THE LAW OF THE RIVER
THE LAW OF THE R IVER
Transboundary
River Basin Management and Multi-Level Approaches to Water Quantity Management
Cathy Suykens
Cambridge – Antwerp – Portland
Th e Law of the River. Transboundary River Basin Management and Multi-Level Approaches to Water Quantity Management
© Cathy Suykens 2018
Th e author has asserted the right under the Copyright, Designs and Patents Act 1988, to be identifi ed as author of this work.
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Cover image: © Bryan Hutton – Shutterstock.com ISBN 978-1-78068-631-8 (paperback)
ISBN 978-1-78068-660-8 (PDF) D/2018/7849/28
NUR 828
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Intersentia v
ACKNOWLEDGMENTS
Th is book is based on the author’s PhD research, which has partly been written in the framework of the European Union’s Seventh Programme for Research, Technological Development, and Demonstration within the STAR-FLOOD project (grant agreement no. 308364).
Th is book had been printed with the fi nancial support of the Stichting Schilthuisfonds in Th e Hague. Th e author would like to thank the Flemish Research Foundation (FWO) for its support in enabling a research stay at Vermont Law School (Environmental Law Center) in the United States in the summer of 2014 and the faculty of the Environmental Law Center for accommodating my research stay, which has been very inspiring. Warmest thanks is extended to Pascale Van Houtte at Intersentia for her support in publishing this book.
Th e author’s sincere thanks is extended to the members of the jury for their invaluable feedback and support and in particular, prof. dr. Kurt Deketelaere and prof. dr. Marleen van Rijswick for their continuous support throughout the course of this PhD and book. Th ank you professors Michael Faure, Annelies Freriks, Geert Van Calster, Simone Borg and Ellen Hey for all your help. Th e author would like to thank all the water management professionals who agreed to be interviewed as part of this research. A special thank you to Marina, Titia and Klaartje for your support in fi nalising this PhD and in the run up to the defence.
Warmest thanks to my parents and brother for their unconditional love and support, which have been instrumental attributes to the successful fi nalisation of the PhD preceding this book. To my friends and colleagues: thank you for all our shared laughter and conversations. A special thank you to Olivier and Claire, for making daily life joyful, warm and exciting.
Th is work is dedicated to every person that has been aff ected by natural disasters and aims to contribute to the eff orts of rendering our society more resilient.
Cathy Suykens
Intersentia vii
CONTENTS
Acknowledgments . . . v
Figures and Tables . . . xv
Acronyms . . . xvii
Chapter I Introduction . . . 1
1. Subject and problem defi nition . . . 1
2. Th e importance of integrated river basin management . . . 3
2.1. Increasing pressure on water resources: the Holocene hangover . . . 4
2.2. Quantity management in relation to quality management . . . 6
2.3. Transboundary, transboundary, transboundary . . . 8
2.4. Summing up: added value . . . 10
3. Methods . . . 10
3.1. Comparative analysis of the river basins . . . 10
3.1.1. Selection of river basins . . . 10
3.1.2. Validity of the comparison . . . 12
3.2. Method of evaluation . . . 16
4. Th eoretical framework . . . 18
4.1. Introduction . . . 18
4.2. Subject of evaluation: what should be resilient? . . . 18
4.3. Uncertainties in transboundary water management: resilient regarding which phenomena? . . . 19
4.4. Foundations of resilience and adaptive capacity . . . 20
4.5. Benchmarks of evaluation . . . 23
4.5.1. Schematic overview of benchmarks . . . 23
4.5.2. Discussion of benchmarks . . . 25
4.5.2.1. Equitable and reasonable utilisation and the no harm-rule . . . 25
(a) Background: International theories governing shared waters . . . 27
(b) Th e principle of equitable and reasonable utilisation . . . 30
(c) Th e “no-harm” rule . . . 33
(d) Conclusive remarks on the application of the principles . . . 34
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viii Intersentia
4.5.2.2. Integrated river basin management at the
hydrological scale . . . 36
4.5.2.3. Meaningful public participation . . . 40
4.5.2.4. Monitoring and opportunities for learning. . . 42
4.5.2.5. Enforcement and eff ectiveness . . . 43
Chapter II Th e EU Legal Framework for Transboundary Waters with a Focus on Water Quantity Management . . . 47
1. Introduction and delineation of scope . . . 47
2. Five pillars of the transboundary legal water regime in the EU . . . 49
2.1. Preliminary overview of water law in the EU . . . 49
2.2. Pillar I: Scope . . . 49
2.2.1. Th e geographical coverage . . . 50
2.2.2. Th e physical coverage . . . 52
2.2.3. Th e material scope . . . 55
2.2.3.1. Quantity in its relation to quality water management . . . 55
2.2.3.2. Th e legal basis for water quantity at EU level . . . 57
(a) Subsidiarity and proportionality . . . 57
(b) Diff erent decision-making procedures . . . 59
2.2.3.3. Th e legal basis for water quantity management through time . . . 61
2.2.3.4. Th e struggle for balance of the Water Framework Directive . . . 63
2.2.3.5. Th e Floods Directive: based on the Environment Title . . . 65
2.2.3.6. Th e scope of quantitative water management . . . 66
2.3. Pillar II: Substantive provisions . . . 67
2.3.1. Surface water . . . 67
2.3.1.1. Good status for surface water . . . 68
2.3.1.2. Water services and the cost-recovery principle . . . 72
(a) Th e cost-recovery principle . . . 73
(b) Water services . . . 75
2.3.1.3. Substantive obligations for fl oods . . . 78
2.3.2. Groundwater . . . 80
2.4. Pillar III: Procedural rules . . . 82
2.4.1. Proceduralisation in the EU Water Landscape . . . 82
2.4.2. Procedural requirements with regard to water quantity management, including fl ood risk management . . . 83
2.4.2.1. Th e duty to cooperate – general. . . 83
2.4.2.2. Plans, programmes and objectives setting . . . 85
Contents
Intersentia ix
2.4.2.3. Prior exchange of information in the context of
cartography . . . 87
2.4.2.4. Prior notifi cation of planned measures . . . 87
(a) Quantitative water management measures included in the EIA scope . . . 88
(b) Eff ect on the environment . . . 90
(c) Transboundary aspect . . . 91
2.4.2.5. (Transboundary) public participation . . . 92
(a) Transboundary public participation in the water directives? . . . 95
(b) Citizens’ Juries: a useful tool? . . . 99
2.4.2.6. Monitoring and reporting . . . 101
2.5. Pillar IV: Institutional mechanisms . . . 102
2.5.1. Scope of application . . . 102
2.5.2. International River Basin Districts . . . 103
2.5.2.1. Member States’ coordination eff orts . . . 108
2.5.2.2. Th e Common Implementation Strategy. . . 109
2.6. Pillar V: Dispute settlement and enforcement . . . 110
2.6.1. Th e Commission as mediator . . . 111
2.6.2. Th e exclusive jurisdiction of the CJEU: a challenge . . . 113
2.6.3. Between mediation and exclusive jurisdiction: No middle ground . . . 116
3. Conclusion . . . 116
Chapter III ‘Come Hell and High Water’ – Th e Law of the Scheldt District . . . 121
1. Introduction and approach . . . 121
1.1. General . . . 121
1.2. Approach to fi nding the Scheldt puzzle pieces . . . 122
2. Legal landscape and toolbox in the Scheldt District . . . 125
2.1. Flood risk management strategies in diff erent institutional settings 125 2.2. Th e Flood Risk Management Realm . . . 127
2.2.1. Th e physical vulnerability to fl ood risks in the Scheldt States . . . 127
2.2.2. Implementation of the Floods Directive: General . . . 129
2.2.3. Legal instruments to operationalise fl ood risk management . . . 135
2.2.4. Th e application of plans and programmes . . . 140
2.2.5. Th e existence (or lack thereof) of legally enshrined safety standards. . . 145
2.2.6. Preparing for and recovering from fl oods . . . 147
2.2.7. Public participation in the basin countries . . . 152
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x Intersentia
2.3. Preliminary conclusion . . . 154
3. Th e nuts and bolts of (hydrological scale) governance and the actor landscape in the Scheldt District . . . 157
3.1. Th e designated hydrological scales . . . 157
3.2. Th e competent authorities at the relevant (hydrological) scale . . . 160
3.3. Conclusion . . . 178
4. Th e three dimensions of cooperation in the Scheldt District . . . 180
4.1. National level promotion of international cooperation in the Scheldt . . . 180
4.1.1. Th e duty to cooperate as enshrined in the national frameworks . . . 180
4.1.2. Cross-border consultation and public participation . . . 183
4.1.3. Th e solidarity principle . . . 184
4.2. Regional cooperation in the Scheldt District . . . 185
4.2.1. Tools for regional cooperation available to the Scheldt riparians . . . 185
4.2.2. Domestic legal provisions on decentralised cooperation in the Scheldt District: Th eory . . . 200
4.2.3. Cooperation in practice . . . 205
4.2.4. Cooperation in theory and cooperation in practice: A good match? . . . 212
4.3 International cooperation through the ISC . . . 212
4.3.1. Legal basis for cooperation . . . 212
4.3.2. Organisational structure . . . 214
4.3.3. Th e ISC: Advisory body without binding powers . . . 214
4.3.4. Lack of focus on water quantity management from a legal perspective . . . 216
4.3.5. “Signifi cant increase of fl ood risks” . . . 217
5. Conclusion: Evaluation of the Scheldt Regime . . . 218
5.1. Equitable and reasonable utilisation and the no-harm rule . . . 218
5.2. Integrated river basin management at the hydrological scale and nested governance . . . 222
5.3. Meaningful public participation . . . 226
5.4. Monitoring and opportunities for learning . . . 227
5.5. Eff ectiveness and enforcement . . . 228
6. Looking back and looking forward . . . 230
Chapter IV Case Study: Transboundary Water Governance in the United States with a Focus on the Delaware Basin . . . 233
1. Introduction . . . 233
2. United States legal framework for water management: Background . . . 235
Contents
Intersentia xi
2.1. Climatological background to river basin management . . . 235
2.2. River basin management . . . 236
2.3. Competent authorities in US water management . . . 237
2.4. Federal-state dynamics . . . 239
2.5. History of water governance in the United States . . . 241
2.5.1. State-based federalism . . . 241
2.5.2. More prominence for the federal level . . . 242
2.5.3. Major federal acts as milestones and more equal footing for states . . . 244
2.5.4. Decrease of federal funding . . . 245
2.5.5. Push in river basin management . . . 245
2.6 Preventing and solving interstate water disputes . . . 246
2.7. River basin management: Types of governing entities . . . 254
3. Th e Delaware River . . . 255
3.1. Justifi cation of choice . . . 256
3.2. Natural characteristics of the Delaware . . . 256
3.3. Governance of the Delaware in the 20th and 21st centuries . . . 258
3.4. Th e nuts and bolts of the Delaware governance mechanism . . . 260
3.4.1. Th e scope of the Delaware Compact: comprehensiveness fi rst . . . 261
3.4.2. Powers of the Delaware Commission: far-reaching . . . 262
3.4.3. Composition and funding of the Commission: Federal and state dynamics . . . 262
3.4.4. Powers of the Commission: General . . . 265
3.4.5. Legal character of the Commission . . . 268
3.4.6. Plans and programmes . . . 269
3.4.7. Flood risk management . . . 270
3.4.8. Withdrawals and diversions . . . 272
3.4.9. Limits to the power of the Commission . . . 275
3.4.10. Enforcement and dispute resolution . . . 276
3.5. Sub-basin initiatives in the Delaware Basin . . . 277
3.5.1. Introduction . . . 277
3.5.2. Examples of sub-basin schemes in the Delaware Basin . . . . 278
3.5.3. Conclusion on sub-basin and basin level interaction . . . 283
4. Conclusion: Evaluation of the Delaware River Basin Mechanism . . . 284
4.1. Equitable and reasonable utilisation and No-Harm . . . 284
4.2. Integrated river basin management and nested governance . . . 287
4.3. Monitoring and learning opportunities. . . 291
4.4. Meaningful public participation . . . 293
4.5. Eff ectiveness and enforcement . . . 296
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xii Intersentia
Chapter V
Recommendations . . . 297
1. Introduction . . . 297
2. Critical Success Factors . . . 298
2.1. Evaluative comparison . . . 298
2.2. Critical Success Factors. . . 300
2.2.1. CSF 1: Integrated approach to water management from the outset to enable further operationalisation on the basis of the supporting legal framework . . . 301
2.2.2. CSF 2: Th e overarching legal framework enables and supports eff ective basin-wide actions by the Basin Body within the basin as the main unit of governance . . . 304
2.2.3. CSF 3: A meaningful basin-wide plan and/or programme which defi nes actual measures and links with the sub-basin scales . . . 306
2.2.4. CSF 4: Clarity regarding principles underpinning the use of shared water resources and protocol for emergency situations . . . 308
2.2.5. CSF 5: Continuity in fi nancial resources independent from Parties’ allocations and adequate number of independent staff members in the Basin Body . . . 309
2.2.6. CSF 6: Enforcement is an important aspect of RBM and can be ex ante, i.e. proactive, and ex post, i.e. through reporting and compliance monitoring . . . 309
3. Application to the EU legal framework . . . 310
3.1. Toward a more comprehensive approach to IRBD management in the EU . . . 310
3.1.1. River Basin District Security as an overarching tool . . . 310
3.1.2. Remedying the primary law bifurcation between quantity and quality . . . 313
3.1.2.1. Article 192(2) under scrutiny . . . 313
3.1.2.2. Environmental fl ow: A useful bridge . . . 316
3.1.2.3. A matter of interpretation . . . 319
3.1.2.4. Revision of the Treaty provision . . . 322
3.2. Enhancing cooperation in IRBDs . . . 324
3.2.1. Th e question of Institutional Mechanisms . . . 324
3.2.2. Enhanced Cooperation Model (ECM) . . . 326
3.2.3. Th e EU Water Directives . . . 330
3.2.4. River Basin District Security assessment . . . 332
3.3. ECM implemented in IRBDs . . . 334
3.3.1. Institutional set-up and scope of the mechanism . . . 335
3.3.2. Connecting the dots within the IRBD . . . 338
Contents
Intersentia xiii
3.3.3. Instruments relevant to the lower level scales in the
territorial cooperation route . . . 339
4. Concluding remarks . . . 342
Chapter VI Conclusions . . . 345
1. Resilience theory as a tool for evaluation . . . 345
2. Lessons learned from the dissection of the EU legal framework . . . 346
3. Evaluation of the Scheldt and Delaware Mechanisms . . . 348
4. Critical Success Factors in relation to IRBD management in the EU . . . . 351
Bibliography . . . 355
Intersentia xv
FIGUR ES AND TABLES
Figure 1. Evaluation framework . . . 17
Figure 2. GWP’s Five Pillars of the Transboundary Water Legal Framework . . . 48
Figure 3. Overview of EU Water Law . . . 49
Figure 4. Th e Water Cycle . . . 52
Figure 5. Confi ned and Unconfi ned Aquifers . . . 54
Figure 6. International River Basin District Scheldt . . . 122
Figure 7. Flood Risk Management Strategies . . . 127
Figure 8. PARISs as a Bridge between FRMPs and RBMPs . . . 141
Figure 9. Sub-basins in the Flemish Region. . . 157
Figure 10. Sub-basins in the Netherlands . . . 158
Figure 11. Sub-basins in the Walloon Region . . . 158
Figure 12. Sub-basins in France . . . 159
Figure 13. Projected Changes to the Water Cycle in the US . . . 235
Figure 14. Th e Delaware River Basin . . . 255
Figure 15. Watersheds of the Delaware River Basin . . . 257
Figure 16. Graphic Overview of Critical Success Factors . . . 301
Figure 17. River Basin District Security . . . 310
Figure 18. Quantitative Management: Lower Bound – Upper Bound . . . 321
Figure 19. EU River Basin Districts Indicating Transboundary Cooperation . 333 Figure 20. Summary of Findings Related to CSFs and the EU Framework . . . 353
Table 1. Literature at the Heart of the Benchmarks . . . 23
Table 2. Th ree Aspects of the Pillar Scope . . . 50
Table 3. Water Quantity Measures Included in the EIA Directive . . . 88
Table 4. Pillars of the EU Legal Framework for Transboundary Water Management . . . 117
Table 5. Flood Risk Management Strategies and Examples of Cooperation . . 156
Table 6. Watercourses and Competent Authorities . . . 160
Table 7. Entities at the Hydrological Scale and their Characteristics . . . 178
Table 8. EGTC v Benelux v Brussels Agreement . . . 186
Table 9. Flemish Sub-basins and Types of Transboundary Cooperation . . . 206
Table 10. Competent Authorities in US River Basin Management . . . 237
Table 11. Summary of Findings from the Evaluative Comparison of the Scheldt and Delaware River Basin Mechanisms . . . 299
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Table 12. Suggested Amendments to Articles 191 and 192 TFEU . . . 322 Table 13. Application of CSFs at EU and IRBD levels . . . 342 Table 14. Overview of the CSFs . . . 352
Intersentia xvii
ACRONYMS
BGTC CCA CCR CAT-NAT CIW CSF CWA DG02 DG03 DIWP DRBC ECM EGTC EIA EPA EPCI EPTB EPTC FD FRMP FFMP GALA GAO GEIP INCODEL ISC KPI LCTC MLWS MOW MS NEPA NFIP NPS
Benelux Grouping for Territorial Cooperation Dutch Calamities Compensation Act
French Central Reinsurance Fund
French National Catastrophes Insurance Mechanism Coordination Committee Integrated Water Management Critical Success Factor
Clean Water Act
Department Navigable Watercourses Walloon Region Department Non-Navigable Watercourses Walloon Region Decree Integrated Water Policy
Delaware River Basin Commission Enhanced Cooperation Model
European Grouping for Territorial Cooperation Environmental Impact Assessment
Environmental Protection Agency
Territorial Cooperation Instrument for Municipalities Public Basin Organisation
Inter-Communal Territorial Organisation Floods Directive
Flood Risk Management Plan Flexible Flow Management Plan Dutch General Administrative Law Act
United States Government Accountability Offi ce General Emergency Intervention Plan
Interstate Commission on the Delaware River Basin International Scheldt Commission
Key Performance Indicator
Local Cooperation Mechanism for Transboundary Cooperation Multi-Layer Water Safety
Department of Mobility and Public Works EU Member States
National Environmental Policy Act National Flood Insurance Program National Park Service
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xviii Intersentia
PAPI PB PB-Water PLU PPRI PPRN PGRI RBD RBMP SAGE SCOT SDAGE SDG SEA SEIP SNGRI SPW SWCD TDML TVA UDC USACE USGS VMM WFD WIIN WRPA
Action Plan for Flood Prevention Planetary Boundary
Planetary Boundary for freshwater use Local Urbanistic Plan
Flood Risk Prevention Plan
Natural Disasters Risk Prevention Plan Flood Risk Management Plan
River Basin District
River Basin Management Plan Local Water Management Plan Plan for Territorial Cohesion
Water Management Master Plan (River Basin Management Plan for France)
Sustainable Development Goal Strategic Environmental Assessment Specifi c Emergency Intervention Plan National Flood Risk Management Plan Service Public de Wallonie
Soil and Water Conservation District Total Maximum Daily Load
Tennessee Valley Authority Upper Delaware Council
United States Army Corps of Engineers United States Geological Survey Flemish Environment Agency Water Framework Directive
Water Infrastructure for Improvements to the Nation Water Resources Planning Act
