necessary reforms that would let affected
future? When should these changes be in place?
groups have a say in decisions about use of the resources of
a lake basin. The decision by central planners in the Soviet
·
Institutional Capacity. What is there about the Union to use water from the rivers fl owing into the Aral Sea
institutional capacity, beyond staffi ng, that limits for irrigation--in spite of the evidence that this decision would
achieving effective implementation and constrains desiccate the Aral Sea--is a good example of such problems.
choosing the right option among a range of possible
actions? What can be done to remove these Corruption
constraints?
Corruption can be especially debilitating because it encourages
the particular behaviors and actions that programs to improve
·
Champions. Is there a champion(s) to sustain support
lake basin management are trying to change. It leads to
and activate political will? Is the champion listened to by
lake basin resources being used ineffi ciently; it maintains
politicians and senior offi cials? How can the situation be
inequality and suppresses the poor and powerless; and it
handled without the champion?
encourages corruption elsewhere. Unless there is strong
leadership and a willingness to tackle corrupt offi cials, other
Roadblocks to Lake Basin Management
managers can become dispirited and apathetic in the face of
these problems.
There seems to be no end to the range of issues and problems
that lake basin management programs face in moving Jurisdictional Boundaries
toward their objectives of restoration and sustainable use Jurisdictional boundaries can have a similar effect on effective
of lake basin resources. However, the 28 lake briefs gave us
lake basin management to sectoral boundaries. Different
a clear message: most issues can be overcome by building
levels of government will tend to pursue their own interests
the knowledge base, effective stakeholder participation, unless there is a strong coordinating institution able to bring
partnerships, or collaboration among the concerned agencies.
them together. Transboundary lake basin management is
But there are a number of diffi cult issues that need to be a special case where separate countries need to agree to
addressed for effective lake basin management.
cooperate if effective lake basin management is to occur. While
transboundary lake basin management is usually diffi cult to
96
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organize, there are a number of encouraging examples in the
case by showing the advantages--economic, social, and
lake briefs, in a number of cases with GEF assistance.
environmental--of investing in lake basin management.
Funding
Leverage External Support
One of the most common themes in the lake briefs was the need
External support from international sources can act as a
for suffi cient funds to carry out basic management operations,
catalyst for obtaining greater national support as well as
including enforcement of regulations. A lack of funds can mobilizing different sectors and interest groups. If your lake
be discouraging to managers. Even when the enabling basin has values of global importance, then GEF funding may be
environment is conducive to good governance, a shortage available at the request of the national government. However,
of funds means that different agencies and jurisdictions are
external funding is available for limited periods and needs to
not coordinated, decisions on allocating resources do not be applied judiciously to put in place the fundamentals of good
get made or get made on the basis of poor information, and
management. It is important to build national-level support
infrastructure is not maintained. It takes considerable time to ensure that national funding continues after the external
to develop whatever local sources of funds are available, and
funding ceases.
national funding is usually in short supply in both developing
countries and countries in economic transition.
Sector Reforms
Pursue sectoral policy reform in, for example, water,
Dealing with Roadblocks
agriculture, forestry, energy while building coalitions and
shared visions. The reform of the management of these sectors
These may appear to be insurmountable problems to those in
is closely linked to improved lake basin management. Reforms
charge of management of individual lake basins. However, the
can be resisted by those who gain from current ways of doing
28 lake briefs suggest that all these problems can be overcome.
things, so seek out the champions of reform in the key sectors.
The lessons that emerge from the lake briefs include:
Be active in the reform process, and support it whenever
possible. Show how additional benefi ts can be obtained
Be Creative and Proactive
from these sectoral reforms, by showing how the special
Often it is a matter of getting the attention of senior decision
vulnerability and associated risks of lakes and reservoirs can
makers; look for opportunities to engage them. Try to be reduced through the reforms.
anticipate problems, and when one occurs, make sure that you
are in a position to offer a way to manage it. As far as possible,
Evidence
back your advocacy with good data.
Arguments backed by evidence carry real weight. Marshal the
evidence that taking care of the lake basin will benefi t various
Build Coalitions
sectors dependent on the resources of the lake basin. Work
Managing lake basins requires cooperation from people at with local universities and technical groups in government
all levels and in diverse roles. Some of the most successful
agencies to build your case.
examples in this study, such as the Chilika Lagoon, were built
on collective action from sectoral agencies and local people.
Lessons from the Case Studies
However, it takes considerable time to build these coalitions
and constituencies for change. Work hard to create awareness
The 28 lake briefs provide a rich diversity of experiences from
and understanding of the situation and the risks--try to put
lake basins in very different physical settings, with different
the case in the terms and forms most relevant to those who can
social and economic conditions, and different levels of
support the changes.
resources. Nevertheless, there are some common lessons that
emerge from these examples.
Develop Shared Visions
As part of coalition building, try to build a vision of the use
Focus on Lake Basins
of the lake basin that is shared by all parties. Sometimes There needs to be a fundamental shift in approach from a
this can be done through formal studies; more often it can
focus on lake management to one based on lake basins.
be accomplished through informal means by leaders with a
This shift is clearly spelled out in the Principles of the World
comprehensive overview and persuasive powers. This means
Lake Vision and its application is evident in many of the case
that the goals of different groups need to be understood, studies. Nevertheless, it is also clear in the case studies that
accepted, and brought into a common picture for the lake many managers, particularly those in parts of the lake basin
basin.
that are distant from the lake, do not appreciate the impacts
of their actions on lakes. A signifi cant number of the problems
Political Support
described in the lake briefs originate in the lake basins, but
High-level political support can open doors and help build these problems often come from a diversity of areas and so are
the necessary coalitions. However, getting this support in diffi cult to manage without the involvement of all groups in the
the face of the numerous demands on politicians is diffi cult;
lake basin.
take advantage of crises that arise to show how better lake
basin management can avoid these problems. Build your
Toward the Future
97

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Promote a Long-Term, Adaptive Approach
other hand, lakes with severe problems were characterized by
Development of effective institutions, promotion of a limited involvement of those affected by decisions.
meaningful stakeholder involvement, and acquisition and
acceptance of knowledge all require a long-term commitment
Promote Basin Partnerships
by local institutions and national governments. This long-
Successful institutions in the case studies have developed
term approach should include support for national scientifi c
cooperative partnerships between sectoral institutions, across
research and training institutions so that the next generation
jurisdictions, and including stakeholder groups. However,
of managers and scientists are developed. However, a long-
building the trust that underlies these partnerships, obtaining
term commitment does not imply a rigid approach; it needs
and disseminating the information needed to overcome
to be responsive to new knowledge, changing objectives, and
misconceptions, and building the capacity of community
shifts in external circumstances.
groups to engage effectively all take considerable time. The
lake briefs show that governments and development partners
Mainstream Lake Basin Management
need to be engaged over the long term.
While lake basin management institutions can coordinate,
the reality is that sectoral institutions will continue to take
Accessing Global Resources
the lead in infrastructure investments and in management
of the resources of lake basins. Lake basin management Toward Global Stakeholder Participation and Partnerships
institutions need to raise the awareness of institutions about
Every global natural resources management experience today
the importance and the vulnerability of lakes, so that these
points to the importance and the central role of effective
concerns are fully incorporated into their policies, programs,
stakeholder participation at every step of program and
plans, and strategies.
project design, decision making and implementation. The
lessons from this project also point in that direction. Essential
Coordinate across Sectors and Jurisdictions
awareness and understanding to overcome the barriers and
The most important role played by successful management
opposition can be created only through broad participation
institutions in this study (at Lakes Biwa, Constance, Champlain,
of stakeholders. Improved governance, especially in terms
Dianchi, and Laguna de Bay, the Chilika Lagoon, and the North
of accountability, will not be achievable unless a large and
American Great Lakes) has been to coordinate the activities of
committed constituency with a strong voice for change exists.
sectoral institutions, including across jurisdictions. Although
When stakeholders are able to both understand and have
the forms and legal mandates of these institutions vary, they
an infl uence on the choice of goals and options, even those
have all successfully promoted a coordinated approach to lake
who may initially see themselves as losers can often become
basin management. New coordinating institutions are being
proactive supporters. In some contexts, the participatory
developed at Lakes Ohrid, Tanganyika, Victoria and Tonle Sap
approach may run counter to existing political, cultural, and
(and Mekong River Basin) that promise to improve the status of
social norms. In these instances, the lake briefs suggest that
these lakes and the well-being of people dependent on them.
a gradual, very site-specifi c approach that yields quick local
benefi ts can be successful in gradually overcoming these
Encourage both Governance and Investments
barriers.
The lake briefs show that both good governance, and
sometimes sustainable investments, are needed to improve
Similarly, the lake briefs illustrated that the typical institutional
the environmental status of lakes. Good governance consists
setting for lake basin management involves a large number
of clear policies that result in sustainable institutions, effective
of organizations, both governmental and nongovernmental.
and fair rules governing use of resources, involvement of Implementation of a management plan thus requires effective
all affected stakeholders, collection and application of partnerships with key organizations. The same is true globally.
high quality information, and access to suffi cient fi nances
Most lake basin projects carried out in developing countries
for long-term operations and maintenance. In some cases, are supported in various capacities by more than one agency
technological solutions can lead to rapid improvements in of technical collaboration and/or fi nancial support, some with
the environmental status of lakes--most notably with sewage
catalytic funding coming from GEF. It is evident that the role
treatment plants. However, these technological solutions are
played by GEF has been extremely important and instrumental.
usually not sustainable if the elements of good governance are
It is also apparent that GEF alone will not be able to meet all
not in place.
the needs for basin management programs for the world's
important lakes. Therefore exploring new and innovative
Involve Stakeholders
approaches for partnership among key agencies is extremely
One of the most consistent messages in the lake briefs is the
important.
importance of involving communities in decisions that will
affect them. The benefi ts include better decisions, improved
Toward Enhancement of the Global Lake Basin Management
enforcement, sometimes reduced cost, and support for Knowledge Base
increased community participation in governance. Lakes The importance of developing a broad and reliable knowledge
where there has been an improvement in environmental status
base for lake basin management is very evident throughout
are characterized by strong stakeholder involvement; on the
the lake basin briefs. However, with the limited fi nancial
98
Chapter 11

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and human resources available, a great many lake basins in
the developing world will continue to suffer from a meager
knowledge base. The international technical cooperation
agencies, scientifi c communities, and local and international
NGOs specializing in lake basin management must collectively
seek ways to mobilize resources to help those lake basins to
be able to take advantage of the existing knowledge base
developed at better-funded lake basins, as well as to generate
important local information resources. This is particularly
important today, as the threats to lakes in the world have been
increasing rather dramatically due to increased global risks
leading to increased vulnerability. As exemplifi ed by many of
the lake briefs, the use of modern information management
technologies--be they planning tools like GIS, remote sensing,
database management, or computerized models--will greatly
facilitate the organization, management, and use of the
knowledge base.
Much lake basin management information is already
available through the GEF-funded IW:LEARN project (http:
//www.iwlearn.org), the Ramsar Secretariat (http://
www.ramsar.org), the World Bank (http://www.worldbank.org/
water), the USAID GLOWS consortium (http://glows.fi u.edu/
Home/tabid/236/Default.aspx), and the sites for the ILEC (http:
//www.ilec.or.jp) and LakeNet (http://www.worldlakes.org)
organizations. This report, detailing the lessons learned from
the Lake Basin Management Initiative project, adds to this
growing body of information.
Toward the Future
99

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---

Appendix A
Glossary of Terms
Acidifi cation ­ The process whereby lakes gradually become
Biocide ­ A chemical that can kill a large variety of living
more acidic over time, primarily from power plant and factory
organisms, including humans.
emissions of acid-forming materials into the atmosphere and
their subsequent deposition in the form of rain or snow. It can
Biodiversity ­ A measure of the variety of kinds of animals and
result in signifi cant negative environmental impacts to both
plants present in a given environmental compartment (such as
aquatic and terrestrial ecosystems, including degraded water
lakes) over a given time period.
quality and destroyed fi sheries.
Biomanipulation ­ An inclusive term referring to methods of
Activated sludge ­ The stage of biological treatment of sewage
artifi cially changing or altering the biological communities
in which the wastewater is mixed with bacteria-laden sludge,
living in a waterbody, primarily to improve water quality. It
with the organic matter in the wastewater subsequently does not involve genetic manipulation.
being decomposed by the bacteria; usually called secondary
treatment.
Biomass ­ A measure of the quantity of all the living organisms
in a waterbody.
Algal blooms ­ The growth of algae in lakes to excessive levels
that can cause a range of negative environmental impacts,
Carbon sequestration ­ Referring to a family of methods,
including water quality degradation and interference with involving both aquatic (oceans) and terrestrial (forests, soils)
benefi cial human water uses. The decay of large algal bloms
components, for capturing and permanently removing or
can sometimes extract suffi cient oxygen from lake waters to
isolating atmospheric carbon dioxide and other greenhouse
lead to fi sh kills.
gases that can contribute to global climate change.
Algal toxins ­ Organic materials associated with microscopic
Catchment ­ the area surrounding a lake from which surface
photosynthetic Cyanobacteria in lakes, many of which can be
water drains into the lake.
toxic to animals, including humans.
CBOs ­ Community-based organizations (for example, artisanal
Alkaline ­ A solute salt or mixture of soluble salts having fi shery associations).
marked basic properties (in contrast to acidic materials).
Chemical precipitation ­ The addition of chemicals to
Anthropogenic ­ Being of human origin, or resulting from wastewater to remove specifi c substances.
human activities.
Chlorophyll ­ A green pigment found in all plants, responsible
Aquifer ­ An underground layer of rock or soil suffi ciently
for trapping sunlight energy needed for photosynthesis;
porous to store signifi cant quantities of water; major source of
chlorophyll concentration is often used as a measure of algal
drinking water on a global scale.
biomass in lakes.
Apex ­ The uppermost or culminating point.
Cichlid ­ Any of a family (Cichlidae) of mostly tropical, spiny-
fi nned freshwater fi shes.
Artisanal ­ Referring to a worker or laborer with a particular
skill or trade (such as fi shers).
COD ­ Chemical oxygen demand; a measure of the organic
material in water (such as sewage) whose bacterial
Bathymetry ­ The measurement of water depths in lakes.
decomposition can consume oxygen in a waterbody.
Benthic ­ Referring to organisms that live at or near the bottom
Consumer surplus ­ An economic term used to denote the
of a lake.
unpaid-for value enjoyed by visitors to recreational sites and
protected areas.
Bioaccumulation ­ The buildup of material (such as toxic
substances) within the body of an organism.

---

Cyanobacteria ­ A group of microscopic blue-green algae, Encroachment ­ Advancing or intruding beyond proper limits
often occurring in eutrophic lakes in the form of algal blooms;
or boundaries.
some species can produce organic materials toxic to living
organisms, including humans.
Endemic ­ Plant or animals native to a given region or
waterbody.
Deforestation ­ Cutting down or removing the trees from a
given region; when done at a rate that exceeds the forest Endocrine ­ Referring to the human hormonal system,
growth rate, it can lead to increased soil erosion and associated
particularly sexual hormones.
land degradation.
Endorheic ­ Term used to describe a lake with water infl ows
Denitrifi cation ­ Bacterially-mediated conversion of nitrates (such as tributaries), but no outfl ows; water only leaves the
and nitrites in water or soils to nitrogen gas, and its subsequent
lake via evaporation, generally resulting in higher salinity lake
release into the atmosphere.
water.
Desiccation ­ The process of removing water from a material
Environmental status indicators ­ Term used by the Global
or substance.
Environment Facility (GEF) to denote agreed measures of
actual performance or success in restoring and protecting a
Diagnostic analysis ­ As practiced by the Global Environment
target waterbody (for example, measurable improvements in
Facility (GEF), refers to the analysis of the biophysical and chemical, physical, or biological parameters).
socioeconomic characteristics of a lake and its drainage
basin as a means of identifying environmentally-associated Eutrophic ­ The nutrient status of a lake receiving excessive
development problems and their root causes; serves as nutrient loads (mainly phosphorus and nitrogen), resulting
knowledge base for subsequent development of basin-scale
in excessive algal blooms that degrade water quality and
Strategic Action Program.
interfere with benefi cial human uses.
Diatoms ­ A form of microscope algae in a lake; often Eutrophication ­ The natural aging process of lakes; can be
associated with good water quality.
greatly accelerated by human-induced excessive nutrient
inputs (so-called cultural eutrophication).
Diffuse source ­ Referring to sources that can contribute
pollutants to a waterbody in the rain or snowmelt-induced Exorheic ­ Term used to describe a lake that has both water
drainage from the land surface (in contrast to effl uents
infl ows and outfl ows, thereby ensuring its waters remain fresh
entering from a distinct point, such as a pipe); often called
(in contrast to endorheic lakes).
nonpoint sources, the specifi c pollutant sources are diffi cult
to identify and quantify, with the pollutant load dependent
Exotic species ­ Non-native animals or plants accidentally
largely on the climate and land uses characterizing a given
or intentionally introduced into new lakes; in the absence of
drainage basin.
natural controls, can displace a lake's native species and alter
its biological communities; term often used interchangeably
Drainage Basin ­ The area from which surface water drains
with invasive species.
into a lake together with the rivers and lakes.
Externalities ­ Monetary or other expenses associated with
Dublin Principles ­ The four primary recommendations the use or utilization of a natural resource borne by someone
regarding sustainable use of water resources developed at other than the individual or groups using the resource.
the International Conference on Water and the Environment,
held in Dublin, Ireland, in January 1992; involving experts Hydro-dynamic model ­ Refers to multiparameter, time-variant
and representatives from governments, international, models used to simulate and/or predict hydrologic and related
intergovernmental and nongovernmental organizations, they
biological and chemical responses of lakes to changes in water
call for fundamental new approaches to the assessment, and material loads entering them and/or other variables that
development, and management or freshwater resources; can affect in-lake processes (for example, "forcing factors").
subsequently commended to world leaders at the United
Nations Conference on Environment and Development Hydrological ­ Referring to, or involving, water.
(UNCED) in Rio de Janeiro in June 1992.
Hypereutrophic ­ The nutrient status of a heavily nutrient-
Enabling environment/framework ­ The sum of the enriched lake at the extreme end of the eutrophic range, to the
institutions, policy framework, fi nancial incentives, informed
extent that its water quality and biological characteristics are
public participation, and similar components that collectively
essentially completely degraded (also see eutrophic).
provide the basis for developing and implementing effective
programs and activities for the sustainable use of natural Hypolimnion ­ The bottom water layer in a lake lying below the
resources.
thermocline.
102
Appendix A

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Hysteresis ­ A delayed change in a property of a lake, whether
designed to meet the needs of decision makers and the
in a positive or negative direction, to an altered force or factor
public for scientifi c information on a global and regional scale
acting upon or infl uencing it.
concerning the consequences of ecosystem changes for human
well-being, and options for responding to those changes.
Ionic ­ Referring to an atom or group of atoms carrying a
positive or negative charge; typically used to refer to the Mitigation ­ Activities undertaken between parties to lessen
chemical form of materials dissolved in water.
the negative impacts of a given action(s).
Incremental costs ­ Term used by Global Environment Facility
NGOs ­ Nongovernmental organizations.
(GEF) to denote the costs associated with projects that produce
international environmental benefi ts, as opposed to those that
Nitrifi cation ­ Bacterially mediated oxidation (conversion) of
only produce national-level benefi ts.
ammonia to nitrate and nitrite in water and soils.
Indigenous ­ Having originated in, or occurring naturally in a
Non-market values ­ Uses of a lake for which it is diffi cult
particular region or environment.
to proscribe a specifi c economic value, or for which normal
market pricing does not apply (e.g., aesthetics).
Infrastructure ­ The underlying foundation or framework of
a system or organization; in the context of water resources
Nonpoint source ­ Referring to pollutant sources that can
management at the lake basin level, this refers to dams and
contribute pollutants to a waterbody in the rain or snowmelt-
weirs for multiple purposes; water transfer structures; water
induced drainage from the land surface (in contrast to
treatment, wastewater collection and/or wastewater treatment
effl uents from a distinct discharge point, such as a pipe); also
systems; irrigation and drainage; and fl ood control structures.
called diffuse sources. Specifi c pollutant sources are diffi cult
to identify and quantify, with the pollutant load dependent
Insectivorous ­ Depending on insects for food.
largely on the climate and land uses characterizing a drainage
basin.
Invasive species ­ Non-native animals or plants accidentally
or intentionally introduced into new lakes; in the absence of
Non-structural ­ Referring to management interventions that
natural controls, can displace a lake's native species and alter
do not involve structures (such as behavioral changes and
its biological communities; term often used interchangeably
education).
with exotic species.
Nutrients ­ Nutritive substances (food) required for the growth
Invertebrates ­ Animals lacking a spinal column (e.g., insects,
and reproduction of algae and macrophytes in a lake; primary
clams).
nutrients are phosphorus and nitrogen compounds.
Limnology ­ The study of the biology, chemistry, and physics of
Oligotrophic ­ The nutrient status of a lake receiving small
inland surface water systems.
nutrient loads, and containing a small algal biomass;
oligotrophic lakes typically display good water quality and can
Littoral ­ The water in a lake lying near to the shoreline (in
support a wide range of benefi cial human uses.
contrast to the water in the lake's center).
Organic load ­ The quantity of organic materials entering a
Macrophytes ­ Free-fl oating or rooted aquatic weeds.
lake; lakes with large organic loads can exhibit low oxygen
levels associated with bacterial decomposition of the
Market prices ­ The price or cost of an activity or action materials, resulting in degraded water quality and interference
determined on the basis of what people are willing to pay for it
with benefi cial human uses.
in the open market.
Oxidizing agent ­ A chemical or substance used to provide
Mediation ­ Intervention between competing parties to oxygen in a chemical reaction.
promote settlement, compromise, or an agreed solution
regarding a given issue(s).
PCBs ­ Polychlorinated biphenyls; a persistent organic
pollutant believed to have carcinogenic and other human
Millennium Development Goals ­ A set of time-bound, health impacts.
measurable goals and targets for combating global poverty,
hunger, disease, illiteracy, environmental degradation and Photosynthesis ­ The biochemical process whereby
discrimination against women, agreed to by world leaders at
chlorophyll-containing plants utilize sunlight energy to convert
the September 2000 United Nations Millennium Summit.
carbon dioxide and water to sugars such as glucose.
Millennium Ecosystem Assessment ­ An international work
Point source ­ Referring to pollutant sources that can be
program, launched by the UN Secretary-General in 2001, readily identifi ed and quantifi ed, such as effl uents from a
Glossary of Terms
103

---

distinct pipeline (in contrast to pollutants entering a lake in
Sensitivity analysis ­ A model assessment exercise used to
rain or snowmelt-induced drainage from the land surface; also
identify the model parameters most sensitive to changing
see nonpoint source).
inputs ("forcing functions").
Process indicators ­ Term used by the Global Environment Siltation ­ The process whereby a waterbody becomes fi lled or
Facility (GEF) to denote a measure of progress in project choked with soil and other particles carried in water.
activities involving procurement and production (inputs
and outputs) of goods, physical structures and services Sludge ­ Solid matter produced during water and sewage
(e.g., formation of high-level steering committee for project
treatment processes, usually by adding chemicals to
preparation and implementation; completion of country-
precipitate the matter.
endorsed Transboundary Diagnostic Analysis).
Social capital ­ Referring to the personal and institutional
Ramsar Convention ­ An intergovernmental treaty signed in
relationships with key stakeholders that collectively facilitate
1971, which provides the framework for national action and
effective lake basin management.
international cooperation for the conservation and wise use of
wetlands and their resources.
Storm runoff ­ Storm-generated water drainage from the land
surface to rivers, lakes and other water courses, including the
Ramsar site ­ Wetlands designated as internationally materials dissolved in, or carried by, the water.
important under the Ramsar Convention.
Stress reduction indicators ­ Term used by the Global
Red tides ­ Seawater discolored by the presence of large Environment Facility (GEF) to denote specifi c on-the-ground
numbers of certain types of algae, which can produce a toxin
measures implemented by the collaborating countries to
poisonous to many forms of marine life and to humans who
produce measurable changes in transboundary water systems
consume infected shellfi sh.
(for example, reduced releases of pollutants from point
sources; area of eroded land stabilized by reforestation).
Reforestation ­ The process of replanting areas after the
original trees and other vegetation are removed.
Structural ­ Referring to management interventions that
involve structures (such as dams, water treatment plants).
Remediation ­ The act or process of providing relief, whether
in the form of money, actions, or other approaches, that can
Subsidiarity ­ Referring to the lowest effective level of
satisfy or rectify confl icting activities or policies.
management of a waterbody.
Retention time ­ The period of time a given quantity of Subsidy ­ A grant or cash award offered by a government to a
water may spend in a lake; typically calculated as lake private individual or company to assist an enterprise deemed
volume divided by the water infl ow (or outfl ow); lakes with
advantageous to the overall public good.
short retention times exhibit more rapid water fl ushing (and
associated pollutants) than lakes with long retention times.
Subsistence ­ Referring to the minimum levels of food, shelter,
and other items necessary to support human life.
Riparian ­ Relating to, or located on, the bank of a natural
watercourse, such as a lake or river.
Supernationality ­ The buy-in and agreement by riparian
nations to common measures and activities regarding the
Runoff ­ Storm-generated water drainage from the land effective use and management of shared natural resources,
surface to lakes, rivers, and other watercourses, including including water systems.
the materials dissolved in, or carried by, the water; also called
storm runoff.
Supply-side ­ The economic theory that encourages expanded
economic activity (and increased utilization of natural
Saline ­ Used to refer to water containing elevated resources), via such measures as reducing tax steps (in
concentrations of dissolved salts, mainly sodium, potassium
contrast to managing demand for the resources).
or magnesium.
Sustainable development ­ Economic development within the
Salinity ­ A measure of the quantity of salts contained or constraints of the available natural resources base, in contrast
dissolved in water.
to uncontrolled exploitation of the resources.
Sedimentation ­ The process whereby soil and other particles
Sustainability ­ A measure of the degree that exploitation of
carried in water settle to the bottom of a waterbody.
natural resources for economic development can be continued
indefi nitely without permanently affecting the current
resources base or its accessibility to future generations.
104
Appendix A

---

Synergy ­ The interaction of two or more factors or processes
Trophic levels ­ Specifi c levels of energy fl ow through
so that their combined effect, whether positively or negatively,
ecosystems and their living resources; often used to delineate
is greater than the sum of their separate effects.
organisms in different levels of a food chain.
Tariffs ­ Charges, user fees, or duties imposed by governmental
Trickling fi lters ­ The stage of biological treatment of sewage
entities for goods or services.
in which the wastewater is sprayed over the surface of bacteria-
laden rocks or other substrates, with the organic matter being
Tectonic ­ Referring to the deformation of the earth's crust by
decomposed by the bacteria; classifi ed as secondary treatment
the movement of surface geological layers over a geologic time
(also see activated sludge).
scale, and the resulting geologic forms (e.g., lakes).
Vector-borne diseases ­ Diseases spread from one host to
Temperate ­ Refers to regions of the world that experience another by organisms that live in, or whose live cycles are
moderate climate; generally comprises the earth's surface associated with, watercourses.
occupying the intermediate lateral position on both sides of
the equator between the tropical zone and boreal or sub-arctic
Watershed ­ the boundary between two catchments. Now
climate of the polar zones.
more commonly used to refer to the catchment itself.
Tertiary wastewater treatment ­ An advanced stage of Water hyacinth ­ An aquatic weed (macrophyte) that often
wastewater treatment for removing dissolved pollutants left
grows to excessive levels in lakes and interferes with benefi cial
after primary and secondary treatment are completed; typically
human water uses; a symptom of cultural eutrophication in
used to remove phosphorus and nitrogen from wastewaters.
many parts of the world.
Total social welfare ­ Referring to a social welfare approach
Wetlands ­ Areas periodically or permanently covered with
in economic valuation in which the "whole" (total social water, including swamps, tidal marshes, coastal wetlands, and
welfare) is equal to the sum of the parts ("individual welfare
estuaries.
measures").
World Commission on Dams ­ An independent, international
Tradable rights ­ Rights to the use of natural resources that can
commission convened in 1998, and comprised of
be traded, in the same manner as goods or services, between
representatives of governments, private sector, international
individuals or organizations, as a means of infl uencing natural
fi nancial institutions, civil society organizations and affected
resources utilization and management.
peoples, to (1) review the development effectiveness of
dams and assess alternatives for water resources and energy
Transaction costs ­ The costs or obligations, whether material
development, and (2) develop internationally-accepted
or otherwise, to the involved individuals or organizations of
standards, guidelines and criteria for decision-making in the
altering management structures and functions in pursuit of
planning, design, construction, monitoring, operation and
sustainable use of natural resources
decommissioning of dams.
Transboundary ­ Referring to natural resources, including
water courses (lakes, rivers) shared or used by two or more
countries.
Glossary of Terms
105

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---

Appendix B
Authors of Lake Briefs, Thematic Papers and Chapters
Experience and Lessons Learned Brief Authors
Brief
Authors
Gulnara Roll, Natalia Alexeeva, Nikolay Aladin, Igor Plotnikov, Vadim Sokolov, Tulegen
Aral Sea
Sarsembekov, Philip Micklin
Anthony Brunello, Valery Molotov, Batbayar Dugherkhuu, Charles Goldman, Erjen
Baikal
Khamaganova,Tatiana Strijhova, Rachel Sigman
Baringo
Eric Odada, Japheth Onyando, Peninah Obudho
Bhoj Wetland
Mohan Kodarkar, Aniruddhe Mukerjee
Biwa
Tatuo Kira, Shinji Ide, Fumio Fukada, Masahisa Nakamura
Chad
Eric Odada, Lekan Oyebande, Johnson Oguntola
Champlain
William Howland, Barry Gruessner, Miranda Lescaze, Michaela Stickney
Chilika Lagoon
Asish Ghosh, Ajit Pattnaik
Cocibolca/Nicaragua
Salvador Montenegro-Guillen
Constance
Marion Hammerl, Udo Gattenloehner
Dianchi
Jin Xiangcan, Wang Li, He Liping
Great Lakes (North American)
Jon MacDonagh-Dumler, Victoria Pebbles, John Gannon
Issyk-Kul
Rasul Baetov
Kariba Reservoir
Christopher Magadza
Laguna de Bay
Adelina Santos-Borja, Dolora Nepomuceno
Malawi/Nyasa
Harvey Bootsma, Sven Erik Jorgensen
Naivasha
Robert Becht, Eric Odada, Sarah Higgins
Nakuru
Eric Odada, Jackson Raini, Robert Ndetei
Oliver Avramoski, Sandri Kycyku, Trajce Naumoski, Dejan Panovski, Veli Puka, Lirim
Ohrid
Selfo, Mary Watzin
Peipsi/Chudskoe
Gulnara Roll, Aija Kosk, Natalia Alexeeva, Peeter Unt
Araik Babayan, Susanna Hakobyan, Karen Jenderedjian, Siranush Muradyan, Mikhail
Sevan
Voskanov
Tanganyika
Sven Erik Jorgensen, Gaspard Ntakimazi, Sixtus Kayombo
Titicaca
Mario Francisco Revollo Vargas, Maximo Liberman Cruz, Alberto Lescano Rivero
Toba
Haryatiningsih Moedjodo, Payaman Simanjuntak, Peter Hehanussa, Lufi andi
Tonle Sap
Saburo Matsui, Marko Keskinen, Pech Sokhem, Masahisa Nakamura
Tucurui Reservoir
Jose Galizia Tundisi, Marco Aurelio Santos, Carlos Frederico Menezes
Victoria
Sixtus Kayombo, Sven Erik Jorgensen
Xingkai/Khanka
Jin Xiangcan, Zhai Pingyang
While not commissioned as a Lake Basin brief, the authors of this report have drawn on the experiences in management at Lake George,
Uganda reported at the African lake basin workshop by Kule Asa Musinguzi, Fiona Nunan, and James Scullion.

---

Thematic Paper Authors
Thematic Paper
Authors
African Lake Management Initiatives: The Global Connection
Robert Hecky, Harvey Bootsma and Eric Odada
The Caspian Sea
Nikolay Aladin, Igor Plotnikov
Robert Jellison, Yegor Zadereev, Priya Arora DasSarma, John
Conservation and Management Challenges of Saline Lakes: A
Melack, Michael Rosen, Andrei Degermendzhy, Shiladitya
Review of Five Experience Briefs
DasSarma and German Zambrana
Directory of Non-Governmental Organizations (NGOs) and
Inter-Governmental Organizations Working on Conservation
OSIENALA
and Management of Lakes in Africa
Institutional Aspects of Asian Lake Basin Management
James Nickum
Involving the People in Lake Management: Values, Education
Oyugi Aseto
and Participation
Lake Basin Management Problems in Africa: Historical and
Shem Wandiga
Future Perspectives.
Management Challenges of Freshwater Fisheries in Africa
Richard Ogutu-Ohwayo and John Balirwa
Management of Lakes in India
M.S. Reddy and N.V.V. Char
Possibilities and Limitations of Environmental Infrastructure
Shinji Ide
Provisions for Lake Basin Management
The Role of Communication, Education and Public Awareness
Rebecca D'Cruz
(CEPA) in Lake Basin Management
The Role of Local Authorities in Lake Management
Aniruddhe Mukerjee
The Role of Protected Areas in Lake Basin Management
Rebecca D'Cruz
The Role of Public Participation and Citizen Involvement in
Oliver Avramoski
Lake Basin Management
The Role of Sound Science in Lake and Reservoir
Walter Rast
Management for Sustainable Use
Water Allocation and Environmental Flows in Lake Basin
William Young
Management
Women's Participation in Lake Basin Management From a
Sonia Davila-Poblete
Gender Perspective
Chapter Authors
Chapter
Authors
Chapter 1: Learning from Others
Thomas Ballatore and Victor Muhandiki
Chapter 2: Biophysical Characteristics of Lakes
Thomas Ballatore and Victor Muhandiki
Chapter 3: Human Use of Lakes
Masahisa Nakamura and Richard Davis
Chapter 4: Institutions for Lake Basin Management
James Nickum and Masahisa Nakamura
Chapter 5: Identifying Effective Actions
John Dixon and Richard Davis
Chapter 6: Involving People and Stakeholders
David Read Barker, Lisa Borre and Masahisa Nakamura
Chapter 7: Responding with Technology
Thomas Ballatore and Richard Davis
Chapter 8: Informing the Process
Walter Rast and Thomas Ballatore
Chapter 9: Mobilizing Sustainable Financing
John Dixon
Chapter 10: Planning for Sustainable Lake Basin Management
Masahisa Nakamura and Richard Davis
Chapter 11: Toward the Future
Walter Garvey and Richard Davis
108
Appendix B

---

Appendix C
Summary Outcomes from the Regional Workshops
Regional Workshop for Europe, Central Asia and the
Payaman Simanjuntak, Dann Sklarew, Art Stemp, Jose Galizia
Americas
Tundisi, Robin Ulmer, Marc vanderHeyden, Amy Villamagna,
Lea Vedder and Mary Watzin. Facilitators: Eric Boyer, Steven
The regional workshop for the European, Central Asian and
Burks, Jon Erikson, Doug Facey, Larry Forcier, Tom Hudspeth,
American lakes in the study was held in Burlington, Vermont,
Miranda Lescaze, Vanessa Levesque, Mark Lubkowitz, Declan
USA near the shores of Lake Champlain in June 2003. The McCabe, Reza Ramazani, Elizabeth Royer, Trish Siplon, Robyn
lake basins included: Aral Sea, Baikal, Champlain, Cocibolca,
Smyth, Michaela Stickney, Mazeika Sullivan, Bill Wilson, Joan
Constance/Bodensee, Issyk-Kul, North American Great Lakes,
Wry. Interpreters: Silvia Delcastillio-Devine, Andrei Izurov, Jane
Ohrid, Peipsi/Chudskoe, Sevan, Titicaca, and the Tucurui Anne Miller, Jessica Noyes, and Helen Wagg.
Reservoir. In addition, delegates from the Caspian Sea and
Shkodra Lake (Albania, Montenegro) participated in the The main lessons on lake basin management that emerged
workshop.
from the workshop included the following:
The workshop was organized by LakeNet and hosted by Saint
·
We know enough to get started--Collectively, we
Michael's College with funding from the GEF and USAID. The
have already reached a good understanding about the
timing of the workshop was planned in connection with the
essential elements of effective lake basin management.
10th World Lake Conference in Chicago and the opening of
What is needed is to apply that understanding. Although
ECHO, a lake aquarium and science center at the Leahy Center
the experience shows that enough is known to get
for Lake Champlain.
started, in some cases there is not suffi cient motivation
or will.
More than 80 lake basin managers representing 24 countries
and twelve lake basins in Europe, Central Asia, and the ·
International borders complicate lake basin
Americas gathered to review lake briefs and share experiences
management--This is true both when an international
in lake basin management.
border crosses a water body and when it crosses the
watershed/lake basin. "Hidden" international water
The participants were: Nicolay Aladin, Natalya Alexeeva, Juan
lakes include Baikal, which is entirely in the Russian
Skinner Alvarado, Oliver Avramoski, Rasul Baetov, Mary Lou
Federation, but 70 percent of the water fl owing in comes
Baker, Thomas Ballatore, David Read Barker, Emilia Battaglini,
from Mongolia. The more countries in the basin, the
Adem Bekteshi, Francesca Bernardini, Adelina Santos-Borja,
more complex management becomes.
Lisa Borre, Anthony Brunello, Vladimir Budarin, Vasilije
Buskovic, Peter Clavelle, David Coen, Marilyn Cormier, Paulo
·
Waiting for crisis--In almost every case, concerted
Coutinho, Maximo Liberman Cruz, Sonia Davila-Poblete,
action for lake basins has been taken only after a sense
J. Richard Davis, Canute Delmasse, Sunny De Vese, James
of crisis has been reached. For example, the Cuyahoga
Douglas, Al Duda, Laurie Duker, Phelan Fretz, John Gannon,
River (Cleveland, Ohio, USA) caught fi re in June 1969,
Walter Garvey, Udo Gattenloehner, Reginald Gilbert, Herb Gray,
which led to the establishment of the United States
Bernhard Griesinger, Salvador Montenegro Guillen, Susanna
Environmental Protection Agency (EPA) and the passage
Hakobyan, Marion Hammerl, Rafi k Hirji, Buzz Hoerr, William G.
of the Clean Water Act (CWA). Another example is the
Howland, Karen Jenderedjian, Sven Eric Jorgensen, Anastasio
Aral Sea drying up, forcing international collaboration.
A. Juras, Aija Kosk, Richard Kujawa, Sandri Kycyku, Stephen
This is true despite universal endorsement of the
Lintner, Benjamin Lugo, Jon MacDonagh-Dumler, Eric Madden,
Precautionary Principle (Agenda 21) and evidence that
Christopher Magadza, Carlos Frederico Silveira Menezes,
prevention is more cost-effective than restoration.
Kisa Mfalila, Valery S. Molotov, Victor Muhandiki, Masahisa
Nakamura, Eric Odada, Dejan Panovsky, Robert Paquin, ·
Science and Technology--Application of science and
Victoria Pebbles, Sylvain Primeau, Veli Puka, Walter Rast, Mario
technology produces very positive results in the early
Francisco Revollo, Alberto Lescano Rivero, Wayne Roberts,
phases of "concerted action." For example, municipal
Betsy Rosenbluth, Marco Aurelio dos Santos, Jacobo Sanchez,
wastewater treatment plants reduce water pollution in
Cynthia Scott, Lirim Selfo, Silas Rondeau Cavalcante Silva,
lake basins.

---

·
Key scientifi c challenges--One challenge is to translate
(TDA) in the grant planning process; preparing a
science in ways that can increase public awareness
Strategic Action Program (SAP); coordinating funding;
and understanding. A second challenge is conducting
and building local support. It requires decades of effort
research and monitoring programs that can inform
to develop strong transboundary commissions--it is
public policy, law, and regulations. Another challenge
impossible in just a few years.
is creating an inter-disciplinary interface between the
natural and social sciences.
·
Land and water interactions--Wise management of
land results in protection of the health of lakes. Control
·
Rich and poor countries--Differences between rich-
of point-source pollution may be successfully addressed
country and poor-country lake basins are not as great
through engineering solutions. Nonpoint-source
as might be expected. For example, 45 percent of
pollution is more diffi cult and requires zoning and land
lakes in the United States are impaired for one or more
use plans; changing management practices on the
designated uses.
land; increasing public environmental awareness; and
behavioral changes in society.
·
Effective involvement of citizens is essential but has
been achieved at very few lakes--The participants Regional Workshop for Asia
agreed that the experiences on Lakes Champlain,
Constance, Ohrid and Peipsi/Chudskoe are some of the
The regional workshop for lake basins in this study from Asia
more successful examples.
was held in Manila, Philippines in September 2003. The Asian
lake basins discussed at the workshop included Lakes Biwa,
·
Key problems are universal--The World Lake Vision Bhoj Wetland, Chilika Lagoon, Dianchi, Laguna de Bay, Toba,
identifi es threats from within and outside lake basins.
Tonle Sap, and Xinghai/Khanka.
The lake briefs show that there are only a few basic
types of threats, and they are universal. Participants The workshop was organized and hosted by the Laguna
agreed that global experience-sharing, such as through
Lake Development Authority with funding from the GEF. The
the Lake Basin Management Initiative, is helpful.
workshop was attended by 82 lake basin managers from
throughout Asia.
·
"GEF" versus "Non-GEF" lake basins--The Global
Environment Facility (GEF) support is important The participants were Nurul Amin, Augusto Baculio, Thomas
to help focus on institutions, but it has several Ballatore, David Read Barker, K.S. Bhatta, Jerry Bitoon, Lisa
limitations. Short-term, project funding in some cases
Borre, Manuel Bravo, Joanne Caldito, Jose K. Carino, Calixto
is inadequately integrated with existing institutions R. Cataquiz, Jiahoa Chen, S.S. Chitwadgi, Chanrithy Chuon,
and other bilateral investments. The GEF's focus on D.P. Dash, Juan Du, Maristel Espiritu, Fumio Fukada, Abundio
awarding grants to national governments may overlook
Galicia, Jr., Tony Garvey, Asish Kumar Ghosh, Bebeth Gozun,
local institutions, which are important for creating and
Nathaniel Halili, Gadis Haryani, Liping He, Peter Hehanussa,
sustaining commitments.
Rafi k Hirji, Shinji Ide, Robert Jaworski, Xiangcan Jin, Marko
Keskinen, Mohan Kodarkar, Seakly Kung, Y. Lavy, Sopha Lieng,
·
Economic valuation--There is a crucial need to Eduardo V. Manalili, Diego Mapandi, Sinta Marpaung, Xiannan
harmonize economic development, watershed Meng, Shive Mangal Misra, Haryatiningsih Moedjodo, Crispinna
management, and biodiversity conservation. It is also
Muan, Victor Muhandiki, Aniruddhe Mukerjee, Hiroshi Murata,
important to put a value on resources: economic, Tadashi Nagao, Reiko Nakamura, Masahisa Nakamura, Pradip
ecological, aesthetic, cultural, and social--this provides
Kumar Nandi, Shigeo Naruse, Ricardo Natividad, Wifrido Nava,
the basis for investment and consideration of trade-
Dolora Nepomuceno, James Nickum, Antonio Oposa, Gil Orgil,
offs.
Ajit Pattnaik, Sokhem Pech, Elrem Peña, S.S. Phadnis, Walter
Rast, Soleda Reyes, Bernardino Reyes, Filemon Romero,
·
Lake biodiversity conservation--In general, biodiversity
Violeta Sabuyao-Faizaz, Maricel Santiago, Ruben Santos,
loss is poorly tackled; there is very little guidance Adelina (Lennie) Santos-Borja, K. Jude Sekar, Jansen Sinamo,
on how to proceed. Activities often start at scientifi c
Victor Soliman, Kim Sour, Dennis Tiongson, Clariza Tullo,
rather than political institutions. Immediate crises often
Felix Tumangger, Chiharu Uyama, Olli Varis, Li Wang, Lilei Wu,
relate to water shortages. Many biodiversity initiatives
Xiaogang Yu, Pingyang Zhai, and Bo Zhou.
focus only on the fl ora and fauna of a lake, rather than
the basin as a whole (including rivers and wetlands).
The main lessons to emerge from the three-day workshop were
Integrated Water Resources Management (IWRM) must
as follows:
address ecological aspects.
·
Management institutions and stakeholder
·
Transboundary commissions--These are crucial to
involvement--A central authority for managing the lake
facilitate and enforce agreements; identifying key
can be effective, but management with wide stakeholder
problems through Transboundary Diagnostic Analysis
participation is more effective. If the stakeholders are
110
Appendix C

---

not convinced of the value of actions to safeguard and
·
Coordinated community participation--Community
improve lakes, then management actions, even when
participation needs to be coordinated and supported
they are well-coordinated, are unlikely to be effective.
to be effective. Community groups need access to
information and, in some cases, may need fi nancial
·
Lake basin management functions--A lake authority
support and training. They also need to have an
with strong policy making role and regulatory function
acknowledged role to play in the management of the
is likely to be more successful than an institution with
lake basin.
only a coordinating role. This is because a clear policy
direction is necessary to ensure that sectoral and other
·
Lake resources are major economic goods--Heavy
institutions all understand their contributions to lake
exploitation of lake resources becomes inevitable when
basin management.
poverty levels are high, to the point where resources can
be overexploited if there are not well-developed rules
·
Political support--Political interest and commitment
in place and good enforcement mechanisms. Economic
are essential for sustainable lake basin management.
valuation is necessary to determine the costs and
Without this level of active support, the sectoral and
benefi ts of lake basin resources in these circumstances.
other authorities will tend to focus on their narrow
constituencies and not work together.
·
Biodiversity conservation and poverty reduction--
Sustainable management of natural resources should
·
Education, engineering and enforcement--These
be integrated into a developing country's overall
terms make up the 3 E's of policy implementation.
poverty reduction strategy. If it is not, then biodiversity
Education is essential for knowledgeable involvement by
conservation will not be relevant to people struggling to
stakeholders; engineering solutions can sometimes be
make a living.
very effective; and unless rules are enforced, there will be
disputes regarding the use of the lake and its resources.
Regional Workshop for Africa
·
Start simple, and fi ne tune--Don't delay because of a lack
The regional workshop for the African lakes in this study was
of full knowledge about lake basin management. Instead,
held in Nairobi, Kenya in November 2003. The lake briefs
it is better to start using whatever information is available
for Lakes Baringo, Chad, Malawi/Nyasa, Naivasha, Nakuru,
and modify the approach as experience builds up.
Tanganyika, Victoria and the Kariba Reservoir were discussed,
as well as thematic papers on:
·
Finances are essential--Failure to implement
management plans is usually due to a lack of fi nancial
·
African Lake Management Initiatives: The Global
resources rather than a lack of management expertise
Connection;
and willingness. However, obtaining suffi cient fi nances
is extremely diffi cult, especially in developing countries.
·
Lake Basin Management Problems in Africa: Historical
and Future Perspectives;
·
International funding--International funding, such as
GEF funding, is a big boost to environmental protection
·
The Management Challenges of Freshwater Fisheries in
and enhancement in a lake basin. These funds are usually
Africa;
much larger than the national and local funds available to
lake managers in developing countries and provide many
·
Sustainability of Lake Management Projects in Africa;
opportunities to establish the basics of good management.
and,
However, they are also usually accompanied by many
restrictions and administrative requirements.
·
Lake Basin Management Problems in Africa.
·
The value scientifi c information--The funds wasted The workshop was hosted by the Pan-African START Secretariat
because of a lack of scientifi c knowledge far outweigh
in Nairobi, Kenya with funding support from the GEF. Workshop
the required investment in science. A scientifi cally
attendees included 122 water resources managers from 24
well-informed decision is important not because it will
countries.
always be correct, but because it can be assessed and
corrected with new scientifi c fi ndings.
The participants were: William Ainoshirogo, Mai Moussa
Katiella Abdou, Mady Pascal Amule, Oyugi Aseto, Augusto
·
Communicating scientifi c information--Unless
Hojas Baculio, John S. Balirwa, Moses Banda, David Read
scientifi c information is made simple for the general Barker, Robert Becht, Benoit Bihamiriza, Rodrigues Bila, Lisa
public and becomes common knowledge among people,
Borre, Fred Bugenyi, Phillip Bwathondi, Alberto Calcagno,
it is unlikely to be accepted.
Kipyego Cheluget, Munyaradzi Chenje, K.G. Chesang, Oscar
Chilanga, Deonatus B.R. Chitamwebwa, J. Richard Davis,
Salif Diop, Micheal B. Dolozi, Maura Finlay, Nathan Gichuki,
Summary Outcomes from the Regional Workshops
111

---

Nancy Gitonga, Gabriel Hakizimana, Robert Hecky, Sarah ·
Cultural issues are important--Community organization
Higgins, Shinje Ide, Iyabo Olanrewaju Idowu-Ominiyi, Sven
needs to take cultural issues into account, including
Erik Jorgensen, Abakar Mahamat Kaila, Clarkson Karan, Jerome
gender issues.
Karimumuryango, J.W. Kariuki, Martha Karua, F. Katangira, E.
Katunzi, Sixtus Kayombo, Misa Kemmiya, Sean Khan, George
·
Identify stakeholders--Although community participation
Okeyo Khroda, Elija Kinyangi, Philip Kisoyan, Shadrack
is key to lake basin management, it can be diffi cult to
Mulei Kiithia, Michel Dimbele Kombe, Asa Kule, Andrew
identify the stakeholders. They may be groups far distant
Kulecho, Levy Kusangaya, Patrick Machio, Christopher H.D.
from the lake itself, including in the upper lake basin.
Magadza, A. Mahatane, Esther Makwaia, Kisa Mfalia, Ratemo
Michieka, Patrick Milimo, Theresa Mjenge, Malcolm Moodie,
·
Appropriate technology--Technologies that are
Mahamane Moussa, Rose Mugidde, Victor Muhandiki, Ruzika
introduced into lake basin management should be
N. Muheto, Edith Nana Mussukuya, Masahisa Nakamura,
within the capacities and fi nancial means of local
Hermes Mushayuma Namegabe, Robert Ndetei, Charles
institutions. There need to be adequate resources
Ndlovu, Ebozo Daniel Ndong, Magnus Ngoile, Vida Ngomuo,
assigned to manage and operate technologies such as
Jim Nickum, Karoli Nicholas Njau, Francois Xavier Kachuka
databases and GIS.
Nkomerwa, Hudson Hamis Nkotagu, Muderhwa Nshombo,
Gaspard Ntakimazi, John Ntambirweki, Micheni Ntiba, Fiona
·
Water is a social and an economic good--Water is an
Nunan, Christopher M. Nyirabu, Jerome Nzojibwami, Peninah
economic good that should be paid for by the user in
A. Obudho, Eric O. Odada, Ngure Odeny, Johnson Oguntola,
order to cut down on waste. It is also a social good and
Richard Ogutu-Ohwayo, Tom Okurut, Daniel Olago, Obiero
there needs to be provision for the poor who cannot
Ong'ang'a, Japheth Onyando, George E.O. Owiti, Lekan
afford to pay for the water.
Oyebande, James Phiri, Marie Prchalova, Jackson Raini,
Walter Rast, Richard Robarts, Mouhyddine M. Saleh, Adelina
·
Institutions need to be long-term--It is crucial to set up
Santos-Borja, Henry M. Sichingabula, Richard Dawson Sipawe,
necessary institutions that would take care of enforcement
Suleiman Garba Suleiman, Alphonse Marie Takougue, Lambert
and monitoring after the project is completed.
Tam, C. Tapfumanei, Anna Tengberg, Anada Tiega, Atsuko
Toge, Mwakio Tole, Micheal J. Tumbare, Anne-Marie Verbeken,
·
Institutional representation at the lakeshore--When
Mathias W. Wafula, Enock Wakwabi, George Wamukoya,
the lake is remote from the capital city and its
Jane Wamuongo, Shem Wandiga, Portia Chiyedza Wanink,
institutions, such as the ministries, much thought
Bartholemew Wanyama, Kelly West, and Yuji Yoshioka.
needs to be put into sustainability. Do you take the
institutions that are on the lakeshore and train them to
The main lessons to emerge from the workshop discussions were
do things that are outside their mandate, or do you wait
as follows:
for appropriate institutions to be established in the lake
basin?
·
Shared visions are important for transboundary
lakes--It takes time, but unless everyone agrees and
·
Importance of research and teaching--Research and
is working toward a shared goal and objectives, then it
education should be key project components. Lake
probably is not worth continuing with attempts at joint
basin management needs to be incorporated into the
management. The time taken may appear as planning
education curricula of universities.
paralysis to outsiders, but it is essential. Also, countries
are different and any workplan needs to recognize ·
Local expertise--Local expertise should be used
that countries are all working at different levels and
whenever possible. Some projects overlooked
capacities. To keep them interested, the workplans must
local expertise in their design and implementation.
be tailored to their individual needs.
Indigenous knowledge should be used in the design and
implementation of projects.
·
Climate change is a real issue--Climate change is
complex and affects lake basins in different ways. In
·
Dialogue between managers and researchers--
some lakes, it is already apparent in the form of reduced
Research must be designed to contribute to management
water infl ows. Lake basin planning should include the
interventions. There needs to be dialogue at the beginning
effects of climate change.
between resources managers and researchers so that the
scientifi c interventions will best address the management
·
Political support is crucial--Lake basins can only be
needs. Managers need to communicate to scientists as
managed with political support. In the effort to obtain
much as vice-versa. In this way, policy makers will be
funding, lake managers need to strategize on funding to
educated by scientists so that the right policies are put in
convince politicians.
place. There is also a need to simplify scientifi c research
to include the aspirations of politicians.
112
Appendix C

---

Appendix D
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Appendix E
Maps of the 28 Lake Basins

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116
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Maps of the 28 Lake Basins
117

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118
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119

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120
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121

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122
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123

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124
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125

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126
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127

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128
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Maps of the 28 Lake Basins
129

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130
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Maps of the 28 Lake Basins
131

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LAKE NAKURU BASIN
K E N Y A
Drainage Basin Boundary
Park Boundary
River
Lake
Kabatini
Selected City
1998
19861970
sur R.
1930
0

5 km
Ngo
Nakuru
Njoro
Boundary of Lake Nakuru
N
National Park
Larmudiac R.
Lake
R.
Nakuru
Njoro
Naishi
R.
ia
rit R.
Bagaria
Nde
Makal
Elementeita
Miti
Mingi
Kiptangwanyi
Mau Narok
Kiambogo
Boundaries and locations are approximate
and should not be considered authoritative.
ILEC/0.36S/36.09E/110106
132
Appendix E

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Maps of the 28 Lake Basins
133

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134
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135

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136
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137

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138
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139

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140
Appendix E

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Maps of the 28 Lake Basins
141

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142
Appendix E

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Appendix F
Nairobi Statement, Nairobi Declaration, and Kampala
Resolution
This Appendix presents the Conference Statement and the when abused, and harbor many secrets in their complex
Water Ministerial Resolution issued at the conclusion of the
dynamics. For these reasons:
11th World Lake Conference held in Nairobi, Kenya from 31
October through 4 November 2005, and the Main Points of
·
We must base management decisions fi rst and foremost
the Declaration issued during the 9th Meeting of the Ramsar
on local knowledge and insight, and
Convention held in Kampala, Uganda from 8-15 November
2005. Collectively, they capture important messages and the
·
We must use available resources to build institutional
way forward regarding the integrated management of lakes,
capacity and scientifi c understanding at the community
wetlands and other impounded waters and their basins.
level, and to enhance the power of local people to fi nd
solutions, thereby bridging the gap between scientists,
Nairobi Statement of the 11th World Lake
decision-makers and society.
Conference
At the same time, local people on the front line must assume
4 November 2005, Nairobi, Kenya
responsibility along with power, since local behavior is often
As fossil footprints in ancient lake beds testify, the rich the source of damage to lakes. They must recognize that a
resource of lakes were a magnet for early humans tens of healthy lake comes at a cost, and that an unhealthy lake has
thousands of years ago here in Africa, and they have continued
its costs. In cases where user fees are the chosen tool to
to be so through human history to our own day. The challenge
encourage wise behavior, it is vital that the community retain a
now facing us is to preserve the world's lakes, complex life-
good part of the proceeds to continue their efforts.
supporting ecosystems containing more than 90 percent of the
liquid freshwater on the earth's surface, so they can continue
National institutions also are vital for fostering awareness,
to provide physical and spiritual support for the generations
promoting participation, and bringing together diverse
that follow us.
interests within lake basins. When capable and effective,
they provide the arena for developing broad management
To address this management challenge, we must recognize
efforts that consider the lake basin as a whole, and its broader
that the future of lakes depends on our understanding and
connections with the linking water systems and atmospheric
appreciation of the wider connections:
infl uences. They also provide a forum for addressing the often
confl icting needs of those who inhabit lake basins and depend
·
With the surrounding landscape and human activities on
on lake resources. Without such an overarching framework and
it,
comprehensive perspective, there are few means for resolving
confl icts over water or lake resources, or for integrating
·
With the linking water system of rivers, groundwater,
local efforts to maintain lake health into national programs
and wetlands,
and development plans. In setting these policies, national
authorities must consider lake communities and ensure that
·
With the winds that carry nutrients and contaminants in
the widest range of interests depending on lakes enjoy their
from afar,
benefi ts. In addition, national leaders act in the international
arena, where they can illuminate problems--such as
·
With the rapid human changes to the Earth's atmosphere
transboundary management, long distance air pollution and
which are driving climatic instability.
climate change--and press for solutions. The World Lake
Vision, launched at the 3rd World Water Forum in Japan, and
We must also recognize the primary importance of the the lessons learned from the Lake Basin Management Initiative
people who use lake resources and immediately experience
launched at this 11th World Lake Conference, highlight these
damaging consequences. These lake dwellers, both men and
issues and suggest ways to achieve successful lake basin
women, carry the cultural memory of the community and the
management.
lake through time, and often have the best knowledge about
the source of problems and viable solutions. This long-term
International assistance can provide a vital impetus for
perspective is essential because lakes have long memories
sustaining the health of lakes and their resources, but it is not

---

the ultimate solution for managing the interaction between
The Ministerial Dialogue underscored the principles of the
human activity and these living systems. Experience around
World Lake Vision launched at the Third World Water Forum
the world shows that international funding from sources such
in Kyoto in 2003, the recommendations of the Report of the
as the GEF, can catalyze efforts to manage human activities
Lake Basin Management Initiative (LBMI) entitled, "Managing
in lake basins. But in the longer term, local and national Lakes and their Basins for Sustainable Use: A Report for Lake
governments must ensure the ongoing and stable funding Basin Managers and Stakeholders" launched at the 11th
needed to continue the task. Local governments will have World Lake Conference and the proceedings of the 11th World
to experiment with innovative approaches, such as fees for
Lake Conference as important contributions for enhancing
lake use, in order to achieve this goal. It is equally essential
equitable access to water resources for ensuring food security,
that communities retain and use some of the funds raised addressing poverty and promoting economic development in
in this way to further their efforts on behalf of the lake, and
Africa.
those living and working in the lake basin. Above all, when
addressing lake problems, international agencies must place
The Ministerial Dialogue recognizes:
primary importance on local needs when developing their
action agendas and programs.
·
That lakes, both natural and manmade, are essential
elements of the overall water resources system.
Over recent decades, we have been slowly learning how to
manage the interactions between human activity and these
·
That lakes and lake basins provide many uses for
living systems. This experience underscores the key role
sustainable livelihoods and economic development, and
of lakes in integrated water resources management. These
are important natural habitats for global biodiversity, as
experiences, which scientists and managers have gathered
well as serve religious and cultural values.
and synthesized, provide important lessons for sustaining
the health of both natural and manmade lakes that provide
·
That transboundary lakes provide opportunities for
water for humans and nature. It is imperative to embrace these
regional integration and cooperation.
lessons and build on them if we are to meet our pressing water
needs in the decades ahead.
·
That lakes and their basins are fragile and complex
ecosystems under serious stress.
The fact that water underpins virtually all the Millennium
Development Goals provides persuasive evidence of the need
·
That lake basins have some unique characteristics often
for strategic partnerships, including the private sector. These
with peculiar management needs.
can encourage equitable access to lakes and their resources,
in order to alleviate poverty, provide secure food supplies and
·
The important role of science in informing public policy
economic development, improving the lives and livelihoods of
and management decision making.
those depend on lakes and their resources.
·
The essential role of planning and sustained fi nancial
Nairobi Resolution of the Water Ministerial
support for effective lake basin management.
Dialogue at the 11th World Lake Conference
The Ministerial Dialogue reinforces:
4 November 2005, Nairobi, Kenya
This Nairobi Resolution was endorsed by a high-level African
·
That lake basin management is critical for sustainable
Water Ministerial Dialogue on "Management of Lake Basins
development and responsible economic growth.
for their Sustainable Use: Global Experience and African
Issues" held during the 11th World Lakes Conference in Nairobi
·
The central role lakes and reservoirs play in integrated
between October 31-November 4, 2005. According to the
water resources management.
UNEP Executive Director, Klaus Topfer, "This biennial World
Lake Conference, held for the fi rst time in Africa, represents a
·
The importance of both investments and good
signifi cant step in the efforts of the international community to
governance for sustainable lake basin management and
put our planet on a sustainable development path. It reinforces
development.
the commitments of the 170 Heads of States and Government
at the 2000 Millennium Summit, renewed by the World Leaders
·
The need for developing sustainable institutions--
at the 2005 World Summit in New York in September. They have
from community based to local/National level to
recognized the need for high-level attention and signifi cantly
Transboundary level management structures.
increased resources to achieve the water related Millennium
Development Goals (MDGs) and the 2005 Integrated Water
·
The need for sound policies for promoting sustainable
Resources Management (IWRM) targets, in clear recognition
lake basin management.
that water underpins all other MDGs."
144
Appendix F

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·
The essential role of all stakeholders, including the 1. UNDERTAKE to enhance conservation, develop
private sector, in the planning and management decision
communication and increase capacity in Contracting Parties
making of lake basins.
to the Convention, as well as in nations not yet Contracting
Parties in order to achieve a full balance between people and
·
The need for mainstreaming gender in integrated water
wetlands;
resources management.
2. EMPHASISE that the role of wetlands in supporting people's
·
The cooperative management of transboundary lake livelihoods is best achieved through the active participation
basins.
and involvement of local communities, although governments
and the international community have a key role in infl uencing
·
The use of both scientifi c and local knowledge to the wise use and conservation of wetland resources and CALL
support management decision making.
upon the private sector and civil society to collaborate and
play and an active role in mobilizing funding for wetlands, to
·
The need for good planning and mobilization of promote and sustain the wise use concept;
sustainable fi nancing for lake basin management.
3. UNDERTAKE to implement concrete actions to address the
The Ministerial Resolution calls for making integrated commitment in the Johannesburg Plan of Implementation
management of lake basins a long-term element of:
which urges countries to reduce biodiversity loss by 2010
and FURTHER UNDERTAKE to strengthen the list of Wetlands
·
Government and public priorities.
of International Importance as a contribution to the global
network of protected areas initiated at the World Summit for
·
Planning and fi nancing processes.
Sustainable Development;
·
Integrated water resources management.
4. EMPHASISE that wetlands, with surrounding ecosystems,
are essential in mitigating against natural disasters (such
·
Habitat and biodiversity conservation programs.
as hurricanes, typhoons and tsunamis) and adapting to
global climate change including the negative impacts of
·
Economic development programs.
desertifi cation;
The Ministerial Resolution recommended:
5. ENCOURAGE the rehabilitation and restoration of wetlands,
especially in coastal systems and lake shores, in order to
·
The strengthening of local capacities for managing lake
enhance and sustain benefi ts for people;
basins in a sustainable manner.
6. CALL for appropriate valuation of wetland resources,
·
The establishment of a center for excellence in Africa for
adding value to wetland products and services, and for smart
promoting a new generation of water and environmental
marketing of wetland products by the involvement of private
planners and managers with skills in lake sciences, sector or through Public/Private Partnerships in order to
limnology and aquatic and environmental sciences.
promote wetland wise use and conservation; We emphasize
the need for innovative economic incentives;
·
That the UN consider establishing an International Year
for Lakes.
7. AFFIRM that there is a need for synergistic relationships
between the Convention on wetlands and other relevant
·
The mobilization of funds for supporting IWRM to meet
conventions in the fi eld of sustainable development to
the MDGs.
obtain the best ecological outcomes for wetlands. For this we
ADVOCATE harmonizing and de-sectoralising the development
Main Points of the Kampala Declaration of the
and implementation of policies at all levels, international,
9th Meeting of the Conference of the Parties to
regional, national to local, and integrating water and
the Convention on Wetlands (Ramsar Convention)
biodiversity policies including in integrated water resource
management (IWRM). We also CALL for cross agency and cross
12 November 2005, Kampala, Uganda
donor cooperation;
The Ministers and high level representatives present at the
informal ministerial dialogue...
8. ADVOCATE and URGE development and implementation of
transboundary and cross national systems and approaches to
...STRONGLY FEEL it is becoming critical thus to redress this
the management of wetland ecosystems is necessary;
situation of continuing loss and degradation of wetland
ecosystems globally and the impacts of these losses on people
9. REAFFIRM that the international support given by the
and livelihoods, and:
World Summit of Sustainable Development (WSSD) for
the implementation of the NEPAD Environment Action Plan
Nairobi Statement, Nairobi Declaration, and Kampala Resolution
145

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is essential and we URGE the Ramsar Secretariat and its
IOPs to liaise with development partners, and multilateral
organizations and facilities (GEF, Regional Development Banks,
EU, etc.) to identify sustainable funding mechanisms for the
implementation of the Convention in Africa. We recognize
the Arusha Call of April 2005 as a valuable cornerstone for
the coordinated work on wetlands in Africa and EMPHASISE
the need for stronger coordination of environment, water and
wetlands related initiatives;
10. EXPRESS our concern about the incidences of the highly
pathogenic avian infl uenza (HPAI) and the risks to people,
migratory birds and poultry farming, and highlight the
necessity of developing good monitoring systems. We also
EMPHASISE the need for further research and exchange of
information and knowledge on HPAI in relation to wetlands
within and between member states.
146
Appendix F

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