Tool

Water resource management projects – check for standards, approvals, permits and licences

Consider all needed standards, approvals, permits and licences in the implementation plan

Required standards, approvals, permits and licences are official documents that give you the authorization or guidance to carry out your intended project. For each type of projects different laws, regulations and specifications or standards apply. These need to be identified early on and considered during the project implementation.

Purpose and link to IQC

Identifying the required standards, approvals, permits and licences, obtaining them and keeping record is compulsory. Breaches of such legal requirements may jeopardize the permission to implement a project or its acceptance by the government and donor. Compliance on the other hand can help to avoid conflicts with public authorities, sanctions and provides for quality of the service, ensuring safety and to meeting users expectations. In the case of infrastructure projects certain technical design standards are a pre-requisite to obtain permits and approvals for construction works (WHO 2008).

Implementing organizations should ideally be facilitators of processes, not service providers. However, they should take responsibility to make sure that all required standards, approvals, permits and licences are obtained, also because breaches can affect their own reputation.

How to

1.   Identify all required standards, approvals, permits and licences

Start out by checking which standards have been agreed in your contract with the project funder. For further information contact the local government for advice. Discuss with them which standards, approvals, permits and licences you need to comply with for your type of project. The following table provides examples of different types of standards, approvals, permits and licences that may be required for water resource management projects (e.g. sand dams, spring protection…). The overview is based in the requirements in Kenya, which may deviate in other countries.

Note that: the implementing organization usually only engages in a community for a limited period of time. It is therefore important that the actual owners of the project (e.g. the community) obtain the required authorizations. The implementing organization may facilitate the application process. It is important that both the project owner and the implementing organization have copies of all approvals, permits and licences.

Examples from Kenya for standards, approvals, permits and licences required for water resources management projects
Basic documentation required
Minutes from your meeting with the community (see Info sheet “Exit strategy & creating project ownership”)
Evidence of land ownership or an agreement with the owner for the use of the land
Map showing the water body, the localization of the works, supply area, location of all authorizations or permits currently held by the applicant relevant to the project
For rehabilitation projects: authorization to use works owned by another person
Standards
Drinking water guidelines (e.g. from Kenya in Annex 1)
Water service regulations (e.g. from Kenya in Annex 2)
Water resources management regulations (e.g. from Kenya in Annex 3)
Approvals, permits and licences Who needs to get it? Issuing authority Comments
Hydrogeological Survey Report Implementing organization / Community committee Consultant To know soil type below ground level. By a registered hydrogeologist
Environmental Impact Assessment Implementing organization / Community committee Consultant / National Environment Management Authority By a registered consultant / National Environment Management Authority license is issued
Dam Design Report Water Resources Management Authority Contractor By a qualified contractor
Application to construct works Water Resources Management Authority Community committee Form: WRMA001
Authorization to Construct Works Implementing organization / Community committee Water Resources Management Authority Form: WRMA004
Dam Completion Report Water Resources Management Authority Contractor By the qualified contractor
Dam Operation Report Water Resources Management Authority Contractor By the qualified contractor
Completion Certificate Water Resources Management Authority Contractor Form: WRMA008
Water Abstraction Permit Implementing organization / Community committee Water Resources Management Authority Form: WRMA010
Variation to an original Water Permit Community committee Water Resources Management Authority Rehabilitation projects. Form: WRMA012
Licence for Small Scale Water Service Provider Community committee Local Water Service Provider By a “small scale service provision agreement”

2.   Take corrective measures where required to ensure your project planning complies with all required standards

Update the table in the template with the information about the new project planning.

3.   Get the approvals, permits and licences that are still needed

Establish who needs to get each of the required documents and which authority needs to be contacted. Inform the responsible entity (CSO, Contractor or Community/School Committee) about its obligations and make sure each project stakeholder obtains the required standards, approvals, permits and licences.

4.   Keep records

Both, the project owner and the implementing organization should keep records and copies of all the approvals, permits and licences of the project and be able to produce them if requested.

Template

References & Further Readings

  • Water Act 2002. Kenya.
  • 2002. Model Water Services Regulations. Kenya
  • Drinking water quality and effluent monitoring guideline
  • 2006. The water resources management rules.

 

Last updated 12 April 2018

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