Application of the Hydropower Sustainability Assessment Protocol in The Zambezi River

The objective of the technical assistance program on the “Application of the Hydropower Sustainability Assessment Protocol in the Zambezi River Basin” was to assist the Riparian States in development and utilization of the hydropower potential of the basin in a sustainable and responsible way. The Hydropower Sustainability Assessment Protocol is a methodology for measuring sustainability of hydropower projects across a range of more than 20 environmental, social,technical, and business topics. The program sought to promote the development and use of the Protocol as a guiding framework for sustainability that can help balance mutual dependencies among different water users across the basin. This was implemented in collaboration with the members of Zambezi River Basin Water Resources Managers and Dam Operators (ZAMDO) and in coordination with the Zambezi Watercourse Commission as part of a broader program of support in the basin. The program supported three dam operators: (i) ZESCO in Zambia, which is a co-owner of the Itezhi-Tezhi Hydropower Station; (ii) the Zambezi River Authority (ZRA), which is a bi-national entity owned by Zambia and Zimbabwe responsible for the Kariba Hydroelectric Scheme (HES) and development of the shared sections of the Zambezi River, including the Batoka Gorge HES; and (iii) Hidroeléctrica de Cahora Bassa (HCB) in Mozambique, which is responsible for the operation of the Cahora Bassa HES. The program was based on an assisted self-assessment approach consisting of assessments conducted internally by a team from within the developer or operator organization with the assistance of IHA-Accredited Assessors, who advised in the interpretation and application of the Protocol. This was the first use case of the assisted self-assessment approach and the first use of the Protocol at the basin scale with multiple operators. The program commenced with introductory training by Accredited Assessors followed by longer on-the-job training with each organization separately as well as site visits and interviews. Each of the developers or operators prepared a full report based on their selfassessments. These were presented in a similar style as an official assessment, reporting against the Protocol’s basic good practice and proven best practice requirements on all topics. Accredited Assessors provided comments on the substance of the findings, including significant gaps. Each operator developed an action plan based on the gaps, with recommended management actions and a proposed timeline for closing the gaps. The internal assessors generally tended to over-score on the initial attempt. However, subsequent to receiving feedback from the Accredited Assessors, the reports were updated and much more critical. Based on the review of the reports by the Accredited Assessors, five topics met or exceeded basic good practice for the Preparation stage tool used in the assessment of the Cahora Bassa North Bank (CBN); 17 for the Preparation stage tool used in the assessment of the Batoka Gorge HES; and 10 for the Operation stage tool used in the assessment of the Itezhi-Tezhi Hydropower Project (ITT). In a few cases, the Accredited Assessors did not have enough information on which to base a judgment. Several criteria were deemed not relevant to the individual projects, and none of the projects recorded any topics meeting proven best practice. Each of the operators articulated an action plan based on their priorities for addressing gaps, focusing first on those at the basic good practice level. In addition to the management actions at the individual project level, the operators identified potential actions to be implemented at the basin scale as part of the efforts to improve hydropower sustainability. These include (i) improving dam safety assurance, building on the joint dam break analysis being carried out for the Zambezi River; (ii) moving toward joint operations to optimize hydropower operation through the ZAMDO-JOTC; and (iii) development of a basin-level reporting tool to encourage operators in the basin to continually assess their sustainability performance and share the findings in a transparent manner. An official assessment of the existing Cahora Bassa HES (Dam and South Bank Power Station) was carried out using the Operations stage tool as one of the follow-on actions identified by HCB from the self-assessments. A team of three independent Accredited Assessors carried out the assessment between March and June 2018 with the onsite visit taking place from April 17 to 26, 2018. The assessment concluded that the project met basic good practice on seven topics and proven best practice on three topics. Of the remaining topics, five were considered not relevant, primarily due to a lack of commitments made during project preparation and implementation. The remaining three topics were assessed with gaps against basic good practice. In addition to the official assessment report, the results of the Cahora Bassa HES assessment were presented using the new Environmental, Social and Governance (ESG) Gap Analysis tool under development by the Protocol Governance Committee. This important test case will serve to inform further refinement of the ESG tool before it is officially launched. The program is judged to have met its objectives and made an important contribution to the sustainable development and management of water resources in the Zambezi River Basin. Through a structured process of training, self-assessment, engagement, and reflection, representatives from a range of operators and water resources managers have developed the skills to apply the key principles enshrined within the Protocol. Among the lessons learned from the program are that some degree of objectivity is sacrificed in the self-assessment approach, but there are ways to partially mitigate this. These include using staff from other parts of the organization to carry out the assessment instead of those staff working directly on the project, to use a peer-to-peer process among the different operators within the basin, and to have the results verified independently by Accredited Assessors. Using the Protocol for self-assessment, though less rigorous, still requires significant resources, especially staff time to carry out the assessments in addition to their other duties. The Protocol is also highly dependent on timely information, and it requires skillful interviewers to extract useful feedback from external stakeholders. A number of recommendations based on this experience are also provided. These include lessons for three main audiences: (i) ZESCO, HCB, and the ZRA, which participated in the program; (ii) regional stakeholders with an interest in improving hydropower development and management in the Basin; and (iii) stakeholders involved in the further use and development of the Hydropower Sustainability Assessment Protocol. Operators are recommended to use the Protocol’s Preparation-stage tool for selfassessment together with independent verification early in project development. Reviewing the environmental and social management systems against the Protocol and designating focal points from within the organizations to monitor and follow-up on specific actions could enhance performance. Consultation and communication was identified as a recurring gap in all the assessments and could be addressed through a coordinated effort with a basin level initiative. Further development of the regional reporting tool by the JOTC, the Zambezi Watercourse Commission (ZAMCOM), and other regional stakeholders could provide a foundation for continuous improvement and facilitate the process toward phasing in of joint operations. In terms of the Protocol tools and their governance, there should be further efforts to make the Protocol as useful as possible across a range of environments, capacity constraints, and development contexts. This should include rethinking assessment logistics to provide more hands-on guidance and testing more flexible ways of using the Protocol. Future programs embarking on a similar self-assessment approach should consider strengthening the verifier role of Accredited Assessors and structuring the program in a phased manner to ensure high-quality responses to action plans by way of just-in-time advisory services.