Groundwater Governance and the Construction of Legal Indicators for Brazilian States

Villar, Pilar Carolina; Hirata, Ricardo

doi:10.1590/1809-4422asoc20210037r1vu2022L1AO

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Original Article • Ambient. soc. 25 • 2022 • https://doi.org/10.1590/1809-4422asoc20210037r1vu2022L1AO copy

Groundwater Governance and the Construction of Legal Indicators for Brazilian States

Gobernanza de las Aguas Subterráneas y la Construcción de Indicadores Jurídicos para los Estados Brasileños

Authorship SCIMAGO INSTITUTIONS RANKINGS

Abstract

The 1988 Brazilian Federal Constitution granted a leading role in groundwater governance to the states and the Federal District. However, there are no studies evaluating how these entities conducted this process from a national public policy perspective. The present article aims to identify national legal obligations related to groundwater governance and develop a tool to determine whether the states have appropriately implemented them. Our methodology includes document analysis and interviews. The federal legislation provided standard mechanisms for state management, allowing for structuring a Groundwater Governance Assessment System (SAGAS: the acronym in Portuguese) that comprises 48 primary and 25 secondary indicators. SAGAS is a methodological effort to create a legal indicator to generate comparable and systematized data on states’ environment of governance to help identify management weaknesses.

Keywords:
Groundwater governance; legal indicators; federal legislation; Brazilian states

	N.	Criterion	Legal context			Legal Fundamentals
	N.	Criterion	NE	LP	UE	IP
Technical	1	Studies to define recharge areas	0	1	2	3	Art. 2, I, of Res. CNRH 92/2008.
	2	Studies to set aquifers’ protection zones	0	1	2	3	Art. 2, I, of Res. CNRH 92/2008.
	3	Studies about aquifers’ vulnerability to pollution	0	1	2	3	Arts. 2, II, & art. 3º of Res. CNRH 92/2008
	4	Studies to set wells protection perimeters	0	1	2	3	Art. 2, III, of Res. CNRH 92/2008
	5	GW availability diagnosis	0	1	2	3	Art. 2, II, of Res. CNRH 92/2008
	6	GW demand diagnosis	0	1	2	3	Art. 2, II, of Res. CNRH 92/2008
	7	GW quality monitoring network	0	1	2	3	Art. 10 of Res. CNRH 92/2008
	8	GW quantity monitoring network	0	1	2	3	Art. 10 of Res. CNRH 92/2008
	9	GW quality report	0	1	2	3	Arts. 13 & 33 of Res. CONAMA 396/2008
	10	GW users’ registry	0	1	2	3	Art. 4, II, of Res. CNRH 91/2008
	11	GW contamination source registry	0	1	2	3	Art. 4, III, of Res. CNRH 91/2008
Operational- legal	12	State Water Resources Plan (SWRP)	0	1	2	3	Arts. 5, I, & 8 of FL 9.433/1997
	12a	SWRP with GW management guidelines	No	0	Yes	1	Art. 5, I, & art. 8 of FL 9.433/1997; Arts. 2 & 3 of Res. CNRH 92/2008
	13	Basin Plan	0	1	2	3	Art. 5, I, and art. 8 of FL 9.433/1997
	14	Classification of GW bodies according to use	0	1	2	3	Art. 5, II, and arts. 9 and 10 of FL 9.433/1997. Res. CONAMA 396/2008
			WP	LP	LR	IP
	15	Permits to use GW	0	1	2	3	Arts. 5, III, & 11 to 18 of FL 9.433/1997
	15a	Campaigns to promote wells’ regulation	No	0	Yes	1	Art. 37 of FC/88
	16	Charging fees for GW use	0	1	2	3	Arts. 5, IV, & 19 to 22 of FL 9.433/1997
	17	GW information system	0	1	2	3	Arts. 5, VI, & 25 to 27 of FL 9.433/1997
	17a	The system has a friendly online platform for society’s consultations	No	0	Yes	1	Art. 3, II, of FL 12.527/2011
	18	Aquifers’ protection areas	0	1	2	3	Art. 20 of Res. CONAMA 396/2008
	19	GW use restriction and control areas	0	1	2	3	Art. 4 of Res. CNRH 92/2008
	20	Wells’ protection perimeter	0	1	2	3	Art. 20 of Res. CONAMA 396/2008
	21	Procedures for closing unproductive wells that are abandoned or whose operation causes harm to GW.	0	1	2	3	Art. 7 of Res. CNRH 92/2008
	22	Procedure to conduct the artificial aquifer recharge	0	1	2	3	Res. CNRH 153/2013
	23	Sanctions for non-compliance with the GW norms	0	1	2	3	Art. 49 of FL 9.433/1997
	24	Procedure to share information between the water resources organ and the mineral resources organ	0	1	2	3	Art. 3 of Res. CNRH 76/2007
			NE	LP	UE	IP

Institutional-legal	25	State System of Water Resource Management (SSWRM)	0	1	2	3	Arts. 30 & 33 of FL 9433/1997
	25a	GW training programs conducted by SSWRM	No	0	Yes	1	art. 32, I, of FL 9.433/1997
	26	State Council of Water Resources (SCWR)	0	1	2	3	Art. 33, II, of FL 9.433/1997
	26a	SCWR has a technical group for GW management	No	0	Yes	1	Art. 9 of FD 10.000/2019
	27	Basin Committees	0	1	2	3	Arts. 33, III, & 37 to 40 of FL 9.433/1997
	27a	Municipalities’ participation in basin committees	No	0	Yes	1	Art. 39, III, of FL 9.433/1997
	27b	Participation of executive State, Federal District and municipalities’ powers limited to ½ of the members	No	0	Yes	1	Art. 39, § 1, of FL 9.433/1997
	27c	Users’ participation in the basin committees	No	0	Yes	1	Art. 39, IV of FL 9.433/1997
	27d	Users’ hold 40% of the total of votes	No	0	Yes	1	Art. 8, III, of Res. CNRH 5/2000
	27e	Civil society’s participation in the basin committees	No	0	Yes	1	Art. 39, V, of FL 9.433/1997
	27f	Civil society holds 20% of the total of votes	No	0	Yes	1	Art. 8, II, of Res. CNRH 5/2000
	28	State agency responsive to granting GW permits use	0	1	2	3	Arts. 33, IV, & 41 to 44 of FL 9.433/1997
	29	Water agencies	0	1	2	3	Arts. 33, V, & 41 to 44 of FL 9.433/1997
	30	State Water Resources Fund	0	1	2	3	Art. 19, III, & art. 22 of FL 9.433/1997
	31	State Environment System	0	1	2	3	Art. 6 of FL 6.938/1981
			NE	LP	LR	IP
Political cross-sectoral coordination Environment	32	Environmental licensing for potentially GW polluting activities	0	1	2	3	Arts. 23, VI, & 24, VI of FC/88; arts. 5, 6 & 9, IV, of FL 6.938/1981; Res. CONAMA 237/1997
	33	Well drilling license or administrative authorization	0	1	2	3	Res. CONAMA 237/1997; art. 6 of Res. CNRH 92/2008
	34	State Environment Information System	0	1	2	3	Art. 8, VII, of CL 140/2011
	34a	The system has a friendly online platform for society’s consultations	No	0	Yes	1	Art. 3 of FC 12527/2011
	35	Procedure defined by the state to manage contaminated areas	0	1	2	3	Art. 23 of Res. CONAMA 420/2009
	36	Report about the contaminated areas published in institutional portals of the environmental organ	0	1	2	3	Art. 38 of Res. CONAMA 420/2009
	37	Financing lines to remediate contaminated areas	0	1	2	3	Art. 42, VI, of FL 12.305/2010
			NE	LP	UE	IP
	38	State ecological economic zoning (EEZ))	0	1	2	3	Art. 9, II, of FL 6.938/1981; Art. 2 of FD 4.297/2002; Art. 8º, IX of CL 140/2011
	38a	GW as EZZ component	No	0	Yes	1	Art. 22 of Res. CONAMA 396/2008
	39	State Climate Change Plan (SCCP)	0	1	2	3	Arts. 5, V, & art. 6, I, da FL 12.187/2009
	39a	SCCP includes guidelines related to water security	No	0	Yes	1	Art. 6, XII, of FL 12.187/2009
Political cross-sectoral coordination Sanitation	40	State Basic Sanitation Plan	0	1	2	3	Art. 19 of FL 11.445/2007
	40a	Goals for the universalization of water access	No	0	Yes	1	Art. 2 of FL 11.445/2007
	40b	Goals for the universalization of sewage access	No	0	Yes	1	Art. 2 of FL11.445/2007
	40c	Goals for sewage treatment	No	0	Yes	1	Art. 2 of FL 11.445/2007
	40d	Specific measurement for GW	No	0	Yes	1	Arts. 2, XII of FL 11.445/2007
	41	State Solid Waste Plan	0	1	2	3	Art. 14, II, of FL 12.305/2010
	41a	Actions to eliminate and recover dumps	No	0	Yes	1	Art. 17, V, of FL 12.305/2010
	41b	Identification of zones favorable for the location of solid waste treatment units or for hazardous waste	No	0	Yes	1	Art. 17, XI, a, of FL 12.305/2010
			NE	LP	LR	IP
	42	State Information System about Sanitation Services	0	1	2	3	Art. 9, VII, of FL 11.445/2007
	42a	The system has a friendly online platform for society’s consultations	No	0	Yes	1	Art. 3 of FL 12527/2011
Political cross-sectoral coordination Agriculture	43	Program for offspring recovery	0	1	2	3	Art. 19, VII, of FL 8.171/1991 & art. 41, I, d, § 5 of FL 12.651/2012
	44	Program for the proper management of animal waste	0	1	2	3	Art. 19, VII, of Law 8.171/1991
	45	State program for Environmental Regularization	0	1	2	3	Art. 59 of FL 12.651/2012
	46	State information system about irrigation	0	1	2	3	Arts. 5, II, & 9 of FL 12.787/2013
	46a	The system has a friendly online platform for society’s consultations	No	0	Yes	1	Art. 3 of FL 12527/2011
			NE	LR	UE	IP
	47	State Irrigation Plan (SIP)	0	1	2	3	Art. 5, I, & 6, § 2 and 3 of FL 12.787/2013
	47a	SIP includes GW availability for irrigation	No	0	Yes	1	Art. 6, I, of FL 12.787/2013
	47b	SIP establishes hierarchy between regions for GW irrigated agricultural projects.	No	0	Yes	1	Art. 6, II, of FL 12.787/2013
	48	Agroecological zoning (AZ)	0	1	2	3	Art. 19, III, of FL 8.171/1991
	48a	GW resources included in AZ	No	0	Yes	1	Art. 19, II & III, of FL 8.171/1991

Criterion	Specific application instructions
1 to 11	Academic or private studies will only be considered if they are officially adopted by the Public Administration.
12a	The answer “Yes” demands specific guidelines for GW management. The mere mentioning or diagnosis imposes option “No”.
13 and 14	It is a basic management instrument, that must be considered “IP” if it is elaborated to all state basins. If its presence is partial, one must check option “UE”.
14	The mere mention about classification of waterbodies according to their use without specification to GW, imposes option “NE”.
15a	Campaigns must be promoted by SSWRM entities.
16, 18, 19 and 22	To be taken as “IP”, the implementation in a single basin is enough.
17a, 34a, 42a and 46a	The answer will be negative in case any of these criteria is missing: a) information system available in an open website; b) access to data just by clicking in links, without messages reporting errors or content unavailability; and c) information available without the need of formal request to the organ.
18, 19 and 20	Category “LR” demands determining the organ responsible for implementing the instrument, as well the definition of its procedure and the applicable restrictions linked to water, and soils use. Choose “LP” in case the law just defines the instrument and provides vague guidelines
24	Classifying it as “WP” if law limits data transfer obligations to a single organ. CNRH Res. 76/2007 demands sharing; thus, data exchange should occur between water and mineral resource organs.
25	Option “IP” requires the following institutions’ functioning: SCWR; a state organ responsible for water management; and at least one operational Basin Committee.
25a	Criteria are: promoting training by entities from SSWRM; outspreading information in the SSWRM communication channels; and the existence of a training program, rather than occasional events.
27	Classification “IP” demands Basin Committees functioning in all the state territory. Otherwise, it must be classified as “UE”, since this entity is the very basis of water management.
29	Option “IP” demands at least one State Water Agency or delegating entity, because their creation is not mandatory (art. 43 of FL n. 9.433/1997).
38 and 48	The answer must be modulated based on the State Law. If it demands EEZ or AZ to be applied in the whole state, this criterion will be taken as “IP” only if the condition is met. Otherwise, it can only be implemented in one region.

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[1] Pilar Carolina Villar ✉ pilar.villar@unifesp.br