SAFEGUARD DISSEMINATION NOTE NO. 2 Environmental Impact Assessment Regulations and Strategic Environmental Assessment Requirements Practices and Lessons Learned in East and Southeast Asia April 2006 This publication was developed and produced by the Environment and Social Development Unit (EASES), of the East Asia and Pacific Region of the World Bank. The Environment, Rural and Social Development Units are part of the Environmentally and Socially Sustainable Development (ESSD) Network. Environmental and social development issues are integral part of the development challenge in the East Asia and Pacific (EAP) region. The recently completed Environment and Social Development Strategies for the World Bank in the region have provided the conceptual framework for setting priorities, strengthening the policy and institutional framework for sustainable development, and addressing key environmental and social development challenges through projects, programs, policy dialogue, and partnerships. The EASES Discussion Paper Series provides a forum for discussion on good practices and policy issues within the development community and with client countries. This publication is available online at http://www.worldbank.org/eapenvironment/sea-asia. Environment and Social Development Department East Asia and Pacific Region The World Bank Washington, D.C. April 2006 This volume is a product of the staff of the International Bank for Reconstruction and Development / The World Bank. The findings, interpretations, and conclusions expressed in this paper do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. The International Bank for Reconstruction and Development / The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, USA, telephone 978-750-8400, fax 978- 750-4470, www.copyright.com. All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA, fax 202- 522-2422, e-mail pubrights@worldbank.org. i CONTENTS Foreword iii Acronyms v Acknowledgments vii Executive Summary viii Chapter 1. Overview of EIA Regulations & SEA Requirements in the Region 1 EIA in the Region 1 SEA in the Region 5 Chapter 2. Lessons, Areas for Improvement and Engaging Challenges 11 Chapter 3. Summary: Findings and Recommendations 15 ANNEX: PROFILES OF COUNTRIES AND HONG KONG SAR 17 Annex 1 Cambodia 18 Annex 2 China 21 Annex 3 Hong Kong Specific Administrative Region (China) 25 Annex 4 Indonesia 32 Annex 5 Japan 37 Annex 6 Korea 42 Annex 7 Lao PDR 47 Annex 8 Mongolia 51 Annex 9 Philippines 55 Annex 10 Singapore 59 Annex 11 Thailand 62 Annex 12 Vietnam 66 References 71 List of Tables Table 1 The Early Laws and Regulations on Environment in the Region Table 2 Main Features of the Current EIA systems in the Region Table 3 Summary of SEA Indicators in the Region Table A1 Potential for SEA in Cambodia Safeguard Dissemination Note No. 2 ii Table A2 Potential for SEA in China Table A3.1 Tasks of different parties in the SEA Process Table A3.2 SEA in Hong Kong SAR Table A4 Potential for SEA in Indonesia Table A5.1 Project Subject to Environmental Impact Law in Japan Table A5.2 Potential for SEA in Japan Table A6 Potential for SEA in Korea Table A7 Potential for SEA in Lao PDR Table A8.1 Projects with SEA in 1995 ­ 1999 Table A8.2 Potential for SEA in Mongolia Table A9 Potential for SEA in the Philippines Table A10 Potential for SEA in Singapore Table A11 Potential for SEA in Thailand Table A12 Potential for SEA in Vietnam List of Figures Figure A3.1 EIA Procedure in Hong Kong SAR Figure A3.2 Public Participation under the EIAO Ordinance Figure A3.3 Key Decision-Making System in Hong Kong SAR Figure A3.4 Generic Process of the SEA in Hong Kong SAR Figure A4 Procedure of the EIA in Indonesia Figure A5.1 EIA Procedure in Japan Figure A5.2 EIA Procedure List of Boxes Box 1 Hong Kong Second Railway development Strategy 2000 Box 2 Lao Hydropower Strategic Impact Assessments ­ a Case Study Box 3 "EIA Storms" in China EIA Regulations and SEA Requirements iii FOREWORD Since the 1970s, East and Southeast Asia This approach mainstreams environment have experienced unprecedented levels of and social issues into decision making at a economic growth, exposing the region to a strategic level. The development of SEA wide range of development opportunities systems is still at an early stage in the and challenges. A range of policy reforms region and there are fewer examples of and development plans and programs are truly effective countries. However, given being undertaken to meet these challenges, the rate of development and the massive especially in resource and environment- environmental implications of many intensive sectors, but many countries lack planning decisions currently being taken, capacity to assess the sustainability and the need for effective macro-level implications of projects and strategies. assessment tools is great. Mainstreaming environment into Through its analytical and technical development starts at the project level and assistance and lending programs the the region's environmental impact World Bank has been a strong partner for assessment (EIA) systems have been in these countries, supporting environment place for some time. EIAs are intended to and social objectives and sustainable improve project design and development. At the project level the Bank implementation by identifying ways to has supported the use of EIA systems in prevent, mitigate and compensate adverse the region since the mid-1980s, and is environmental impacts. The region has continually looking for opportunities to built up a good basis of knowledge and transfer international approaches, best systems for EIA implementation and in practice, and technology as part of project many countries the political will to design and implementation. Since the support this process is recognized. 1990s the Bank has also emphasized the need for mainstreaming environment Worldwide, there is growing recognition issues into other sectors, which requires for the need to consider environmental new approaches, and enhanced cross- implications of regional and sectoral sectoral coordination at the policy level. development plans at the macro level. The For example, the EAP Environment objective of strategic environmental Strategy stresses the need for SEAs to be assessment (SEA) is to mainstream undertaken in areas where Bank projects environmental and social considerations and programs may have cumulative and into programs, plans and policies, sector wide environmental implications. mitigate negative implications and maximize potential positive synergies. This report provides a baseline Safeguard Dissemination Note No. 2 iv description of the status and recent the systems currently in place. The report developments in EIA and SEA systems in also highlights the weaknesses of existing East and Southeast Asia. Its purpose is to systems, such as enforcement, limited provide an up to date account of public participation, and the lack of co- regulation and policies, and identify the ordination between government bodies at strengths and weaknesses of the system in local and central levels. each country, with a view to promoting improved assessment practice in the Given the changes in the EIA regulations future. Working with, and supporting, in the region, we hope this report can be `country systems' is now increasingly regularly updated, and welcome your being recognized. This study makes an comments and inputs. important contribution to understanding Magda Lovei Sector Manager Environment and Social Development Unit East Asia and the Pacific EIA Regulations and SEA Requirements v ACRONYMS ADB Asia Development Bank EMD Decree of the Environment Minister AMDAL Environmental Impact Assessment EMDPs Ethnic Minority Development Plans System EMP Environment Management Plan BAPEDAL Head of the Environmental Impact EPCA Environmental Pollution Control Management Agency Act BKPM National Investment Coordinating EPD Environmental Protection Board Department BMBEs Barangay Micro Business EPNRM Law on Environmental Protection Enterprises and Natural Resource Management CEA Country Environmental Analysis ERMG/AIT Environment and Resources CDC Council of Development of Management Group Cambodia ETAP European Environmental CEA Cumulative Environmental Technologies Action Plan Assessment FAEP Framework Act on Environmental CNC Certificate of Non-Coverage Policy CPC Communist Party of China GEF Global Environmental Forum DEIA Detailed Environmental Impact GEIA General Environmental Impact Assessment Assessment DENR Department of Environment and GoC Government of Cambodia Natural Resources GWD Great Western Development DGPs Development Guide Plans HDB Housing and Development Board DoNREs Provincial Departments of Natural ICT International Consultants and Resources and Environment Technocrats Private Ltd. DPRA Development project Responsible IEE Initial Environmental Examination Agency IEMSD Integrated Environmental EA Environmental Agency Management for Sustainable EA Environmental Assessment Development ECAs Environmentally Critical Area JICA Japan International Cooperation ECC Environmental Compliance Agency Certificate JTC Jurong Town Corporation ECPs Environmentally Critical Project LEP Law on Environmental Protection EIA Environmental Impact Assessment LGUs Local Government Units EIAO Environmental Impact Assessment MEAP Mongolian Environmental Ordinance Assessment Program EIARC Environmental Impact Assessment MoE Ministry of Environment Review Committee MIH Ministry of Industry and Handicraft EIMA Environmental Impact Assessment MOEWR Ministry of Environment and Water Agency Resource EIS Environmental Impact Statement MONE Ministry of Nature and EMB Environmental Management Board Environment Safeguard Dissemination Note No. 2 vi MONRE Ministry of Natural Resources and REDs Regional Executive Directors Environment RIET Regional Institute of Environmental MOSTE Minister of Science, Technology Technology and Energy RKL Environmental Management Plan MSTE Ministry of Science, Technology SAR Specific Authority Region and Environment SCEC State Committee for Environmental MPC Master Plan Committee Control MPI Ministry of Planning and SDS Sustainable Development System Investment SEA Strategic Environmental Assessment MRC Mekong River Commission SEPA State Environmental Protection NEA National Environmental Agency Administration NEB National Environmental Board SIDA Swedish International Development NEQA National Environmental Quality Act Agency NT2 Nam Theun 2 Hydroelectric Project SMR Self-Monitoring Reports OECC Overseas Environmental SOP Standard Operating Procedure Cooperation Center, Japan STEA Science, Technology and OEPP Office of Environmental Planning Environmental Agency and Policy ToR Terms of Reference ONEB Office of National Environmental UN United Nations Board UNDP United Nations Development ONREPP Office of National Resource and Program Environmental Planning and Policy UNEP United Nations Environmental PD Presidential Decree Program PDR People's Democracy Republic URA Urban Redevelopment Authority PERS Prior Environmental Assessment VAST Institute of Geography- Vietnamese Review System Academy of Sciences and Technology PES Preliminary Environmental Scan VEPA Vietnamese Environmental Protection PPPs Policy, Plan and Program Agency PWD Public Works Department VESDI Vietnam Environmental and RAPs Resettlement Action Plans Sustainable Development Institute EIA Regulations and SEA Requirements vii ACKNOWLEDGMENTS This publication is based on a report The report also benefited from the prepared by Y. S. Cao for the strategic contributions and comments of Andres environmental assessment project of the Liebenthal, Andrew Murray, Angus Environmental and Social Development Mackay, Elvis Au, Giovanna Dore, Hayato Sector Unit, East Asia and Pacific Region, Kobayashi, Isao Endo, Ismael Fernando the World Bank. The project is managed by Loayza, Josef Leitmann, Magda Lovei, Jian Xie who also provided detailed Maya Gabriela Q. Villaluz, Peishen Wang, guidance to the report. The peer reviewers Phillip Brylski, P. N. Dang, and Young-il Song. are Dr. Rob Verheem (The Netherlands Commission for Environmental Impact Assessment) and Dr. Kulsum Ahmed (Environmental Department, The World Bank). Safeguard Dissemination Note No. 2 viii EXECUTIVE SUMMARY Since the 1970s, East and Southeast Asia have on the environment. Nonetheless, there is still experienced unprecedented levels of economic room for improvement in areas such as growth, exposing it to a wide range of strengthening the legal systems, timing of the development opportunities and challenges. The study, public participation and information environmental challenges include the toll on disclosure. On the other hand, limited scope natural resources, and the degradation of and function of the EIA system has resulted in environmental quality in many regions and difficulties in meeting new challenges, and cities that threaten people's health and the there are many issues that can only be quality of life, reduce economic productivity, addressed at the policy and strategic level. and compromise sustained economic growth and poverty reduction. Worldwide, there is a growing recognition that, in addition to assessing and mitigating Singapore and Korea have joined Japan in project-level environmental impacts, there is a becoming developed countries; China, Vietnam need to consider the environmental and social and Mongolia are in the transition from a implications of regional and sectoral command economy to a market-based economy. development plans, and macroeconomic and During the same time, Vietnam, Cambodia and sectoral policies. Strategic Environment the Lao PDR are rebuilding their economies. Assessments (SEA) is an analytical and Remarkable transformations and notable policy participatory approach for mainstreaming and reforms are being undertaken in resource and upstreaming environmental and social issues environment-intensive sectors such as water, into decision-making and implementation energy, transport, urban planning, mining and processes at the strategic level. SEA systems trade in many countries in the region. It is have been developed in North America and important for these countries to have the Europe for sustainable development since the capacity to assess sustainability and the 1970s but are typically less well established implications of these policy changes on the elsewhere. Given the rate of development and environment. Adoption of tools to ensure the massive environmental implications of sustainable development considerations in many planning decisions that are currently policy formulation is, therefore, important. being made in the region, the need for effective strategic assessment tools is great. Mainstreaming environment and social issues into development project level starts with the The World Bank is assisting client countries in Environmental Impact Assessments (EIA). This East and Southeast Asia to introduce and approach was established in the region and has develop SEA in the context of development been in use since the early 1980s. It has policies; it also provides non-lending technical contributed to pollution prevention and control support and analytical services including in numerous projects that have adverse impacts policy assessment and reform etc. The Bank's EIA Regulations and SEA Requirements ix lending portfolio for environmental protection project-based and do not include SEA features. and natural resource management in the region Korea set up its prior Environmental from pollution management to biodiversity Assessment Review system (PERS) which is a conservation stands at $5.15 billion, with $498 planning-based type SEA system. Japan has million of new lending in FY04. It accounts for SEA practice at the local government level and around 21percent of total regional portfolio. The is at a stage of considering SEA introduction at World Bank also offers a wide range of the central government level. Only in Hong analytical and advisory services including pilot Kong (SAR) is the EA system designed to SEA projects and training workshops and include policy planning issues. The main courses throughout the region. At the project problems for EAs across the region include level, the Bank has been supporting the weak enforcement and late implementation of enhanced use of EIA for development projects, assessments. The effectiveness of these and strengthening its institutional capacity since assessments is also undermined by poor the 1980s, and is continuously looking for coordination between central and local level opportunities to transfer international government bodies, low levels of public experiences, best practices, and technology as consultation and information disclosure, and part of project design and implementation. under-funding. The study also highlights the Furthermore, since the 1990s the Bank has need for a more detailed understanding of the emphasized the need for mainstreaming policy formulation process in each country in environment into sector reform and policy order to identify entry points for improving design. Indeed, the Bank's environment strategy the EA system. Political will to drive this for the East Asia and Pacific (EAP) region process should be built up further with highlights the need for SEAs to be undertaken in appropriate activities, such as studies and areas where projects and programs may have seminars. International assistance should be cumulative and sector wide environmental and focused on those countries that are ready and social implications. able to establish EIA/SEA systems, but do not currently possess the human or financial This report has been prepared mainly through resources to set up the systems independently. desk study reviews of the current state of Environmental Impact Assessment (EIA) and This report has three objectives: (1) to review Strategic Environmental Assessment (SEA) in existing regulations, key components, and East and Southeast Asia, and is intended as a applications of EIA/SEA, (2) to assess SEA baseline study from which further analytical and requirements including the mandates, advisory work will follow. Countries covered by applications, initiatives, and relevant existing this review include Cambodia, China, Indonesia, conditions of SEA, and (3) to identify lessons Japan, Korea, Lao PDR, Mongolia, the learned and challenges in implementing EIA Philippines, Singapore, Thailand and Vietnam and SEA in the Region. (hereinafter collectively known as the Region). Although it is a part of China, the Hong Kong There are three chapters and a detailed annex Specific Authority Region (SAR) is introduced with country level information. Chapter 1 separately due to the unique characteristics of its gives an overall picture of the EIA/SEA EIA and SEA systems. systems and applications in the Region; Chapter 2 describes the lessons and areas for Overall it was found that the region has a improvement; Chapter 3 is a summary of relatively well established EIA system, including findings and recommendations. The annex the legal and administrative framework. The introduces the EIA/SEA regulations and Environmental Assessment systems in Hong applications in each of the eleven countries Kong SAR, China, and Vietnam are SEA- and Hong Kong SAR. inclusive, while EIAs in the other countries are Safeguard Dissemination Note No. 2 1 CHAPTER 1 OVERVIEW OF EIA REGULATIONS AND SEA REQUIREMENTS IN THE REGION EIA in the Region Environmental Legislation: Countries in the EIA is embodied in urban planning and region began to establish environmental pollution control legislation. The laws and legislation in the 1970s. See table 1 for a list of regulations for EIA including those for the early framework laws and regulations for implementing EIAs have been established environment conservation. Various regulations accordingly. The EIA system in Hong Kong SAR, were issued in order to implement these laws China and Vietnam cover plans in addition to and regulations, and Environmental Impact projects. These EIAs are, therefore considered Assessment (EIA) was an important area for SEA-inclusive. However, EIA systems in the many regulations. other countries only account for projects and, as the focus is not on plans, they are regarded as EIA in Individual Countries and the Region: EIA project-based assessments and are SEA- systems and laws were gradually implemented exclusive. Two exceptions are the EIA system in and promulgated across the region from the Indonesia and the Philippines, which cover 1970s (Japan and the Philippines), the 1980s environmental impacts of multiple projects in a (Korea, Indonesia, China, and Hong Kong SAR), given ecological or specific area. It should be the 1990s (Thailand, Vietnam and Cambodia), noted that policies are outside of the scope of and finally in 2000 (Lao PDR). Since their those EIA systems except Hong Kong SAR. inception, most of the Region's EIA laws or regulations have been amended in order to In all the EIA systems in the Region some expand their coverage, enhance administration threshold levels based on project scale, land size and public participation, and improve used and sectors, or a combination of these, are enforcement. The main features of these systems, used as criteria for EIA specifications. The use of such as legislation, administration, coverage, these criteria may help to maintain the focus on analysis of alternatives, public consultation, projects with potential significant impacts, and disclosure and timing, are described in this avoid swamping the system with too many chapter and summarized in Table 2. projects, leading to a more efficient use of scarce resources. Different types of EIAs are requested Legislation Statues and Coverage: Since the according to the category of projects as 1970s the legal requirements for conducting stipulated in regulations. A full EIA is generally EIAs have been incorporated into the laws and requested for projects with potential for regulations in all countries in the region and significant adverse environmental impacts. Hong Kong SAR except for Singapore, whose Safeguard Dissemination Note No. 2 2 Table 1. Early laws and regulations on environment in the Region Country Law or Regulation Year Cambodia Environmental Protection and Natural Resource Management Law 1996 China Environmental Protection Law 1978 Hong Kong Water Pollution Control Ordinance 1980 Indonesia Environmental Management Act No. 4 1982 Japan Cabinet Directive 1972 Korea Environmental Preservation Act 1977 Lao PDR Lao LDR Constitution 1991 Mongolia Environmental Protection Law 1996 Philippines Environmental Policy Presidential Decree No. 1151 1977 Singapore Environmental (Public Health) Act 1969 Thailand Enhancement and Conservation of the National Environmental Quality Act 1992 Vietnam Environmental Protection Law 1994 Projects judged to have a lower potential for of the environment ministry works with the adverse environmental impacts, typically relevant departments under the authority of require an environmental certification or local governments. Certification and registration permission. For these projects the major systems for EIA consultation are stipulated in objectives of EIA are pollution control and most EIA regulations, except Thailand, Vietnam, compliance of discharge standards. However, Lao LPR and Cambodia. this categorization process carries the risk that it does not account for `small' projects that have Capacity Building: With the support of significant adverse impacts on the environment. international organizations the capacity to In Japan, the EIA Law includes a provision that implement EIAs has been growing in the Region. stipulates specific EIA requirements for small- The EIA procedure typically includes the scale projects with significant potential for following features; preliminary investigation, negative environmental impacts. According to formulation of terms of reference (ToR), scoping, the regulations in the Region there is no baseline study, environmental impact evaluation, differentiation in the legal requirements for EIA mitigation measures, assessment of alternatives, between domestic and foreign funded projects. final reporting, decision-making, and project monitoring. Guidance materials for EIA practice Administrative Framework: Across the region a is widely available, and in a number of countries range of bodies have been established to manage (including Hong Kong SAR) government and implement EIA policy and regulations, officers and professionals have received typically this involves Ministries of extensive training, though this capacity is not Environment or government environment evenly distributed in the Region. agencies assuming most of the responsibility. The sector ministries such as those for energy, Analysis of Alternatives: The overall objective transportation, communication, agriculture, are of EAs is to ensure that the project (policy, plan then responsible for the sector specific technical or program in the case of SEA) has minimum guidance. In most cases the Environment negative environmental impacts. Analysis of Ministry is required to coordinate with these alternatives is mandatory in Lao PDR, Mongolia, sector ministries for the projects at the national the Philippines and Indonesia since it is level, while at the local level the branch offices stipulated in the respective EIA laws or EIA Regulations and SEA Requirements 3 regulations of these countries, while it is Hong Kong SAR along with feedback facilities. requested in the guidance documents of Hong The EIA system in Hong Kong SAR is therefore Kong SAR (EPD, 2004), Japan (EA, 1997), Korea regarded as "the most transparent system" in (Song, 2004), and China (SEPA, 2003). However, the world (Dalal-Clayton et al., 2004). The legal except in Hong Kong SAR its implementation is requirements for information disclosure in Japan, still problematic, as discussed in Chapter 2. Korea, Indonesia, the Philippines and Lao PDR are similar to those of the World Bank , e.g. EA Public Consultation: An essential step in draft reports must be made available in a public identifying potential environmental impacts and place accessible to affected groups and local designing effective mitigation measures is the NGOs before submission (OP/BP4.01). public consultation process that is stipulated in However, general and vague statements are all the EIA Laws and regulations in the Region. stipulated in the EIA regulations of China, Many countries (and Hong Kong SAR) have Thailand, and Cambodia, and have led to many adopted best practices and have public obstacles for public involvement. involvement at two stages in the EIA project cycle. The first involvement is shortly after Timing: The timing for clearance of EIA screening and prior to ToR formulation, and the approvals outlined in the regulations varies second is before the finalization of EIA reports. from a minimum of 56 days (Mongolia) to as The laws and regulations of Japan, Hong Kong long as 210 days (Japan). Approval time is 180 SAR, Korea, Indonesia and the Philippines, days in Hong Kong SAR (EPD, 2004) and the require stricter terms as discussed below. The Philippines (multiple projects). It is 150 days for EIA act of Korea stipulates that public hearings Indonesia (Purnama, 2003), 100 days for Lao will be held when more than thirty local PDR, 75 days for Thailand (for private funded residents or a majority of a group of local project but no provision on public funded residents less than thirty but more than five, project) (GEF, 1998), 2 months for China, request it. In Indonesia EIA regulation Vietnam, Cambodia and Mongolia. The main No.27/1999 stipulates that a public factor affecting this period is the time specified representative must have a seat in the EIA for reception of public comments and commission. However, in Cambodia, China and information dissemination before EIA report Thailand the process is less rigorous and EIA submission. Japan's EIA requests 100 days for regulation is undermined with vague public hearings and information display, in requirements such as "...public hearing and Hong Kong SAR it is 58 days, in Korea it is 50 comments are encouraged ... " It should also be days (Song, 2004), and 30 days in Lao PDR. In pointed out that these provisions apply for the contrast, no specific time is defined for these projects needing a full EIA. activities in the regulations of China, Vietnam, Thailand, Cambodia and Mongolia. Information Disclosure: Effective public participation relies on the availability of Environmental Management Plan (EMP) and appropriate information. In this respect Hong Monitoring: EMP is stipulated in the EIA Kong SAR is the best example in the region. For regulations in the region, but not monitoring. example, the Environmental Impact Assessment The latter has no clear requirements in the Ordinance (EIAO) facilitates public access to regulations of Cambodia, Mongolia, Thailand information and is coordinated with public and Vietnam. participation during screening and before approval. Project profiles and reports are made accessible to the general public. All legal documentation, guidance materials, and EIA reports are available on the website of Environmental Protection Department (EPD) of Safeguard Dissemination Note No. 2 up- i gn wol tor A A N NA NA N Fol Required Required Required Required Required moni Required Required Required n io tants Requirements icat A N lacep acelp acelp acelp acelp A N acelp acelp acelp A NA N rtife In In In In In In In In consul C SEA of and s s s s s s s s orf( s ng s s ate mi day day day day day day day day day NA day Ti 60 60 74 56 90-190 day priv funded Clearance 180 150 210 100 projects) 60 75 Regulations , n EIA io dn dn dn ni tion ni tion in a in in a in a in in in rmatofnI ted on ted on ted on ted on ted on ted on ted on ision regulat ision regulat implemented implemented implemented Disclosure lle lle lle prov prov NA NA Stipula regulati w Stipula regulati Stipula regulati w Stipula regulati w Stipula regulati Stipula regulati Stipula regulati NA No curren No curren n ni ni io at et eth e e e e e e th th th th th th cre in in in in in in in icip tement tement rtap tion tion con ts ts ts ts ts ts ts tement tement concrete concrete concrete concrete concrete concrete sta sta sta sta ons ons ons ons ons ons ons and and and and and and and licbu regula regula ct ct ct ct ct ct ct P General the General the Stri requiremen regulati Stri requiremen regulati Stri requiremen regulati Stri requiremen regulati Stri requiremen regulati Stri requiremen regulati Stri requiremen regulati NA General General ce ce study ok the the idan es in in bo in in ug n ni ni tion tion idanug in ted ted ted on ted ted atio ted on ted edt ted ted on ternativl regul egular egular A NA Stipula technology guidance Stipula guidance Stipula regulati Stipula technical Stipula in Stipula regulati Stipula In Stipula In NA Stipula technical Stipula regulati Region n the d erage an pla, ject d pro an in Scope/ cov Project Plan project Policy and Project Project Project Project Project Project Project Project Plan project ems st and cy turala Sy ment ot. iron ment ment gy TEA) ment and Pr N , iron iron tution (S s ce iron Env EIA stini ce tural iron Env Envfot Agen iron iron iron iron and Env chnolo ienc & Env Env Env Env Na & S of Env (NEPA) Impact of of Te, Agency of of e of of ght ironvn sour ces the R ces si ce E iron iron ter of er soure Ov Ministry National Admin. Departmen Prot. Env Management (EIMA) Ministry Ministry Scien Env Ministry Dept R Ministry Wa Ministry Resour (MONRE). Ministry Technology Criteria date 1999 2002 1998 1999 1999 1997 2000 1998 2003 Issued 1992 1994 of on on nce iont e 0 . /CP / 999 waL ati cree Law Law Act /2003 177 Law B.E 175 EIA Decre 30 c Ordina EIA Regula EIA EIA No. EIA ho Regul No.27/1 EIA Sub-de EIA EIA DAO Ad NEQA, Decree Summaries 2. y s Kong sia PDR Countr 4 Table Cambodia China Hong SAR Indone Japan Korea Lao Mongolia Philippine Singapore Thailand Vietnam 5 SEA in the Region There are also differences between EIA and SEA Definition of SEA: SEA is regarded as a process in procedures and methods (Fischer, 2004; rather than a single activity or output (such as Hanrahan, 2004; Partidario, 2004). Although the production of a report). Stressing this SEA includes a wide range of continuum continuity, SEA is defined as "a systematic approaches, there are two main types of SEA. process for evaluating the environmental On the one hand, the impact-centered SEA focus consequences of a proposed policy, plan or mainly on impact assessment and its goal is program initiatives in order to ensure that they predicting environmental impacts to establish are fully included and appropriately addressed prevention, mitigation and control measures to at the earliest appropriate stage of decision protect the environment. On the other hand, making on par with economic and social SEA can be a tool to assess the institutional and considerations" (Sadler and Verheem, 1996). governance conditions needed to effectively deal Also SEA is defined as an analytical and with environmental and social effects of policies, participatory approach for mainstreaming and plans or programs, when these effects cannot be upstreaming environmental and social predicted due to uncertainty on the concrete and considerations in policies, plans and programs complex processes that these interventions may to influencing decision-making and have downstream. This is an institutions-centered implementation processes at the strategic level. SEA which focuses on country environmental management systems of broad development Differences between EIA and SEA: processes. Environmental Impact Assessment (EIA) was developed in the 1970s as a tool to assess and In light of the Region's continuous economic reduce adverse impacts on the environment growth, EIAs have been used to examine a caused by projects. EIA is therefore referred to broader range of environmental, social, as project based and is geared towards economic and cultural issues, and is reportedly `pollution control or prevention.' Substantial becoming a more participatory process. experiences with EIA and its applications have Recognizing the need for broader assessment been accumulated, including procedure, tools, several countries in the Region have been methodology and guidelines. The development introducing SEA or revising the previous EIA of SEA systems is, to a large extent, based on and SEA systems in place. existing EIA systems. However, there are significant differences between SEA and EIA, for SEA Activities: Of the eleven countries and example, SEAs focus on Policies, Plans and Hong Kong SAR in the Region, Hong Kong SAR, Programs (PPPs) while EIA centers on projects. China, Vietnam, Korea, and Japan are at the SEA is geared towards upstream issues and is most advanced stage of applying or introducing aimed at sustainability and cumulative and SEA. Hong Kong SAR was the first to develop a indirectly induced environmental effects. legal mandate for some types of SEA, governed by a directive for policies and strategies in The main differences between SEA and EIA can which detailed guidelines have been developed be summarized as follows (Partidario, 2003): and applied. It is mandatory that a strategic SEA addresses policies, plans, and programs, environmental assessment must be attached for while EIA is project specific. SEA focuses on approval when a policy or plan document is decision-making processes rather than the final submitted to the Legislative Council for funding assessment report of these processes. The scope approval and to the Executive Council for the of SEA is wider and more sustainability- policy approval. Since the 1990s, Hong Kong oriented; therefore its time scale tends to be SAR has successfully applied SEA in many longer. SEA requires mostly qualitative programs such as `The Second Railway information and only necessary quantitative Development Study, 2000' (Box 1); `Extension of data, while EIA is generally based on the latter. Existing Landfills and Identification'; `Territorial Safeguard Dissemination Note No. 2 6 Development Strategy'; and `Strategy Study on from this process will be important to help Sustainable Development for the 21st Century' define future directions for SEA in Indonesia. (EPD, Hong Kong). China's new EIA Law, Other counties such as Cambodia, the Lao PDR, effective since 2003, clearly stipulates mandatory Thailand, and Vietnam are learning SEA from EIA for various plans and programs of national, various development programs (outlined in the cross boundary, and sectoral development. SEA following section), for which the SEA study for has been implemented in several regional the hydropower sector in Lao (associated with development plans. However, development the country's Nam Theun 2 Hydroelectric policies are not included in the current EIA project) is a good example (Box 2). Table 3 is regulations, and there is a lack of capacity, based on the components and areas of activity especially in policy-based SEA procedure, reflecting the statues of SEA development and methods, and guidelines. Assessment in implementation in a country (Briffett et al., 2003), Vietnam is at a similar stage, it covers planning and gives an overview of the potential for SEA and programming, and SEA has been applied to in the Region. assess the impact of economic and social development in several areas. However, policy Roles of International Cooperation: is not covered. In Korea, the system, which was International Cooperation plays an important developed in the 1990s, includes a `Prior catalytic role in introducing and enhancing Environmental Review System' (PERS), which capacity for EIA and SEA systems. Multi-lateral extends the scope of assessments to include and bi-lateral cooperation programs fund a large plans and makes it an SEA-type system. Taking number of projects, many of which are required a further step toward SEA, Korea amended the to have EIA/SEA or integrated environmental current PERS in 2004, expanding the coverage, management. Typical examples include World stipulating early implementation and enhancing Bank (WB) urban environment projects in public participation and disclosure (Song, 2004; Beijing (2World Bank, 2000), Shanghai (World Dalal-Clayton et al., 2004; and Song, 2005). In Bank, 1994; The World Bank, 2003) and Tianjing Japan, the Ministry of Environment (MoE) (World Bank, 2003), China, Ulaanbaatar organized several workshops in the 1990s aimed Sanitation in Mongolia (ITC et al., 2003), Nam at the introduction of international SEA and Theun 2 Hydroelectric project in Lao PDR practices, and some local cities have applied (NORPLAN, 2004; NORPLAN, 2004), etc. SEA under their jurisdictions mainly on the Application of SEA and EIA in the Mekong regional and land use planning (Harashina, River Development Plan, supported by ADB 2005). (ADB, 2001), World Bank (AITCV and ERMG/AIT, 2002), introduced SEA concepts to Other countries in the Region also show strong Vietnam, Cambodia, Lao PDR, and Thailand. interests in SEA. In the Philippines, studies on the SEA framework were undertaken in the Policy formulation on SEA/EIA is another area. 1990s, and several pilot-scale SEA projects were During 2004 and 2005 the World Bank, in carried out (Briffett, et al., 2003). The current EIA collaboration with China State Environmental regulation (DAO 30/2003), issued in 2003, states Assessment Administration (SEPA) and the that "the EMB shall study the potential International Association of Impact Assessment application of EIA to policy based undertakings (IAIA) developed a SEA distance learning as a further step towards integrating and course and organized a series of training courses streaming the EIS system." In Indonesia, the and workshops on SEA in China (World Bank, Ministry of Environment published a short 2005). In Indonesia, the Bank has provided guide on SEA in reference to assessment of support to the Ministry of Environment on policies, plans and programs. The recent enhancing public involvement in EIA, resulting tsunami has led to the initiation of a in the publication of a guidebook in 2002 (World government-led SEA process. Lessons learned Bank, 2002). The Bank is currently providing EIA Regulations and SEA Requirements 7 further support in relation to ongoing reforms of i. Hong Kong SAR, Japan and Korea are at the Indonesia's EIA laws, including the potential for first tier with a well established legislative introducing alternative policy instruments such system and successful application record. as SEA and Rapid Environmental Assessment. Hong Kong SAR established both EIA/SEA, In Vietnam, the World Bank helped to formulate and its SEA is policy inclusive; Korea's PERS environmental guidelines including EIA in is a plan-based SEA type system. In Japan, transportation, agriculture, and rural some local governments have undertaken SEA development (World Bank and Ministry of while the central government is in process of Planning and Investment, 2004; Ministry of introducing SEA at the national level. Planning and Investment and World Bank, 2004). In the Philippines, the Bank is working together ii. China, the Philippines, Indonesia and with the Department of Environmental and Thailand are the second tier which established National Resources (DENR) on monitoring and the EIA systems and have applied them with evaluating the EIA system (World Bank and many years of experience. Of the four DENR, 2005; Nicolas et al., 2005). International countries China's EIA is plan-inclusive, and cooperation will continue to be needed in order plan-based SEA has been implemented. to develop appropriate models and references for developing SEA/EIA capacity in the Region. iii. Vietnam, Mongolia, Lao PDR and Cambodia are the third tier which start EIA at a later In summary, the EIA legislative systems, stage and are catching up with the others in administrative framework, procedures, the Region. Of the four countries Vietnam's guidelines, evaluation and documentation are EIA is plan inclusive although with limited being developed in the Region. An appropriate implementation. infrastructure for EIA implementation has been established as well. According to the overall quality of the implementation, EIA/SEA application in the Region can be divided into three tiers: Safeguard Dissemination Note No. 2 8 Box 1: Hong Kong Second Railway Development Strategy 2000 Type of Strategic Environmental Assessment (SEA): SEA of potential railway transportation strategies in Hong Kong SAR. Nature and Scope of the Proposal: Develop a territory-wide railway development strategy to meet the short to long term transport need of Hong Kong. Basis of SEA Requirement: As part of the study to develop railway development strategy, there is a requirement to provide information on environmental implications in the submissions to the highest decision making body, the Executive Council, in Hong Kong. Downstream EIA for individual projects arising from the strategy are also required. Alternatives or Options Evaluation: Environmental effects of providing rail instead of roads were compared strategically. Environmental opportunities and constraints was identified into the corridors formulation and development process. More than 60 potential links and alternatives have been identified for evaluation. Significant environmental sensitive areas were avoided. Key Outcomes or Influences: 1.Fully consider the hidden environmental benefits and costs between rail and road to support "Priority to Railway" 2.Increase rail share in the public transport system from 31 percent in 2000 to 43 percent by 2016, or in terms of the distance traveled by passengers from 34 percent to almost 60 percent. This amounts to a reduction of air pollutants by about 600 tons of NOx and RSP per year and about 160,000 tons of CO2 per year. 3.Eliminate environmentally unacceptable alternatives. Latest Status and Potential Way Forward: In May 2000, the Transport Bureau announced the "Railway Development Strategy 2000". The recommended railway projects amount to about HK$80 to HK$100 billion. Project level EIAs would be conducted on the railway projects to determine the details and ensure environmental acceptability at the project level. Source: http://www.epd.gov.hk/epd/eindex.html. EIA Regulations and SEA Requirements 9 Box 2: Lao PDR hydropower strategic impact assessments ­ A case study Lao PDR's National Growth and Poverty Eradication Strategy identified the hydropower sector as one of the potential drivers of its growth. The assessment of Laos's hydropower development, one of a few such cases, analyzes the possible effects of the country's power development strategy comprehensively and provides useful information for those who conduct similar studies in this field (World Bank, 2004). Reviewing the SEA, this note summarizes the national development strategy in Laos PDR, describes the methodology of the SEA (i.e., process and methods), and discusses its performance. Laos's hydropower development strategy To satisfy the country's need for electricity and gain revenues from electricity export, the Lao government formulated a plan to develop hydroelectric power. The government devised the development plan of the hydropower sector, which includes dozens of projects. Seven studies, including the Generation Expansion Plan 2005-2020 (Electricite du Lao) and the Power System Development Plan (Meritec & Lahmeyer) have been implemented since the late 1990s to prioritize these proposed projects. Methodology of the SEA on Lao hydropower development The SEA addresses the issues as the following: Baseline conditions of environment and society Baseline data were collected in terms of ecosystem, biodiversity, village people, and ethnic minorities. Based on these data, the conditions of three river basins--where the majority of the planned hydropower projects are located were analyzed thoroughly. Hydropower development strategy and alternatives The details of the Lao hydropower development strategy and its alternatives were studied. 22 projects, which are most likely to be implemented in the next 20 years, were identified. Alternative energy sources and plans were scrutinized. Environmental and social impacts of the strategy The possible impacts of the strategy were forecasted. With 11 kinds of such impacts identified, each environmental or social issue has been examined by the project. Legal and institutional framework and its capacity for safeguard activities The institutional framework with respect to environmental safeguard in hydropower development has been studied. The responsibilities and capacities of the two primary government organizations (the Social and the Environmental Management Division, the Department of Electricity, the Ministry of Industry and Handicraft (MIH); and the Department of Environment, Science Technology and Environment Agency (STEA)) have been assessed. Recommendations Concrete actions are recommended in the following areas: i) mitigation and compensation for negative impacts, ii) introduction of Integrated Water Resource Management to coordinate upstream and downstream for a more effective and less conflicting use of water, iii) improve development planning in the hydropower sector, for example introducing least cost development planning and competitive bidding, and iv) strengthening the capacity of MIH and STEA. Sources: The World Bank (2004). Lao PDR Hydropower: Strategic Impact Assessment. Washington, DC., and the note of Isao Endo (2005). Safeguard Dissemination Note No. 2 si n is ne ont tio in stem. sed, si tion e sy pollu opo A ca is of guideli tro t bookle tivca ernments pe pr SE appli the ty and gram. is gov sa ns. on most w through rep rsionev pro ductory ed het excellen MoE calol ctio SEA ure ernment ne EA eline thetub for the statutes al do is su Tri thi w tronI. sdi sed of ced Gov e, but, St si juri guid the is guideline, rksa e. s. Some pilo pro cy es. EA me sed sed tion their ning-ba tiv . EIA/SEA R . ca poli SEA. . Few. SEA. tia EIA. terimnI. -inclusiv SEA quality Requirements ini and dei thini plan SEA describe on w on plan appli a and and SEA to based lan-inclusivp g w EA nning. cord. project-ba . project-ba A si ce E based based based procedure, S on based nda EIA ct- nda re is is some annin AI shed AI tional St ct- ct- ct- pla ct- ct and few trodu gulati have for SEA proje ect thi pl tion Et ou in projects si w ublip Et na PERSt proje proje proje re land y slation(s) are to proje proje of A ers ma proj rren sa ing si si si cfi si si rren cing rren ci and . legi EIA is cov cu w cu carry cu EIA EIA EIA there spe trol EIA EIA ailable ailable. The EIA/SE Regulations The EIA av SEA implementa The SEA The introdu are The The The The and preparing No con The av The limited ill. responsible statutes of w be the EIA to implementation. mber tion g be un SEA indicators/criteria political applica see firm staffin descri The. racticalp g th to ty con and that to used ce ce includin capaci ons ementv are NA NA NA NA NA NA NA Public ol inv influen eviden regulati technical h as authorities and bot used yb gree si other define / ogy de or implementation ot dure odol the SEA SEA used oce - of on si evaluated pr /Meth is r on Planning the ies cato SEA based and plicati t Guideline Indi guide activit ap to involvement and selected EIA/SEA tion are Environmen n ons/ of public, tuti nts document ly ry onitor cial m Insti introduction Administra nist Final Regio Mi offi and compone a the the of of in listed control, e rs government's Legal th mandate of quality implementation. The design, the Establishment to SEA Indicato cal grading 2003). in and ill w utral. Politi the Ne SEA : al.,te rkforce nce o nces ing mandate. w of perie y Existe legal the xe (Briffett of identify a of SAR ork. in of w s Negative, /Region ability Kong sia : ted e Summar adingrg PDR frame adop component indicator for 3. Country Cambodia China Hong Indone Japan Korea Lao Mongolia Philippine Singapore Thailand Vietnam Th.y d Positive, No 1 2 3 4 5 6 7 8 9 10 11 12 : criteria 10 Table relevant adopte The the appropriate administrative methodolog are 11 CHAPTER 2 LESSONS, AREAS FOR IMPROVEMENT AND ENGAGING CHALLENGES The current EIA legislative systems in the total, have been suspended by the State Region are more or less at an international level, Environmental Protection Administration (SEPA) and the infrastructure for implementation is in because they have been implemented without place in general (Briffett et al, 2003). However, application or approval of EIAs. For many EIA compared to advanced countries there are still regulations the penalty is too low to prevent many areas to improve, especially for the violations. weaker countries (the second and third tiers) (Tan, 2000; Tan, 2003; Obbard, et al., 2002; Dang, Lack of Coordination among Governmental 2003; Song, 2004; Stæradahl et al., 2005). This Agencies: This is happening at both central and chapter describes the lessons, areas for local levels. The authority of the Environmental improvement and the challenges faced. Ministry in formulation and implementation of EIA regulations is ignored during the processes Lessons of evaluation and approval of EIA reports, Late Implementation: This is a common especially when the projects are under the problem in the Region. Often the EIA starts authority of the sector ministries. Effective when the decision on the project including coordination can become quite complicated for design, site and construction preparation has cross-agency projects. already been made. The EIA/SEA is intended to provide a "red stamp" only. In many cases Poor Public Consultation and Information the environmental offices in charge of the EIAs Disclosure: This is a typically weak area in the are under the authority responsible for the implementation of EIA and SEA in the region. projects. It is hardly possible for them to make Historical top-down administrative traditions in a truly professional or independent evaluation. many countries may be one of the main causes. Furthermore, EIA/SEA is often regarded as a Other constraints include the lack of effective `burden' for foreign investment. Short-term information channels to the public, and the time economic benefits override environmental requirement for individuals to assess the considerations and become a main cause of information, understand the process and express weak enforcement even though the legal statues their opinions, though these principles are of EIAs have been widely established in the stipulated in the regulations. There are no actions Region. The recent "EIA Storms" in China or decisions to take in response to the public appropriately illustrates this problem (Box 2.1). complaint when such issues are raised. Thirty projects, mainly in the power sector and involving investment of US $ 1.3 billions in Limited Resources: This issue is particularly Safeguard Dissemination Note No. 2 12 acute in the poor areas of the poorer countries. national scale, which are the precondition for Lack of funding to collect base line information, regional EIA, is far behind the schedule because purchase equipment and chemicals for sample of lack of resources. Lack of qualified staff in analysis and conduct follow up activities and governmental agencies is another problem. All monitoring affects assessment and evaluation these largely deteriorate the quality of EIA of EIAs. In Indonesia and the Philippines the implementation. studies and division of ecological areas in the Box 3: "EIA Storms" in China Suspend Illegal Construction of 30 Projects SEPA's Instruction. On January 18, 2005, China's State Environmental Protection Administration (SEPA) announced the suspension of illegal construction of thirty projects. These projects have violated the China EIA law as they have been undertaken without submission and approval of the required EIA reports. Of the thirty projects, twenty are thermal power stations, four are hydraulic power stations and the rest are in other areas. In total the project investments amounted to RMB 1,190 million (equivalent to about USD 1.3 billion). Electricity is in short supply in China today, and some of the power-plant constructions are at a critical stage. In addition, most of these projects are "government-owned." SEPA's announcement sparked a period of hot debate throughout Chinese society that was termed "EIA Storms." One week after notification of thirty frozen illegal construction projects by SEPA, twenty-two energy-related projects were halted. However, eight continue in construction including three hydraulic power stations, which are under the authority of the Three Georges Co. (ministry ranking.) Notification of SEPA and NDRC. On February 22, 2005, SEPA and the National Development and Reform Commission (NDRC) jointly issued the Notification of Environmental Protection for Hydraulic Power Stations. It stipulates that, i) watershed plans based EIA must be undertaken prior to formulation of plans for hydraulic power station construction, and ii) EIAs for logging, land cleaning, and preparation must be undertaken prior to initiation of activities on site, though main body construction is allowed if the EIA report is approved. On the same day as SEPA's announcement, three Georges Co. halted construction of the three stations waiting for approval of the Environmental Assessment reports. SEPA's action was politically supported by the top officials in the government. Prime Minister Wen Jiabao has praised SEPA's announcement and stressed the importance of sustainable and scientific development. The various newspapers showed support to SEPA. Fifty-six NGOs expressed their support to strengthen law enforcement on environment. SEPA is taking the following actions to enhance law enforcement. Re-assessment of the qualification and performance of the EIA companies is ongoing. As a result, 68 licensed EA institutes/companies failed to pass the examinations of SEPA. Among them, 4 were downgraded and 8 deprived of their licenses for EIA consultation. Others were either temporarily suspended for improvement or criticized publicly. Further clarification on the responsibilities of administrations at different levels in implementing EIA is in process. SEPA also decided that reform on EIA and supervision on environmental protection will be strengthened in 2005. Sources: http//www.sepa.gov.cn. EIA Regulations and SEA Requirements 13 Areas of Improvement of alternatives. This issue is related to the Strengthen the Legislative Systems: For Japan problem of early implementation (mentioned and Korea it may be appropriate to consider above) and should be requested in the EIA stipulating Policy into their EIA/SEA systems. legislative system, and as one of the criteria for The PERS in Korea and EIA in Thailand should approval of EIA and SEA. be expanded to cover both public and private funded projects. For China and Vietnam, the Enforce Public Participation and Information current efforts should be focused on Disclosure: Laws and regulations with unclear improvement of the quality of planning - based requirements for public participation and SEA, and at the same time to prepare for the information disclosure require amendment. The policy-based SEA. The EIA categories based on process of public consultation should be done at production capacity, land area used and sectors least twice and disclosure of the EIA report etc. should also be examined. The authority of should be made before submission', which could central oversight EIA/SEA institutions should be adopted into the regulations as an essential be strengthened legally, and the responsibilities part in the EIA/SEA report. For their new of sector ministries should be more clearly regulations amended with enhanced provisions defined. More effective economic instruments on public involvement and information including penalty should be adopted to ensure disclosure as was done in Indonesia and the enforcement and implementation of EIA and Philippines, the key task is to develop simple and SEA. direct procedures to ensure implementation effectiveness. Move EA Process to an Earlier Stage: The general objective of the EIS is to provide Enhance Implementing Capacity: An adequate appropriate information for project appraisal. It budget provided by the government should be is, therefore, clear that an essential precondition allocated to allow effective EIA and SEA for successful implementation of EIA and SEA implementation. Qualified staff is another is that the EIS report must be completed prior condition for effective impact assessment. For to project appraisal. In many of these countries, poorer countries international funding can be late implementation in many of these countries used in purchasing of materials, which is compromises the effectiveness of EIAs in the necessary to undertake impact assessment. decision making process. Concrete Training the "trainers" approach should be requirements and a timeframe in the project adopted for capacity building. Cost-effective, cycle should be stipulated in EIA/SEA laws quick and direct methods should be developed and regulations, and it should be part of the and introduced. Development of sector specific EIA report and criteria of approval of guidance is still a task in many countries. EIA/SEA. Challenges for international organizations Make Alternatives Functional: Analysis of Sharp Gap to Fill: There is a sharp gap between alternatives have been stipulated in almost all the existing EIA/SEA legal systems on the paper EIA laws, regulations or technical guidance. in the Region and the poor level of However, this requirement is rarely implementation on the ground in many countries. implemented. In many cases, the search for To tackle this challenge, several interventions are alternatives takes place only when the proposed; environmental authorities reject the proposed course of action, which is uncommon. Instead Upstream Environmental Assessment into of the defensive approach of reducing the Policy and Strategic Level. Profound changes adverse impacts from a given design, a more in many countries at the policy and proactive side of EA is required when project planning level make sound environmental design can be improved through consideration assessment a real need. Such need provides Safeguard Dissemination Note No. 2 14 large enough room for international focused on the introduction of professional organizations in contributing to expertise and hands-on knowledge from introduce best practices and improve advanced countries. In the poorest EIA/SEA implementation. countries environmental assessment should Mainstreaming and integrating be conducted and integrated with poverty environmental and social considerations reduction programs in order to introduce into policy and strategic level will be and apply EIAs. Direct and simple essential in order to ensure that the new assessment methods should be used in policies are formulated based sustainable training. development principle. Modification of the current EIA systems make them more Build Local Capacity through Wider Knowledge effective and efficient in decision making Dissemination. The development of local process is definitely meaningful. Two capacity includes the introduction of new further interrelated issues that are knowledge on policy and planning SEA or required to ensure effective EIA/SEA EIA and training of professionals across the implementation on the ground are the region. This is a difficult task for countries need to raise public awareness and create to achieve by themselves, but international mechanisms for the public to have an organizations have accumulated much effective voice. experience and material to facilitate this knowledge transfer. Dissemination is Tailored to the Local Situation. The constrained due to distance, language and development of EIA and SEA systems communication barriers, but internet has been quite different across countries, facilities are cutting through many of these as their different history, culture and problems. Publishing documents in the economic climate has lead to differences local languages may contribute to capacity in the decision making process and building as it makes information available priority-setting on the governmental to many parts of society. Exploration of agenda. Hence, adapting to the local other channels should be undertaken, situation can make international especially in areas with low internet assistance more effective. Hong Kong connectivity. The SEA training organized SAR and Japan are in the advanced stage by the World Bank in Beijing 2005 (The in EIA (and SEA) while in other parts of World Bank, 2005), which drew speakers the region economic development is an and audiences from universities aiming at overwhelming priority and the introducing international experiences into environment is not a high priority on the the Chinese university education, is a good agenda. Further studies on the policy example. formulation process and institutional structure in each country are required in order to establish the appropriate conditions for establishment of full EIA/SEA systems. Learning on the successful experiences and lessons from elsewhere in the World through seminars, workshops and conferences can be helpful in policy and institutional reform. For China, Vietnam and the Philippines, which have shown strong political will of SEA, this international support should be EIA Regulations and SEA Requirements 15 CHAPTER 3 SUMMARY OF FINGINGS AND RECOMMENDATIONS EIA/SEA in the region The EIA system including legislation, In order to make the systems more effective administrative framework, and technical many of the regulations need further capacity has been established and widely strengthening. As discussed above, the applied in the Region. Singapore is an requirements of early implementation, exception where EIA is ad hoc in urban analysis of alternatives, public consultation planning and pollution control. and information disclosure should be stipulated as essential for EIA reports and for The EIAs in the Hong Kong SAR, China, approval of EIA reports. International and Vietnam cover planning in addition to experiences can be used as benchmark for projects, they are therefore considered improvement. SEA-inclusive. EIAs in other countries are project-based and are considered SEA- Coordination between government bodies at exclusive. Korea's PERS is a planning­ central and local levels, and across sectors, based type SEA system. Japan is in an should be improved. Authorities for national advanced stage in the introduction of environmental administration and EIA national wide SEA, and some local implementation and approval generally governments have applied SEA within require further strengthening and their jurisdictions. With the notable clarification of their legal mandate. Finally, exception of Hong Kong SAR, policy is not the responsibilities of sector ministries on included in the regions' EIA systems environmental issues should be clarified. International organizations have played a Governments should allocate separate catalytic role in the introduction and budget for implementation of ES. application of the EIA/SEA systems in the Region. Recommendations Incorporating SEA in the policy and planning Lessons for improvement toolkit is a critical step in order to find and Weak enforcement is a major problem in address the inadequacies of the existing many developing countries in the Region, regulation system and to make reflected by late implementation, implementation more effective. There is also insufficient consideration of alternatives, a need for a more detailed understanding of weak public consultation and lack of the policy formulation process in each information disclosure. country in order to identify appropriate entry Safeguard Dissemination Note No. 2 16 points for improving the EA system. assessment processes will enhance Political will to drive this process should be effectiveness. This requires widespread built up with appropriate activities, such as dissemination of information through studies and seminars. various channels and in local languages. To make international assistance more Training and capacity building is still an effective, support should be tailored to important task in the Region. Enough local needs and conditions. China, Vietnam, qualified professionals in EIA and SEA are and the Philippines may be appropriate essential to implement environmental countries to introduce advanced methods assessment in each country, and there is a and experiences of SEA, while in the lack of such capacity in many of the countries regions' poorer countries more easy but in the Region. "On job" training in various reliable methods for environmental real projects and pilot programs should be assessment should be the priority. encouraged as it is direct, cost-effective compared with other methods. Enhancement of public awareness and local capacity to participate in environmental EIA Regulations and SEA Requirements 17 ANNEX: PROFILES OF COUNTRIES AND HONG KONG SAR The description of each country and Hong Lessons and weaknesses for improvement Kong SAR starts with a brief review on the of implementation of EIA/SEA are pointed development of environmental legislation and, following the summary, a table including EIA. Then the mandate, main presents the potential of SEA in each component and related regulations of EIA, country. and the relevance to SEA, are highlighted. Safeguard Dissemination Note No. 2 18 ANNEX 1: CAMBODIA Environmental and EIA Legislation The sub-decree states that "EIAs are required on In Cambodia the Law on Environmental various kinds and scales of projects." EIA Protection and Natural Resource Management became a requirement for projects and (EPNRM) is a framework law governing investments that are submitted to the Council of environmental protection and natural-resources Development of Cambodia (CDC) for approval. management enacted by the National Assembly Its implementation is overseen by the in 1996. It requires the Royal Government to Department of EIA Review within the Ministry prepare the national and the regional of Environment. The sub-decree instructed the environmental plans and sub-decrees Ministry of Environment to formulate concerning a wide range of environmental implementing rules and guidelines (GoC, 2002). issues, including environmental impact The Declaration No. 49: Guideline for EIA assessments, pollution prevention and control, Reports was issued in June, 2000, and the public participation, and access to information Declaration No. 745: Determination of Service (SIDA). Charge for Environmental Impact Assessment Report Review and Follow-up and Monitoring The first draft of the Sub-Decree on of Project Implementation was issued in October, Environmental Impact Assessment was 2000 (AITCV and ERMG, 2004). prepared with technical support from UNEP in 1995. This draft was reviewed and revised in Institution and Administration July 1997 by ETAP (European Environmental The Environmental Assessment Branch within Technologies Action Plan)/UNDP in close the Ministry of Environment (MoE) has the collaboration with the Ministry of Environment responsibility to (GoC, 1999): (MoE). The second draft of the Sub-Decree on EIA was comprised of two important parts: the Scrutinize and review the report of the first part gave a summary of basic theories on Environmental Impact Assessment in EIA and EIA procedures in general; and the collaboration with other concerned second part described specific procedures for ministries; EIA in Cambodia. Since 1997, the draft sub- decree has been redrafted by the ADB EIA Follow up, monitor, and take appropriate project (ETAP, 2001). measures to ensure a project owner will follow the Environmental Management Sub-Decree on Environmental Impact Plan (EMP) while project construction Assessment takes place and accedes to their EIA The EIA Sub-Decree on Environmental Impact report's approval (GoC, 1999). Assessment issued in 1999 mandates general requirements, procedures and responsibilities. The institutions and Ministries that are responsible for proposed projects have the right EIA Regulations and SEA Requirements 19 to examine and approve any project that is stipulates that an EIA shall be done on every stated in the sub-decree, but only after MoE has project and activity, private or public, and shall reviewed and commented on the EIA report. be reviewed and evaluated by the Ministry of Provincial/urban authorities that are Environment before being submitted to the responsible for proposed projects have the Royal Government for decision (Article 6). following duties (GoC, 1999): Sub-decree No.72, ANRK, 1999 identifies the Acquire an EIA report from project owner projects covered by EIA. In total these cover four either private, joint-venture or public areas, industry, agriculture, tourism, and sector to be submitted to the Provincial infrastructure. Under each area there are a Environmental Office. number of specific projects listed. This sub- decree had been attached as annex with the EIA Review and approve the proposed project, decree. According to the list, the current EIA in after discussing and commenting among Cambodia is project-based and SEA-exclusive. provincial/urban authority concerned in accordance with the "Declaration" of the Procedure MoE. All investment-project applications and all projects proposed by the state shall have an EIA is inherently a multi-disciplinary and multi- Initial Environmental Impact Assessment (IEIA), sectoral process whose effectiveness requires report of pre-feasibility study or an coordination among the government Environmental Impact Assessment as specified bureaucracies. Recognizing this, the government in Article 6 of EPNRM Law (Article 7). A copy has formalized the cross-ministerial must be submitted to the Project Approval coordination involved in the EIA process with, i) Ministry/Institution. The Ministry of management level representation of various Environment should review and provide ministries in the Environment Steering recommendations on the IEIA or the EIA to the Committee, which also includes NGOs and the competent organization within the period Chamber of Commerce, and ii) formation of determined in the Law on Investment of the environmental units within other ministries Kingdom of Cambodia. having resource-management functions, to coordinate with the Ministry of Environment, If the MoE does not respond to the findings and including the Ministry of Industry, Mine and recommendations (as described in Article 15 and Energy. 17), the Project Approval Ministry/Institution will assume that the revised IEIA or EIA report A number of agencies (such as the Ministry of has complied with the criteria of this sub-decree. Public Works and Transport, Ministry of The regulation stipulated 60 days as the timing Agriculture Forests and Fisheries, Ministry of of processing EIA Rural Development, Ministry of Tourism, and the Ministry of Health), participate in many The project owner must acknowledge the phases of the EIA process. The EIA process findings and recommendations of their IEIA / includes monitoring and surveillance, EIA report(s) that have been approved by the enforcement, and processing of various MoE, before they can proceed with project government permits and licenses that require implementation. The procedures for the existing adhering to the environmental criteria (GoC, project are different from the above. 2002). Public involvement is "encouraged" in the EIA Coverage decree (Article 1) but no concrete requirements The Law on Environmental Protection and are stipulated. No regulatory requirements for Natural Resource Management (EPNRM) alternatives and disclosure. Safeguard Dissemination Note No. 2 20 Summary SEA-exclusive. Table A1 summarizes the Cambodia has established an EIA system potential for SEA in Cambodia. recently. This system covers projects only, so is Table A1. Potential for SEA in Cambodia Dimensions/topics Current status Remarks Political will x No evidences shown on the interest/willingness for SEA. Legal mandate x Only for project-based EIA. Administrative framework x MOE responsible for overall coordination nationwide, lack of staff on SEA. SEA procedure/ Not existing, only established for project-based EIA. Guideline/ methodology Technical know-how Not available. Experience in SEA Not available implementation Public involvement NA Mentioned in EIA legal documentation, but with less concrete requirements. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce to design, control, and monitor EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 21 ANNEX 2: CHINA EIA Development tightening environmental protection through The China Environmental Protection Law (1979) legislation, institutions, and investment (The contained broad elements requiring the EIA, World Bank, 1997; Cao et al., 2001). A series of particularly for the construction projects. The regulations on construction projects were issued. Ordinance of Environmental Protection of Typical documents include Environmental Construction Projection (1986), which was jointly Protection Procedures for Construction Project promulgated by the Environmental Committee (SEPA, 1990), Regulation of Environmental of State Council, the State Planning Committee Protection of Construction Projects (State and the State Economic Committee, is the first Council No. 253, 1998), and Environmental legal document on EIA in China. Its coverage Management Catalogue for Construction includes projects in industry, transportation, Projects (SEPA, 1999). A new Law on hydraulics, agriculture, forestation, commercial, Environmental Impact Assessment was education, tourist, civil works and regional approved by the National People's Congress in development that have adverse environmental 2002 and has been effective since September 1, impacts. The projects are divided into two 2003. categories depending on the extent of impact. Projects in the first category must submit an EIA EIA Law, 2002 report while those in the second category are The new EIA law incorporates the concept of requested to complete an EIA form. The SEA for development plans and programs and is regulation also defines the rules for much more focused than its predecessor. Its organizations conducting EIAs, with respect to major components are highlighted in the format and content of the EIA form and report. following sections. The Environmental Protection Agencies at the national and local levels are responsible for the Coverage Expansion evaluation of EIA reports. Since then quite a The EIA law covers two large areas: plan and number of EIA have been conducted, and it was construction project. The plan is further divided reported that the implementation ratio reached into two categories, i) plans for land use, 90 percent in 2000 (Endo, 2004). regional, watershed and offshore development, and ii) "Specific Plans" which include for Since the 1980s, China has been experiencing a agriculture, industry, livestock breeding, lasting economic boom, but at the same time, its forestry, natural resources, cities, energy, environment has been deteriorating and transportation, tourism, etc. The construction- threatening public health. Many large programs project section includes various concrete projects. are being undertaken at regional and even cross- The EIA law stipulates that the EIA for plan regional scale, which have long-term impacts on must be conducted in parallel with the process the country's resources, environment, and of plan formulation and that the plan will not be society. The central government realizes the evaluated without submission of the EIA report seriousness of the situation and has been (Article 8). Therefore, the new EIA law covers Safeguard Dissemination Note No. 2 22 plan in addition to the project, and is SEA- regions, the authority at the next higher level is inclusive. But policy is not covered although it authorized to handle review and approval. was mentioned that in the early stages of its development, the aim was to cover policy, plan The EIA law stipulates that for plan, the EIA and project. The policy was subsequently reports must be submitted to the authority dropped (Dalal Clayton, et al., 2004). involved together with application of the plan for approval. In case EIA is not accepted the Screening of Construction Projects explanation must be included on the approval Three different EIA reports have to be prepared document. For construction project, the depending on the size of impact: (1) a full EIA application will not be approved and the site report for projects that may have a major impact construction will not be allowed to start if the on the environment; (2) a table for reporting EIA report is not approved. Alternative studies environmental impact for projects that may have were required by the technical guidelines (HJ/T a minor impact on the environment; and (3) a 2.1-93, SEPA, 2003). table for registering environmental impact for projects that may have an insignificant impact Public Participation on the environment (Article 10). The law stipulates that all EIAs are subject to comments by experts, "concerned units" and the Institution and Administration public (Article 4). Project proponents must The State Environmental Protection consult with the `interested' public through Administration (SEPA) is responsible for expert meetings, public hearings or other means matters such as the qualifications and to solicit comments and suggestions on the draft. certification of those institutes and individuals The EIA must provide an account of the who conduct EIA, the classification of participation process and indicate what construction projects, and the examination and comments/suggestions have been adopted approval of certain major construction projects (Articles 11 and 21). However, this part is less (Articles 19 and 20). SEPA has authorities to compulsory in terms of the time and method of examine and approve the EIAs of special plans. disclosure, compared to those of the EIAs of The law makes no substantial change in the Japan and Korea. designation of government ministries and departments to handle examination and Reporting approval of EIA documents that are under their The Law stipulates that the EIA report for plan responsibilities. The ministries and agencies of should include analysis of environmental the State Council or provincial governments are impact of the plan, prevention and migration of in charge of the SEPA's participation in the EIAs the impact, and conclusions (Article 10). The of plans and projects under their authorities. EIA report for construction projects should SEPA is authorized to handle the review and include, i) project introduction, ii) approval of EIA documents for the construction environmental situation, iii) impact analysis, iv) projects that: (1) are of a special nature, such as prediction and assessment on environment due nuclear facilities or top-secret projects; (2) to project, v) interventions to migrate straddle a border between provincial-level environmental impact, vi) technology and regions; or (3) entail examination and approval economic feasibility, vii) economic analysis of (of the project) at the national level. For EIA environmental impact, and viii) documents of other construction projects, recommendation and conclusions (Article 17). provincial-level governments are authorized to The EIA report must state how monitoring will set examination and approval authority limits. be implemented, mitigation measures to be In the event of conflicting decisions by established, and how they will be applied. The authorities in two or more affected regions, EIA study must be rigorous and undertaken in a including sub-regions within provincial-level realistic and scientific manner. EIA Regulations and SEA Requirements 23 implement planning the EIA for Plan1. SEPA The EIA report must be prepared by qualified Administrative Order No. 3 on Evaluation of professionals, who must sign it and take legal Specific Plan-based EIA Reports (2003) responsibility for its accuracy. Submitted EIAs stipulates SEPA's responsibilities in evaluating will be examined by a review panel selected the Cross-boundary Specific Plan EIA Report randomly from an expert database. The EIA and so forth. SEPA Notice No. 164 (2004) Law stipulated 60 days as the timing of stipulates the responsibilities of the EPBs at processing EIA. national and local levels for evaluation of EIA reports of different catalogues. Generally Post Assessment speaking the technical capacity for plan-based Monitoring and assessment must be conducted EIA is at early phase of development. after completion of the plans and project, plans, and actions must be made and taken if any SEA Practices adverse impact was found (Article 27). Since 1995, SEA-type assessments have been adopted in China in some plans and projects. Liability for Non-Compliance This is partially because of the inherent The law increases the fines on non-complying limitations of conventional EIA, e.g., failure to companies and personnel and extends penalties suggest alternative projects and sites, and partly to personnel of more government departments because the government has recognized the for additional types of misconduct. significance of SEA as a tool for sustainable development. International cooperation has also The fine for non-compliance by construction played an essential role in introducing SEA to units and "the person in charge who is directly China. Typical examples include the Shanghai, responsible, and other directly responsible Beijing, and Tianjin environmental programs persons" has been increased from a maximum of where integrated environmental assessment was RMB 100,000 under the 1998 regulation to RMB a core element (The World Bank, 2000; The 1 200,000 under the new law. The law does not World Bank, 2003; The World Bank, 2003). 2 address the liability of construction units to provide compensation to persons damaged by Other SEA studies with the participation of non-compliant environmental impact. Chinese institutions include: the Great Western Apparently the increase of fine is too small to Region Development Plan; Electricity Strategy in punish violations. Shanxi Province; China's Automobile Industry Development Policy; the East Coast Zone Implementing Regulations Development Plan for Xiamen; the Air Pollution To implement the EIA Law, SEPA issued Prevention and Control Act (for the revision several ordinances. The Technology Guideline process) (Dalal-Clayton, et al., 2004); and waste- of EIA for the Construction Projects (HJ/T 2.1-93) water reuse and transportation in Tianjin (Xu, et ((SEPA, 2003) stipulates the principles, methods al., 2004); etc. But the current SEA in China and approaches to implement EIA for needs to be improved, especially in the construction projects. SEPA administration following areas: legal mandate of policy-based Order No.16 on Qualification of EIA Experts SEA, weak integrating SEA into policy, planning (2003) stipulates the principles and approaches formulation and decision-making process and of qualifications, selection, application and limited technical capacities for implementation management of the experts in conducting EIA. (Bao, 2004). The Technology Guidelines of EIA for Planning (draft version) (HT/130-2003) stipulates the principles, methods and approaches to 1In the guideline, the procedure used in the project- based EIA is suggested for the planning SEA. Safeguard Dissemination Note No. 2 24 Lessons for Improvement have no approval of EIA (Section 4.4), To set up an effective SEA in China, demonstrates the need for enforcement. enforcement is a key factor. It should be done Technical capacity is another issue to consider, through legal measures, public participation, as experience and knowledge for EIA has been financial measures, and with capacity building. built up, but this is not the case for policy- and China is used to a top-down administrative plan-based SEA. approach, and the legal concept is still new. Furthermore economic growth is still a higher Summary priority than the environment, especially in less The EIA system has been in place for about developed areas. Compared to Hong Kong SAR, twenty years in China. The current EIA law has Japan, and Korea, parts of EIA law are `too been further modified and extended to the area loose,' especially in terms of public participation, of plan, and has become SEA-inclusive. information disclosure and penalties. Enforcement in legislation, public participation Public participation is an effective tool and and capacity building should be undertaken for mechanism to apply SEA and EIA. The EIA law applications of policy- and plan-based SEA. encourages public participation, but this is not Table A2 summarizes the potential of SEA in sufficiently strong. In a recent case of SEPA China. announced the suspension of 30 projects that Table A2 Potential for SEA in China Dimensions/topics Current status Remarks Political will Strong interest/willingness of the government for SEA application. Legal mandate The current EIA law is SEA-inclusive but does not cover policy. Administrative framework SEPA is responsible for overall coordination nationwide while sector ministries involved in sectoral guideline. SEA procedure/ SEA procedure is prepared for trial use by SEPA. Guideline/ methodology Technical know-how Quite some expertise existing. Experience in SEA Quite some applications available. implementation Public involvement Legally mandated in the EIA law but with fewer concrete requirements. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 25 ANNEX 3: HONG KONG SAR2 EIA and SEA Development 1992 - The Hong Kong governor Hong Kong SAR faces environmental announced a policy initiative (Technical challenges similar to many areas in the Circular No. 13/2003) to apply the EIA industrialized world. Air pollution, sewage, process to policy, strategies and plans. noise, waste, and growing population all Under the initiative, papers on major become pressure on the environment. The policies to be submitted to the Executive government has taken measures to control Council (the highest decision-making body pollution, make improvements, and has taken in Hong Kong) must contain an significant steps to prevent future problems. environmental-implication section setting Environmental assessment is applied not only out the likely environmental implications, to individual projects, but also to strategic environmental costs and environmental policies and proposals, making it a valuable benefits. Through this directive, major tool to help Hong Kong SAR move towards a policies and strategies have been subject to more sustainable development path. Looking an appropriate EIA process. back, the EIA process has been applied to projects since 1986 in Hong Kong, to plans 1996 - SEA was conducted as part of the since 1988, and to strategies and policies since Territorial Development Strategy Review 1992. The main milestones are as follows: on land use that has been planned or completed by the government (public 1988 - The government issued a revised consultation in 1993 and 1996) to be in line circular (major development will be with land-use planning in other places. subject to an EIA) on the "Environmental review of major development projects" 1997 - the Hong Kong's EIA ordinance covering new town development as well (EIAO) was enacted in order to formalize as major projects. 15 years of experience with EIA, environmental monitoring and auditing 1990 - The Environmental Planning processes. The EIAO became operational Standards and Guidelines (overall on April 1, 1998. planning standards and guidelines) were comprehensively revised to provide September 1997 - a study on Sustainable guidance for planners, architects and Development for the 21st century engineers in planning and designing (SUSDEV21) began in order to create a major development in Hong Kong. sustainable development system (SDS). 2 This part is heavily drawn from the website of EPD, HKSAR (http://www.epd.gov.hk/epd/eindex.html). Safeguard Dissemination Note No. 2 26 1999 - A new category of designated Procedure projects for major theme parks was Figure A3.1 shows the EIA procedure (the section added to the list of projects controlled numbers refer to the section numbers in the under the EIA Ordinance. ordinance). The procedure starts from screening. Designated projects are those (projects or EIA Ordinance 1997 proposals) that may have an adverse The EIA system was initially established on an environmental impact. They are projects defined administrative order pursuant to a policy by the ordinance listed under the Schedules 2 and address by the then-governor in 1992. The 3. Schedule 2 consists of two parts: Part I for system was expanded through the 1990s, projects that require environmental permits to resulting in the EIA Ordinance (Cap.499) which construct and operate, and Part II for projects that makes EIA statutory for designated projects in require environmental permits to decommission. both the private and public sectors. Before a Schedule 2-designated project can obtain an environmental permit, a person planning the The ordinance applies to "designated projects," designated project is required under sections 5 to which are contained in Schedule 2 and 9 of the ordinance to i) apply for an EIA study Schedule 3. The designated projects in both brief, proceed with the EIA study, and then seek schedules must go through the statutory EIA approval of the EIA report under the ordinance; process, but only those listed in Schedule 2 or ii) seek permission to apply directly for an require environmental permits. Those under environmental permit. Schedule 3 are usually a plan- or policy-related, and the EIA reports for such development Figure A3.1.EIA Procedure in Hong Kong plans are what other developed countries regard as SEA. Therefore, the EIA in the Hong Process Guided by Kong SAR is SEA-inclusive. Technical Designated Projects Memorandum (Schedule 2 or 3) Project Profile Project Profile Implementing Regulations Several regulations and technology documents Public Inputs Public Inputs were issued to implement EIAO. These include, Application for EIA Study Application for approval to Brief under S.5 (1)(a) i) an Environmental Impact Assessment apply directly for permit under S.5 (11) EIA Report Submitted (Appeal Board), which sets up an appeal under S.6 (2) mechanism, and its procedures, ii) Review of EIA Report 5) 7) under S.6 (3) .1 .1 Environmental Impact Assessment (Fees), S( S( which prescribes the application fees that are ants licpp ertsige R Public Inputs payable for applications made under the EIAO, A ybl cilbu Approval of EIA Report P iii) the Environmental Impact Assessment under S.8 (3) eh ppea T A Ordinance (Amendment of Schedule 2) Order Approval of EIA Report 1999, which amends Part I of Schedule 2 to the Environmental Permit EIAO by adding theme parks and amusement under S.10 (3) for Schedule 2 Projects parks with a site area of more than 20 ha in size Environmental Monitoring and Audit as designated projects; and iv) a Technical Note: The section numbers Permit Variation in this figure refer to the Memorandum, which specifies the EIA process (S.13) section numbers in the ordinance. and its technical requirements. The booklet "A Source: Training Manual of the EIA Mechanism Guide to the Environmental Impact Assessment Ordinance" explains the EIAO, which is published by the Environmental Protection Department (EPD). All these documents are assembled on the EPD Hong Kong website. EIA Regulations and SEA Requirements 27 Figure A3.2 Public Participation under the EIAO Ordinance The Public and the Advisory Council on the Environment Comments Other Comments Authorities Other Authorities Public Exhibition of EIA Report (30 da s) EIA Project EIA Study EPD Profile for Report Brief Applying EIA Report EPD's EIA Study that meets Decision Permit Brief TM's and EIA on EIA Application Study Brief's Approval and Issuing EPD Requirement Project Permission Profile for to Apply Applying Permit Permission Consultation with Direct to Apply Advisory Council on Permit the Environment Direct (60 days) Applicants Source: A Training Manual of the EIA Mechanism A Schedule 3-designated project requires an EIA fine and up to two years' imprisonment for report to be approved under sections 6 to 9 of violations of the EIAO. the ordinance. Once approved, the EIA report will be placed on the register established under Performance Assessment the ordinance, so it can be referred to in More than 500 EIAs have been completed since subsequent applications. Alternatives were the late 1980s. A review of the operation of the required in the Technical guidance book (EPD, ordinance was completed in August 1999, 2004). The EIAO stipulated 160 days as the including five major forums and consultation timing of processing EIA. with eighteen local district boards, and a stakeholder survey. Within the first eighteen Public Consultation months, seventy-six documents were made Public participation in EIA in Hong Kong is an available for the public to comment on, thirty- important element. The public, representatives four EIA study briefs were issued, fourteen EIA from these industries, academics, and green reports approved, forty-eight environmental groups are consulted (Advisory Council on the permits granted, and eight applications either Environment). The EIAO facilitates public withdrawn or refused. Over 28,000 people assessment of the information in the process by visited the dedicated EIA Ordinance website stipulating that the public participation must be (http://www.info.gov.hk/epd/eia). The review undertaken during screening and before the confirmed that the new system is far more approval of EIA as shown in Figure A3.2. The transparent than the previous one due to project profiles and reports are made accessible increased public participation. Statutory time to the public, and information is available on the limits have shortened the length of the EIA Internet for feedback from the public. process by about three to four months. Penalty The review also showed that the EIA Ordinance Under the EIAO there are several provisions for has played an important role in bridging the gap enforcement, including an HK $5-million-plus between EIA and environmental sustainability. Safeguard Dissemination Note No. 2 28 There are requirements for off-site ecological extended the application of SEA to cover compensation measures, consistent with the policies and strategies. Under the initiative, principle of "no net loss" included in the papers on major policies to be submitted to the Technical Memorandum on the EIA Process. Executive Council (the highest decision-making There are requirements for assessment of body) must contain an environmental- cumulative impacts. The ordinance has implication section that clearly sets out the facilitated early attention to environmental probable environmental costs and benefits issues, greater transparency, and more public arising from: involvement at an early stage. The review, however, pointed to the need for better proposals for new policies or strategies; communication and dialogue among the various amendments to existing ones; stakeholders involved in the statutory process, specific matters that involve more guidance notes to be issued to proponents environmental issues; and consultants, and more effort in reaching out proposals or projects for which suitable to the local community. EIAs have already been carried out; Environmental strategies, policies and Strategic Environmental Assessment (SEA) proposals. Strategic planning is another area where environmental impacts are assessed. The EPD With this provision, decision makers could take oversees Strategic Environmental Assessments environmental factors, along with other issues, (SEA) with the aim of promoting the full such as economic and financial implications, consideration and integration of environmental and consultation responses to assist decision implications at the early planning stage of major and policy making into account. The 1999 strategic policies. This will help to avoid Policy Address requires all policy bureaus carry environmental problems and to identify out Sustainable Impact Assessment for major environmentally friendly options, rather than policy proposals. Since 2002, the "Sustainability mitigating environmental impacts at a later Implication" section is also required to be stage which are often not effective or cost- included in the submissions to the Executive effective. Council. Administrative Requirements In order to provide environmental information A revised administrative circular on the appropriate for decision makers to make an Environmental Review of Major Development informed decision, policy or plan, proponents Project, issued by the Hong Kong government would normally carry out SEA for Policy, Plan in 1988, requires new-town developments and and Program (PPPs) that have potentially major land use/development projects to substantial environmental or sustainability conduct EIA. This represents the first implications. The key findings of the SEA application of SEA for spatial planning in Hong reports would normally be summarized in the Kong. environmental-implications section of the relevant policy submissions for the Executive A policy initiative promulgated in the Council to make informed decisions on the Governor's Policy Address 3 (1992) further policies, strategies, or plans. 3 Environment, Transport and Works Bureau Technical Circular No. 13/2003, Appendix A, HKSAR major development projects. From now on, I want Government Requiring "Sustainability Assessment" this practice to be extended to all policy proposals and "Sustainability Implications" for major "....with where there is likely to be a significant cost or benefit immediate effect is for an environmental impact to the environment." assessment to be included in papers submitted to the Executive Council. Currently this rule applies only to EIA Regulations and SEA Requirements 29 Statutory Requirements SEA Process The EIA Ordinance requires a list of designated In the course of the SEA as shown in Figure projects, including major urban development A3.4 certain steps may have to be proceeded and redevelopment projects, to conduct iteratively. When evaluating various mandatory documentation and public alternatives, considerations or factors, project consultation. These major development and proponents or decision makers have redevelopment projects are listed under opportunities to shift their mindsets and in turn Schedule 3 of the EIA Ordinance as follows: change the objectives of the PPPs to enhance environmental performance. Both SEA Engineering-feasibility study of urban processes and results are vital in achieving development projects with a study area environmental-sustainability outcomes. covering more than 20 ha or involving a total population of more than 100,000. Figure A3.4. Generic process of the SEA in Engineering-feasibility study of Hong Kong redevelopment projects with a study area covering more than 100,000 existing or new population. For Schedule 3 of the EIA Ordinance Major Designated Projects, Environmental Impact Assessment reports are required. These are covered by SEA in many developed countries as well as in Hong Kong. The gist of the key findings of the SEA reports is presented in the environmental-impacts section of the policy submission to the Executive Council for Source: Sea Manual. informed decision-making as shown in Figure A3.3. Basically, SEA is conducted in three phases with different tasks conducted by relevant parties-- Figure A3.3. Key decision-making system in project proponents, decision makers or Hong Kong environmental authorities, and other stakeholders as shown in Table A3.1. Several documents have been issued to implement SEA, including the Hong Kong SEA Manual. As shown in the Hong Kong SEA Manual, different procedures and methods have been applied in SEA in the Honk Kong SAR depending on the nature of the topics. Until recently, the most comprehensive application of strategic environmental assessment (SEA) was the Territorial Source: SEA Manual Development Strategy Review completed in 1996 to cater to an increase in population from 6.4 to 8.1 million in 2011, resulting in commitments to action on sustainability issues (Section 4.1). Following this successful application of SEA is the application of SEA to transportation policies. Safeguard Dissemination Note No. 2 30 Table A3.1. Tasks of different parties in the SEA process (adopted from: SEA Manual) Decision Maker / Environmental Other Stakeholders SEA Phase Proponent Authority (if applicable) Alternative, - Needs of policies/plans - Design SEA process - Alternative ideas Screening, Scoping - Alternatives - Initial screening and scoping - Possible key issues - Initial budget / program - Baseline study Initial Assessment - Baseline study (continue) - Formulate yardsticks - Early feedback on options - Framing options - Initiate a review process and key issues - Identify key issues - Start dialogues Final Assessment - Detailed assessment & interactions - Conduct detailed reviews - Detailed feedback - Selection of preferred PPP - Decision-making - Follow-up A third comprehensive-transport study was major public consultations were completed as conducted to identify and recommend the part of the study. Another round of consultation transportation policies and major developments will start soon. required to meet the growing internal and Hong Kong-Mainland transportation demand Mainland Partnership through the year 2016. A SEA was completed in The pollutants from Hong Kong and mid-1999 as part of this study. This evaluated Guangdong often mix - Hong Kong and the potential cumulative environmental Guangdong officials have been working implications of various strategic options for the together to tackle cross-boundary environmental future environmental quality in Hong Kong. issues since 1990. These have resulted in the first Another SEA was conducted as part of the joint trans-boundary EIA, which concerned the Second Railway Development Study to evaluate Shenzhen River regulation project and was the potential cumulative environmental completed in 1995. Regular semi-annual audits implications of various railway-network on the implementation of action plans for the options and individual links, including strategic protection of Mirs Bay and Deep Bay areas and a environmental issues such as the potential joint study on the air quality in the Pearl River environmental advantages of the modal shift Delta Region have been carried out. from road to rail. Hong Kong SAR is not a developing region but The government completed a study on the extent of SEA practice and experience is of sustainable development for the 21st century in particular interest in light of its status in China, 2001, in order to define sustainable development and the emerging number of trans-boundary in the context of Hong Kong context and environmental issues with its neighboring identify relevant sustainability issues, values province of Guangdong, especially in the Pearl and indicators. A sustainable-development River delta. The Hong Kong Environment system was developed for government decision- Protection Department has been active in making processes in formulating and documenting the lessons and experience gained implementing policies, plans, programs, and in the past ten years. An interim SEA manual resource allocation to help achieving a (EPD, 2004) summarizes practice as applied to sustainable development. A key part of the plans, strategies and certain policy proposals, study was to establish the environmental which can be a valuable tool in SEA-capacity baseline and to develop a set of environmental- building in China and in the Region. sustainability principles and criteria. Three EIA Regulations and SEA Requirements 31 Summary environmental implications of policies or Hong Kong has set up an institutional strategies. Consideration is given to regional framework for both EIA and SEA since the 1980s. issues, global concerns, cumulative effects, the More importantly, these tools have been applied use of economic instruments, and strategic successfully in Hong Kong with proven records choice of technologies. The SEA has successfully in legal provision, technical capacity, training brought the urgent need for actions to deal with and implementation. This makes Hong Kong environmental threats to the attention of the EIA one of the most transparent environmental- general public and decision makers. Hong impact assessment (EIA) systems in the world. Kong's experiences in SEA application and capacity building provide a unique position for Experiences in SEA application in policy and China and the Region to learn from and share. plan in Hong Kong suggest that SEA is a useful Table A3.2 summarizes the features of the SEA tool to allow for more informed decision- in the Hong Kong SAR. making with better knowledge of the full Table A3.2 SEAS in Hong Kong SAR Dimensions/topics Current status Remarks Political will Strong interest/willingness of the government for SEA application. Legal mandate EIA ordinance/governmental circular for SEA. Administrative EPD responsible for EIA/SEA administration and implementation. framework SEA procedure/ Established for both EIA/SEA. SEA guideline/ SEA methodology Technical know-how Available. Experience in SEA Quite a number of applications available. implementation Public involvement Legally mandated in the EIA law with concrete requirements. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. Safeguard Dissemination Note No. 2 32 ANNEX 4: INDONESIA EIA Development Decree of Head of Environmental Impact Indonesia's EIA system was first established by Management Agency No. 08/2000: the Government Regulation No. 29 (1986) in Guideline in community involvement and accordance with the provisions of Article 15 of information openness in the process of the former Environmental Management Act No. EIA. 4/1982. The article stipulated that business operations that have a possibility of generating a Decree of Environmental Minister No. serious impact on the environment must 9/2000: guideline for preparation of EIA implement an EIA. Later, Government study. Regulation No. 51 (1993) Concerning Environmental Impact Assessment imposed Decree of Environmental Minister No. significant revisions to the assessment system. 17/2001: types of business and/or The revision simplified the initial screening activities required to be completed with process was simplified, the authority of the the EIA. Environmental Impact Management Agency (EIMA) [BAPEDAL: Badan Pengendalian EIA Regulation No. 27/1999 Dampak Lingkungan] was strengthened to Government Regulation No. 27/1999, which facilitate examination of business operations provided the basic rules for environmental- that involve multiple ministries and agencies impact assessment, includes six criteria to judge (Tan, 2000). Regulation No. 27/1999, current, is whether a certain business and/or activity has a a revision of EIA regulations No. 51/1993 and possibility of having a serious impact on the was signed by President Habibie in his relatively environment (Article 5). These criteria involve short administration. The new regulation is the affected factors which are: (1) The number of expected to be improved and provide a more human beings; (2) The size of the area; (3) democratic basis. For example, enhancement of Intensity and time length of impacts; (4) The public participation was one of the main environmental components hit by the impact; (5) objectives for this revision (Tan, 2003). The cumulative nature of impacts; and (5) Additionally, several guidelines established by Reversibility. the State Minister for the Environment and the Head of the Environmental Impact Management Coverage Agency (EIMA) were decreed. Some of them are Regulation No. 27/1999 covers nine types of listed here (Purnama, 2003): business and/or activities subject to EIA if their environmental impact is significant (Article 3). Decree of Environmental Minister No. These nine types of business / activities can be 2/2000 on guideline for the EIA document. divided into two large categories, i) various projects, ii) development-plan-related projects (including projects with multiple components EIA Regulations and SEA Requirements 33 and or phases in a sensitive ecosystem or performed by the governmental agencies economic development area). The terms of responsible for environmental impact at national, `integrated EIA (Regional EIA in regulation provincial or district levels (Purnama, 2003). 51/1993)' was used for the second category This decentralized arrangement, is expected to coverage. At one stage, this type of EIA was promote a clearer and more integrated expected to accommodate a broader scope and coordination under one competent leading long-term accumulative effect toward strategic agency. However, Indonesia has become used to environmental assessment (Purnama, 2003). a top-down administration over a long period of However, the focused point of such EIAs is the time, and the new concept of decentralization effects of these activities rather than assessment may cause loose control of quality and of the overall plan itself. Therefore, the current standards of EIA implementation. The World EIA in Indonesia is still project-based and SEA- Bank is currently working with the Ministry of exclusive. Environment in two provinces to pilot mechanisms for a more effective Administration implementation of EIA at the sub-national level The EIA administration experienced changes in (World Bank, 2005). Indonesia. Prior to 2000, the authority to implement EIA was assigned to ministries or Procedure other national government organizations, The EIA process stipulated by Regulation provinces and special administrative districts 27/1999 is relatively simple in comparison to its throughout the country (with jurisdiction over predecessor EIA regulation 51/1993 (Purnama, the concerned business operations). Each of 2003). The EIA process is carried out according these organizations has its own EIA Committee to the scheme shown in Fig. A4. A distinction to carry out preliminary screening and to review can be seen from the beginning of the EIA environmental-impact assessment reports. process where a proponent (whether government or private sector) must contact the Regulation 27/1999 changed this structure by EIA committee in the governmental agency canceling EIA committees in sectoral responsible for environmental impact. Screening departments at the central government level is performed through a prescribed list, which is while all tasks for national EIA review were put set by the Decree of the Environment Minister on a central EIA committee at the (EMD) No. 3 of 2000 (further revised by EMD Environmental Impact Management Agency No. 17 of 2001). Following screening, a (EIMA or BAPEDAL), which was established in proponent is directed to prepare a ToR for the 1990. The EIMA has the responsibility to EIA study (scoping process). Upon approval of develop guidelines for implementing the ToR, EIS and EMPs are prepared and environmental-impact assessments and to reviewed at the same time. Both review monitor the progress of an environmental- processes are conducted within a maximum of impact assessment. It plays the role of overall 75 days. The regulation only specifies a rejection coordinator for environmental-impact procedure without the proponent's right of assessment and has the authority to supervise appeal, and the approval of EIA documents is the reviewing process of environmental-impact made at the national level by the governmental assessment which extends across multiple agency responsible for environmental impact, ministries (Tan, 2000; Purnama, 2003). and at the provincial level, by the governor. According to Regulation 27/1999, EIA The projects that are not required to conduct the administrations were also established in the EIA study are obliged to implement a project provincial and district government. that minimizes negative environmental impact. Responsibility to implement and supervise EIA They must fulfill a specific Standard Operating is distributed to all provinces and districts and is Procedure (SOP) set by the Ministry of Safeguard Dissemination Note No. 2 34 Figure A4 The EIA process in Indonesia under government regulation 27/1999. Actually proposed from proponents EIA commission in the Environmental Agency Screening process prescribed list EMD No.3/2000 EIA required No EIA required EIA Terms of Reference (EIA TOR) Review Preparation of EIA report and Preparation of environmental management & environmental monitoring plan (EMPs) management documents (or TOR) Review Approval by the Head of the Environmental Agency or Governor Rejected Permitting and licensing Note: Shaded boxes show opportunities for public involvement in the EIA process Source: Purnama, 2003. Environment (Decree of the Minister for process, in the previous EIA decree (51/1993) Environment No 86/2002). The Regulation public participation in EIA procedure was stipulated alternative studies and 150 days as undertaken through NGOs only, and there was the timing of processing EIA. no permanent seat representing the public in the EIA committee. The guidelines allow governors Public Participation to be flexible in arranging further This EIA regulation (27/1999) enhances the implementations at the provincial level since transparency of the EIA process through EIA each province has different community publications and the provision of direct public characteristics. This applies, for example, in involvement in the process (Purnama, 2003). As determining the community representative on a new approach, this is initiated by the the EIA commission. implementation of public-involvement guidelines stipulated in Decree No. 08/2000. Decree No. 08/2000 clearly stipulates the concrete stages and requirements of public The Decree No. 08/2000 is a guideline involvement in the EIA procedure. During the specifically for public involvement in the EIA planning stage, the proponent is required to EIA Regulations and SEA Requirements 35 notify its proposal to the EIMA, then to review process, members of the public have one announce the proposed activity along with the more opportunity to express their responses and agency. Minimum requirements for the suggestions. announcement are defined by the guidelines including the specifications of mass media and SEA Initiatives announcement techniques. The public has the Realizing many environmental issues can be right to voice its opinion or response within 30 solved only by adopting a holistic approach and days of the announcement date and submit SEA is useful in the decision-making process. them to the agency with a copy to the proponent. The Ministry of Environment published in 2004 a book on Strategic Environmental Assessment After obtaining responses from the public, the (Reference to Policy, Plan and Program). It proponent is required to prepare a Terms of introduces the fundamentals, procedure and Reference (TOR). During the TOR preparation, benefits to apply SEA in the PPP process the proponent is also required to conduct public although the application is not compulsory. The consultation and to document all issues recent tsunami has led to the initiation of a resulting from the consultation and then attach government-led SEA process. Lessons learned them to the ToR document. The TOR is from this process will be important in helping to presented to the EIA committee for review. The define future directions for SEA in Indonesia public gain another opportunity to provide (Mackay, 2005). input through its public representative who sits on the EIA committee or makes written Summary submissions to the committee. The submission The EIA system has been in place for twenty for the ToR has to be made three days, at the years in Indonesia including a legal mandate, latest, before the committee proceeds to review procedure, technologies, guidelines, and the document. applications. The EIA regulations have been amended to enhance coordination among the Based on the recommendations resulting from governmental administration and the public the ToR review and input from the public, the participation. According to the scope, the proponent then prepares the EIS and EMPs. current EIA in Indonesia is still project-based After all EIA documents have been prepared the and SEA-exclusive. The government recognizes proponent presents those documents to the EIA the importance of SEA. Table A4 summarizes committee for further review. Prior to the the potential of SEA in Indonesia. Safeguard Dissemination Note No. 2 36 Table A4 Potential for SEA in Indonesia Dimensions/topics Current status Remarks Political will MoE published the book to introduce SEA. Legal mandate x Law is available for EIA, but not for SEA although planned revision to the Environmental Management Act 23/1997 may include strengthened references to SEA. Administrative x Ministry of Environment responsible for national level EIAs. Provincial and framework district-level government responsible for local-level EIAs. SEA procedure/ Not available although some introductory booklet on SEA published. Guideline/ methodology Technical know-how Not available. Experience in SEA Not available implementation Public involvement NA Clearly stipulated for project-based EIA with concrete requirements in the legal document : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 37 ANNEX 5: JAPAN EIA Development Environmental Impact Assessment Law, 1997 Since the 1960s Japan has elevated considerable A new Environmental Impact Assessment Law resources to environmental protection through was approved by the National Diet on 28 March legislation, institutions and investment. The EIA 1997 and took effect in August 1999. The new concept was introduced by the Cabinet in 1972 EIA law stipulated several key components as under the title of "On the Environmental follows (OECC, 2000). Conservation Measures Relating to Public Works." The Environment Agency (established Coverage in 1971) has been preparing to regulate a The law stipulates that EIA must be conducted uniform EIA procedure since 1975. prior to implementing the project and adopts a listing method by scale to identify projects for The Cabinet approved "On the Implementation which environmental impact statement (EIS) are of Environmental Impact Assessment" in required. Eleven types of projects are obligated August 1984, but it was an administrative to conduct EIA, e.g. transportation, land guidance rather than a mandatory law. The development, power stations and waste disposal. document set a standardized rule or conducting The projects are divided into two categories by EIA in large-scale development projects that scale. Proponents of projects exceeding a certain have adverse environmental impacts. scale (designated by an ordinance under the law - Category 1 projects) shall be required to The Basic Environment Law issued in 1993 prepare an EIS without any screening process. A motivated improvements to the existing EIA project with a scale smaller than the threshold systems on a national scale. The law has an but larger than a certain scale (designated by the article on EIA, obligating the national ordinance - Category 2 projects) will be government to take necessary measures to presented to a screening process where the ensure that planning developing projects with responsible authorities determine the necessity potentially have severe adverse effects on the of EIS. Table A5.1 shows types of projects environment, conduct sophisticated surveys and obligated to EIA (OECC, 2000; Hatakeyama, evaluations of environmental impacts and give 2002). According to the coverage it concludes proper consideration to environmental the current EIA in Japan is project-based and conservation. The Environment Agency SEA-exclusive. established an ad-hoc research body, the Environmental Impact Assessment Systems Study Commission, in July 1995 (Kurasaka, 2003). Safeguard Dissemination Note No. 2 38 Table A5.1Project Subject to the Environmental Impact Law in Japan Type of Project Scale of Category 1 Project Scale of Category 2 Project Roads (new addition of large-scale forest road) National vehicle expressways All Metropolitan expressways etc. All roads of 4 lines or more General national roads 4 lanes, 10 km or more 7.5 km to less 10 km Large-scale forest roads 2 lanes, 20 km or more 15 km less than 20 km 2 River work (addition of dams of small-scale river, industrial water weirs, irrigation weirs and water-supply weirs relating to secondary waterways and reduction of scale) Dams Area under water ­ 100 ha or 75 ha to less than 100 ha more Weirs Lake and swamp water-level Affected area-100 ha or more 75 ha to less than 100 ha adjusting facilities Discharge channels 3 Railways (addition of general railways and tracks (equivalent to general railways)) Bullet Train railways (including All standard new lines) General railways (including 10 km or more 7.5 km to less than 10 km subways and elevation of tracks) Tracks (equivalent to general railways) 4 Airport Runway of 2,500 m in length or 1,875 to less than 2,500 m more Power Stations (includes new addition, in-house power generation and wholesale supply) Hydroelectric power station Output of 30,000 kw or more 22,500 Kw to less than 30,000 5 Kw Thermal power station (other than Output of 150,000 kw or more 112,500 Kw or less than geothermal) 300,000 Kw Thermal power stations Output of 10,000 kw or more 7,500 kw to less than 10,000 kw (geothermal) Nuclear power stations All 6 Final waste disposal sites 30 ha or more 25 ha or less than 30 ha 7 Landfill and drainage of public Over 50 ha 40 ha to less than 50 ha waterways 8 Land reallocation project 100 ha 75 ha to less than 100 ha 9 Development of new residential area 10 Industrial-estate land preparation 11 Foundation preparation for new cities 12 Land preparation for distribution business hub 13 Land preparation for residential areas Port planning Landfill and excavation 300 ha or more Source: OECC (2000) EIA for International Cooperation EIA Regulations and SEA Requirements 39 Public Participation Public participation was enhanced in the 1997 Carry out a review of the content and law. Public opinion can be expressed twice in methods for including environmental the EIA procedure, initially at the scoping stages, considerations in decision-making on and also at the EIA-conduction stage. policies, plans, and programs. Evaluate the effectiveness and Functions of Environmental Agency and Local practicability of such measures by Government reviewing cases and formulating A final EIS shall be transmitted to the guidelines based on the review. authorized authorities for consideration for a Consider the framework for including licensing process. The Environment Agency can environmental consideration in decision- express its opinions on the final EIS to the making on policies, plans and programs, if competent authorities. The authorized necessary (Dalal-Clayton, et al., 2004). authorities can require the proponent to revise the final EIS, if necessary. The Environment In 2003, the Ministry of Environment issued Agency can express opinions on all projects. The preliminary guideline on SEA in the formulation local government can submit opinions at each of municipal waste-management plans. The stage of the procedure. Ministry of Land, Infrastructure and Transport introduced guidelines for promoting public In Japan the EIAs have been carried out, in involvement in road, airport, and harbor addition to the national EIA Law, under specific planning and for taking into consideration laws such as the Public Water Area Reclamation alternatives in an early stage of the planning Law, or under administrative guidelines such as process. In addition local governments are the Ministry of International Trade and taking leading role in SEA applications in Japan. Industry's guidelines on EIA in regard to power Nowadays, 47 prefectures and 12 big cities have plant construction. Furthermore, of 59 main applied SEA under their jurisdictions mainly in local governments, 51 maintain their own EIA the areas of regional, land use and development ordinances or guidelines (Dalal-Clayton, et al., planning etc. However, some common problems 2004). are summarized as (1) poor alternative studies in both conduction and adoption of the SEA Initiatives recommendations, and social and economy In early 1997, when the Environmental Law was comparison; and (2) weak public participation promulgated, it was recognized that the EIA and later disclosure ((Dalal-Clayton, et al., 2004; system was limited to project-based coverage Harashina, 2005). and "reaction process." Recommendations were therefore made to study the NEPA Task Force Summary points, which are conceptually SEA. This work EIA is well established in Japan and there is a began with examining legal and institutional wealth of experience, but the current system is arrangements for SEA established in OECD project-based and SEA exclusive. A significant countries. The Ministry of Environment amount of work has been undertaken in published several reports on international studying and introducing international SEA experience with SEA and its possible application experiences. Quite some municipalities have in Japan at national and local government levels undertaken SEA applications. Japan is at an (MoE and Mitsubishi Research Institute, 2003). advanced stage in establishing an SEA system. In 2000, the Cabinet approved the Basic Table A5.2 summarizes the potential of SEA in Environment Plan (2000) which, inter alia, Japan. provided mandates to: Safeguard Dissemination Note No. 2 40 Figure A5 EIA procedure in Japan Government Undertaker Local Government Resitents, etc Judgment on category 2 projects (selection of projects with consideration for local characteristics) Judgment on whether or not implementation of Category 1 environment impact assessment is necessary Implementation program Opinion of prefectural for a category 2 projects governor Procedure for statements of planning for environmental impact assessment (selection of effective items with consideration for relative importance of elements involved) Plan of method for implementation of Views of those having environmental impact assessment opinion from the viewpoint of environmental preservation Opinion of prefectural governor/mayor(s) Determination of method for the implementation of environmental impact assessment Procedure for statements of preparation and assessment for environmental impact assessment Views of those having Preparation of statements of opinion from the viewpoint preparation for environmental of environmental impact assessment preservation Opinion of Director- General of the Environment Agency Preparation of statements of Opinion of prefectural environmental impact assessment governor/mayor(s) Opinion of administrative authorities that grant permission, approval, etc Examination of Revision of statements of permission, approval, environmental impact assessment etc Follow-up (investigation, ext., after project is started on) Source: OECC (2000), EIA for International Cooperation EIA Regulations and SEA Requirements 41 Table A5.2 Potential for SEA in Japan Dimensions/topics Current status Remarks Political will Strong interest/willingness of the government for SEA application. Legal mandate MoE is actively considering establishing SEA. Some local governments enacted SEA legislations. Administrative Some local governments have carried out SEA within their jurisdictions. MoE framework is responsible for nationwide EIA/SEA. SEA procedure/ Available at some municipalities. Many studies were conducted on the international experiences of SEA with some pilot applications although not Guideline/ available countrywide. methodology Technical know-how Expertise on SEA available at municipality level. Experience in SEA Some applications undertaken by municipalities under their jurisdictions. implementation Public involvement Well stipulated in EIA/SEA laws and implemented in SEA in some municipalities. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce to designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. Safeguard Dissemination Note No. 2 42 ANNEX 6: KOREA4 Development of EIA government administrative agencies. In the The EIA system was first mentioned in Korea in Basic Environmental Policy Act issued in December 1977 in the Environmental August 1990, development of river use, forest, Preservation Act. The system was put into effect and others were added to the list subject to EIA. when the legislation of "Regulations on the In the Environmental Impact Assessment Act Preparation of EIA" was enacted in February issued in June 1993, the construction and 1981. The Environmental Administration was installation of military facilities were made upgraded to the ministerial level in 1990, and subject to EIA, (thus expanding the number to the previous Environmental Preservation Act 16). The Enforcement Decree of the Act was was divided into a number of separate laws. revised in April 1995; this increased the number Matters concerning EIA were incorporated in of EIA business areas to 17 (covering 62 unit the Basic Environmental Policy Act, which was projects) with the addition of sand, mud, and enacted in August 1990. mineral collection. The Environmental Impact Assessment Act was Enhancing Public Participation and Awareness enacted as a separate law on June 11, 1993 and The Basic Environmental Policy Act enacted in was put into effect on December 12, 1993. To August 1990 included provisions on the release increase efficiency of the system, the EIA Act of EIA documents to the public and was revised further in 1997. The new the Act on presentations and public hearings on the EIA. Assessment of Impacts of Works on However, as EIA presentations or public Environment, Traffic and Disasters has been hearings were held only when the mayor, effective since 1999. county chief or head of the district office deemed necessary, the EIA system was EIA Act, 1997 criticized for being simply a formal process and The major components of the EIA Act 1997, ineffective in collecting opinions of local including subsequent amendments, are residents. To address this problem, the described as follows. Environmental Impact Assessment Act required the release of EIA documents for reference to the Expansion of the Coverage general public in addition to presentations and The Environmental Preservation Act enacted in public hearings. The latter are required when 1977 limited the scope of businesses subject to more than thirty local residents demand a public EIA, to urban development, industrial sites, and hearing, or when a majority of a group of local energy-resource development conducted by residents fewer than thirty but more than five 4Heavily drawn from the website of MoE, Korea: (http://eng.me.go.kr/user/#). EIA Regulations and SEA Requirements 43 submits a document demanding a public Local governments are encouraged to take hearing. Public hearings are used to collect and aggressive actions in protecting the environment. reflect opinions of local residents in the EIA. Under the current EIA Act, the municipal or provincial government can request an EIA for Procedures for collecting local residents' those development projects, which are not opinions allow conflicting interests over included in the scope of businesses subject to environmental problems to be settled well in EIA, according to local EIA regulations to advance. As the project proceeds with the minimize destruction of the environment. agreement, local residents concurred, public awareness on environmental preservation is Responsibilities and Penalties heightened and implementation of what has To improve the quality of EIA implementation, been agreed to at the EIA consultation is made the EIA Act stipulates the contents of binding, not by law but by the local community. consultation, obligation for implementation borne by a project applicant, and control and Procedure supervision by the head of an approval Before the EIA Act was enacted, the applicant of authority. The project applicant is required to a project was required to prepare EIA maintain consultation records, designate a documents and to consult with the Minister of person in charge of the record, and notify the Environment directly. Sometimes, this would results of environmental impact after project lead to the consultations being not fully completion to ensure that consultations were reflected at the time of project approval. To faithfully implemented. The project-approval address this problem, the current EIA Act authority, on the other hand, is responsible for stipulates that the same person should be in checking whether or not prior consultations charge of applying for consultation and as the were reflected and to supervise the applicant so head of the government agency that approves that consultations are faithfully implemented. the project, so that consultations are fully The approval authority is empowered to take reflected at the time of project approval. necessary steps for implementation, and can suspend projects judged to have brought serious The current Environmental Impact Assessment damage to the environment. Act required alternative studies and 74 days as the timing of processing EIA. EIA documents The EIA Act, 1997 further tightened regulations should be drawn up and agreed upon before on those in violation of the Act. Those who fail basic decisions are made on the approval of to notify the results of EIA after the completion construction of a project in question. of construction, fail to keep a record of prior consultation, or fail to designate a person in According to the EIA Act 1997, a Post-EIA will charge of records, are subject to penalties of up be conducted for the second time to devise to one million Won. The operators of measures to reduce the environmental impacts wastewater who violate the discharging of accidents which were not predicted at the standards are subject to additional charges for time of the initial EIA and prior consultation. the violation. While, those who prepare false EIA reports will be subject to criminal Enhancing Institutional Capacity and punishment. Involvement The Korea Environmental Technology Research In practices the EIA system deals mostly with Institute was expanded and reorganized as the projects during the execution stage, after plans Korea Environment Institute, which specializes have been approved and confirmed, and in any in reviewing EIA documents and EIA case mainly reviews pollution-reduction development and distribution of assessment measures. To improve such issues, the Prior techniques. Environmental Review (PER), one of Korea's Safeguard Dissemination Note No. 2 44 most important preventive policies, was projects were immune from any censure even if developed and implemented in Korea. the projects were known to be inappropriate. The system was also somewhat limited as a Prior Environmental Review System (PERS) preventive measure since the projects targeted The Prior Environmental Review System (PERS) for the Environmental Impact Assessment or Preliminary Environmental Scan (PES), and System were excluded from the PERS. SEA-type system is legislated under the Additionally, as mandated by provisions in Framework Act of Environmental Policy (FAEP) other Acts; the system excluded administrative (Articles 25, 26, 27 and 28). The system is used to plans and development projects that were predict and minimize environmental impacts at already under MoE review. But in fact there an early stage for certain plans and projects. were no detailed provisions for the plans to undergo the PERS. Moreover, a number of Development of the PERS administrative plans did not even have basic Prior to PERS, development plans with potential provisions in place for planning-stage environmental impacts were discussed at the discussions or review, ultimately inhibiting any ministerial level according to a provision that type of thorough environmental review. required prior consultation with the Minister of Environment. Examples of such development To resolve the limitations, the Framework Act of plans include new land-use plans introduced Environmental Policy legislated (1999) made the under the National Territory Usage Preliminary Environment Review System (PERS) Management Act, rural development plans compulsory. The validity of a site and its introduced under the Special Act on Rural harmony with the surrounding environment Development, and plans affecting the use of sea were reviewed in the cases of high-level master resources introduced under the Act on plans that were de facto excluded from or Prevention of Ocean Pollution. In addition, the neglected by EIA. greater local autonomy resulted in the emergence of more aggressive regional The current PERS serves as a mechanism for development plans. Thus more proactive and efficiently supplementing the EIA at the systematic environmental previews on planning stage for various development plans or development plans and projects were being programs that require decision-making. called. Conceptually, PERS is similar to Strategic Environmental Assessment (SEA); it is regarded With such background the Provision on the as a SEA-type system (Dalal-Clayton, et al, 2004). Environmental Validity Review of Administrative Plans and Projects (based on Key Components of the PERS Article 11 of the Basic Environmental Policy Act) The key components of the PERS, 2000, revised was promulgated in 1993 and was revised to based on Article 11 of the Basic Act on streamline consultation procedures in 1994. Environmental Policy are highlighted as follows. Since then, environmental previews have been carried out without the previously required Coverage of Plan legal consultation clause. The targeted plans and projects are now classified into two categories. The first falls Previews also began to address medium- and under the Basic Act on Environmental Policy, large-scale public development projects in and the second is those under other related laws. environmentally sensitive areas. The Basic Act of Environmental Policy Act Enforcement Decree added the following to the Meanwhile, the PERS had a few remaining list of projects subject to PERS: designation of an problems. Significantly, the system was confined agro-industrial complex, which didn't have a to public projects; while private development legal basis for prior consultation in relevant laws; EIA Regulations and SEA Requirements 45 ten administration plans including development a single possible extension of 10 days. When the plans for hot springs; and development projects conference outcome is not released within the led by the private sector in preservation zones, deliberation period, the meeting is assumed to which was excluded from the Prime Minister have taken place, so as to prevent project decree (Song, 2004). implementation delays. Procedure Technology Guidelines and Evaluation The heads of administrative agencies that Committee establish, permit, or approve administrative To prevent the PERS from being executed plans or development projects are to consult inconsistently due to the subjectivity of those in with the Minister of Environment or the head of charge, the Manual for Environmental Preview the local environmental agency on the matter of provides a systematic and detailed list of key environmental validity review. review items, review criteria, and methods. Two types of forms are required: basic and To enhance the objectivity, fairness, and individual. Basic forms must be submitted for professionalism of the preview, a Special all administrative plans and development Committee on Environmental Preview and projects due for environmental validity Environmental Impact Assessment was set up at previews and must include items such as project the Ministry of Environment headquarters and purpose, current land usage, and present regional environmental offices. The committee distribution of preservation areas. Individual consists of 30 members, and has been in forms cover specific ecological characteristics, operation since September 2000. the current level and types of pollutants, and environmental impact projection and reduction The PERS system can cancel or downsize plans plans. when the environmental impact is deemed serious in terms of quality and quantity. It can The forms required for the preview are specified also force the project operator to present and the submission of documents is now countermeasures to minimize environmental mandatory. The heads of governmental bodies impacts. that establishes or approves administrative plans, or that permit, approve, and authorize Relationship with EIA development projects must either fill out the When the PERS is correctly implemented and forms themselves or receive them from project the project plans are approved, the procedure or operators, and then submit the forms to the components of environmental impact Minister of Environment or the head of the assessment could be streamlined or even regional environmental office. omitted in some cases, cutting down on time and cost. Moreover, opinions and conditions The deliberating organization, specific presented during the environmental preview deliberation period, and post-management will be reflected on the environmental impact system are now in place. If the environmental assessment and their implementation checked, preview applicant (the planner and decision- so that the two systems can operate and develop maker) or the party that permits, approves, or in complement. authorizes a project is the head of a central administrative body, the applicant should meet Towards SEA with the Minister of Environment or the head of The current PERS is conducted for the regional environmental office. The minister administrative plans and development plans. or regional head receiving the request for the Usually, however, the plans are established on preview must notify the applicant of the the basis of economic and social interests, and outcome of the conference within 30 days, with PERS is conducted at the stage when the plan is Safeguard Dissemination Note No. 2 46 being finalized. Therefore, various alternative development project will be made at the options in environmental aspects are not being planning stage, taking into account fully examined. environmental concerns. This will likely result in conflicts at the EIA stage to be diminished Given the limitations of the current PERS and significantly (Song, 2004). the benefits of SEA, the Framework Act on Environmental Policy (FAEP) (Article 25 and 26, Summary etc.) was amended in 2004 and approved in 2005 Korea has established and applied EIA for over mainly on (1) extending the list of plans and twenty years for various projects. Given its programs subject to PERS, (2) stipulation of coverage, the current EIA system is SEA- implementation of PERS at an early stage to exclusive. The Prior Environmental Review enhance its effects in decision making, and (3) System (PERS), which is a SEA-type of system, enhancement of public participation and was applied in the late 1990s, mainly for various disclosure (Song, 2005). developing planning programs. EIA in Korea is expected to be divided into the The current PERS has been modified as a SEA- PERS, conducted at a planning stage, and EIA, type system, but in general, policy is not going carried out at the project-development stage. In to be covered. Table A6 summarizes the this case, a decision on whether to execute a potential of SEA application in Korea. Table A6 Potential for SEA in Korea Dimensions/topics Current status Remarks Political will Strong interests/willingness of the government for SEA application. Legal mandate SEA-type PERS ACT is enacted. Administrative MoE and its regional offices responsible for overall EIA/SEA and coordination framework nationwide. SEA procedure/ Established for SEA-type PERS. Methodology/ guideline Technical know-how Based only on PERS experiences. Experience in SEA Many SEA-type PERS applications. implementation Public involvement Legally mandated with concrete requirements in the new PERS Act. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 47 ANNEX 7: LAO PDR Environmental and EIA Legislation and ERMG/AIT, 2002) advised the Ministry of Lao PDR is a country which is rich in natural Industry and Handicraft (MIH) that it should resources. With ongoing re-building and develop and implement EIA regulations for infrastructure development, environmental hydropower projects. The MIH issued a protection and prevention of unsustainable use Regulation on Implementing Environmental of natural resources is essential. Environmental Assessments for Electricity Projects in Lao PDR legislation, regulations, decrees, standards and in November, 2001, and the Environmental guidelines concerning environment Management Standard on EIA for Electricity management have recently developed in Lao Project in Lao PDR and Draft Social Impact PDR. The core Laws are (SIDA): Assessment for Electricity Project in Lao PDR (AITCV and ERMG/AIT, 2002). Environmental The Lao Constitution (1991) acknowledges impact assessment has become the centerpiece the need for environmental protection in of environmental management. Lao PDR and requires that Environmental Assessment give particular attention to EIA Decree No. 1770 (2000) the assessment of potential positive and In 1999, STEA started to develop an EIA Decree. negative socio-economic impacts of The EIA Decree No: 1770/STEA was issued on 3rd project development, and to prevent / or October 2000, followed by Implementation mitigate harmful impacts. Decree in 2002. The decree provides guidelines and standards for environmental assessments The Law on Environmental Protection had and provides a framework within which other been passed by the National Assembly in ministries can develop their own set of 1999, and further elaborated by an standards and guidelines for EIA procedures. implementation decree in 2002. It requires This is done they can develop their own EIA that all projects and activities that have an guidelines, covering projects and activities impact on the environment (including under their own jurisdiction. social impacts), go through an assessment process prior to the approval and Coverage implementation. Article 8 deals with EIA The EIA Decree stipulates that "No construction procedures and requires that the relevant or other physical activities shall be undertaken ministries develop their own EIA at a project site until STEA issues an guidelines and standards. environmental compliance certificate for the project." According to this the current EIA is In late 1999, the Science and Technology project-based and SEA- exclusive. Environment Agency (STEA), which was established directly under the Prime Minister's Office after the Earth Summit in 1992 (AITCV Safeguard Dissemination Note No. 2 48 Procedure government authorities, makes a written record Screening: The proponent should submit a to STEA of its decision concerning DPRA's Project Description in the form of a project review of the IEE report. For example, if the IEE proposal document to the Development project is incomplete, and fails to identify potential Responsible Agency (DPRA)5 for environmental environmental impacts or if the Environmental screening. Based on the information in the Management Plan (EMP) is inadequate, DPRA project proposal document, the DPRA should can decide whether an EIA is required for the assemble an ad hoc Project Review Team to project. When STEA has receives the record of complete an environmental screening of the decision of DPRA STEA should: "Issue an proposed project. The purpose of the screening environmental compliance certificate for the is to separate those projects that require no project with or without conditions for EMP further EA (exempt projects) from those projects measures and implementation, or reject the IEE that require further EA (non-exempt projects). or advise the project owner to conduct an EIA." For the latter STEA should issue an environmental compliance certificate (STEA, Preparation of EIA Report: The general 2000). In practice, there are very few projects requirement for the EIA report is it must that are put into the category called exempt describe the existing socioeconomic and natural projects. Almost all projects that go through the environment in the area(s) that might be affected screening process are non-exempt projects by the project. It should specially address: (STEA, 2004) and for them the EA must thereafter include an Initial Environment The report must identify and describe the Examination (IEE). environmental, social and economic impact of the project, and compare them to the impacts of Preparation of IEE: The IEE should include, i) an one or more feasible alternative Environmental Management Plan (EMP), and ii) scenarios. "Impact concerning culture, the Terms of Reference (ToR) for conducting landscape, gender and climate are not explicitly EIA (if required). The IEE is undertaken by the included in what needs to be identified and Project Owner and the IEE report concludes if described in the EIA". there is need for an EIA. If there is no need for an EIA, an EMP must be developed within the The report must identify, evaluate, and IEE report. If an EIA is needed a ToR should be compare appropriate mitigation measures included in the IEE report and the scope of the for preventing or reducing the impacts of ToR should be broad enough to assess all the project and of all alternatives. In cases significant harmful environmental impacts that where impacts cannot be prevented and the project is likely to cause, both within and reduced, the report must propose ways to outside the project site. compensate for them. Review and Approval of the IEE: The DPRA, The report must clearly identify all Lao together with other involved agencies and local PDR laws, regulations, and international treaty obligations, natural resource usage 5Any central or local government agency responsible plans on land, forest etc. that are relevant to different development projects of the government to the proposed project activities. itself; Office for domestic investment management, responsible for development projects proposed by The regulation stipulated alternative studies and persons, entities or private organizations from within 100 days as the timing of processing EIA. An the country; Office for foreign investment EMP should be included with all EIAs. The management, responsible for development projects proposed by foreign persons, entities or organizations; Project Owner must, during the detailed design Other agencies, with a governmental mandate to be phase, prepare the detailed EMP based on the responsible for development projects (SIDA). general EMP of the IEE already approved by EIA Regulations and SEA Requirements 49 STEA. Before starting a project logging, land Notification of stakeholders clearing, constructing, or any other physical Dissemination of information about the activities at the project site, the project owner project and its impacts must obtain an environmental compliance Consultation with the affected parties and certificate for IEE/EIA including the EMP from parties interested in the project regarding STEA. STEA is responsible for reviewing and their opinions approving EIA reports. Invitation to affected parties and parties interested in the project to attend hearings Implementation of the EMP: In order to ensure the or other meetings when, i) DPRA reviews effective implementation of the EMP the project an IEE report, ii) STEA reviews and must establish an environmental unit. approves an EIA report, or iii) responding to the affected and interested parties' Project Monitoring and Evaluation: The Project concerned during project planning and Owner, or environmental unit, must establish implementing. monthly reports on project environment monitoring to be sent to the concerned agencies, SEA Study for Nam Theun 2 Hydro-Power which are STEA/ Provincial, Municipal or Project Special Zone Science Technology and Nam Theun 2 is a hydropower development Environment Office, and the Environment project, will produce 1,069 MW of energy. It will Management and Monitoring Units of the have a major environmental impact, and the Lao concerned ministries for information and government, together with the World Bank, is supervision. paying great attention to environmental protection and mitigation in connection to this The project owner is responsible for all costs of project. A substantial SEA study including implementing the project's EA, including the cumulative impact analysis has been undertaken EMP and the actual costs of the government (Case study 4.2) (1NORPlan, 2004; NORPLAN, 2 agencies in the EA process. 2004). Public participation is an important factor in carrying out the impact assessment of this Public Involvement project, The Decree stipulates that DPRA and the Project Owner are responsible for the undertaking of Summary public involvement activities in a consistent EIA system has been established and applied manner as suitable to the EA process (Article 6). recently in Lao PDR. It is project-based and STEA, the DPRA and the Project Owner are SEA-exclusive. Table A7 summarizes potential jointly responsible for conducting public of SEA in Lao PDR. involvement activities during all EIA steps. Public involvement should include at least the following activities: Safeguard Dissemination Note No. 2 50 Table A7 Potential for SEA in Lao PDR Dimensions/topics Current status Remarks Political will Interest/willingness of the government is available in EIA but not clear indicator in SEA. Legal mandate Only for EIA not for SEA. Administrative STEA is responsible for EIA only. framework SEA procedure/ Not existing, only established for EIA. Guideline/ methodology Technical know-how Not available. Experience in SEA Not available implementation Public involvement NA Only stipulated in the EIA Legal document : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 51 ANNEX 8: MONGOLIA Environmental Legislation Law on Weather and Environmental The Ministry of Nature and Environment Monitoring, 1997 (MONE) was formed in 1992 replacing the Law on Fees for Harvest of Forest Timber previous State Committee for Environmental and Fire Wood, 1995 Control (SCEC). The ministry is responsible for the development of environmental EIA Law policy/legislation at the central level in Early in 1994 MONE began to conduct Mongolia. Under MONE, several new screening-impact assessments. The law on EIA organizations were established in 1996, was established in 1998 and revised in 2001. It including Environmental Protection Agency, legally mandates EIA in Mongolia (Ulaanbaatar Land Agency and Hydro Meteorological City Government, 2004). Agency (JICA, 2002). The law on EIA requires environmental-impact A set of laws and regulations covering a broad surveys and assessments to be carried out prior range of areas have been promulgated and to the implementation of any project that has the implemented in Mongolia as follows: potential to endanger or seriously affect the environment. It includes new projects, as well as Law on Environmental Protection, 1995 restoration and expansion of existing production Law on Air, 1995 or services, construction activities and use of Law on Protection from Toxic Chemicals, natural resources. The legislation has provisions 1995 for evaluating the acceptability of the project as Law on Water, 1995 well as measures to be taken in order to protect Law on Land, 1994 the environmental quality. According to the Law on Forest, 1995 coverage, the current EIA in Mongolia is project- Law on Hunting, 1995 based and SEA-exclusive. Law on Natural Plants, 1995 Law on Environmental Impact The screening and General Environmental Assessment, 1998 Impact Assessment (GEIA) should be completed The Law of Mongolia on Environmental before the implementation of the project with Impact Assessment (revised), November the objective of estimating the impact of the 22, 2001 project in advance. The project proponent is Law on Water and Mineral Water Use required to submit summary and technical Fees, 1995 documentation to MONE or to the local Law on Special Protected Areas, 1995 authority in line with the screening criteria as Government Regulation No.121 on the prescribed. Based on conclusions of Environmental Impact Procedure, 1994 environmental screening and GEIA, one of the Law on Forest Fire Protection, 1996 following decisions should be taken: Safeguard Dissemination Note No. 2 52 To implement the project without a Table A8.1 shows the number of the EIA projects Detailed Environmental Impact conducted from 1995 to 1999 (Jica, 2002). The Assessment (DEIA); project with EIA increased exponentially in recent years. In 2002, approximately 1,000 To provide approval for implementation entities conducted detailed environmental without further assessment, if the project impact assessments. impacts and consequences meet the requirements of the existing Amendments Made to the Law on EIA environmental standards and the Some amendments made to the Law on requirements or are subject to specific Environmental Impact Assessment were ratified conditions regarding management and by the Parliament of Mongolia at the session of organizational measures to be taken; and the Parliament on November 30, 2001. The amendments comprise several important In cases in which negative impacts are provisions determining in detail the duties, regarded as likely and/or significant, the rights and responsibilities of the State Central project may be required to undergo more Organization in charge of Environmental issues, detailed assessment or Detailed project clients and a project expert or competent Environmental Impact Assessment (DEIA). authority for conducting detailed environmental-impact assessments. For instance, If a DIEA is required, the project proponent is the law stipulates that, "a general environmental responsible for contracting one of Mongolia's statement shall be made before obtaining a licensed environmental-consultancy company license on mineral resource utilization, land (of which there are currently twenty-one) to exploitation and ownership as well as before conduct the DEIA in accordance with the starting implementation of any project." It also requirements set out in the DEIA. The states that in order to guarantee that regulation stipulated alternative studies and 100 environmental-protection duties are fulfilled; days as the timing of processing EIA. the organization executing the project shall Enforcement and monitoring of the deposit a sum of money a special account of the implementation of Environmental Management relevant national administrative unit or the Plans set out in DEIAs are the responsibility of district. This sum of money shall be equal to at the local government agencies. Suggested least 50 percent of the expenses required for mitigation measures adopted during the civil environmental protection and restoration works in accordance with the environmental measures in the relevant years. A report on the legislation would be enforced along with the execution of the plans should also be made. The supervision consultants. new law containing the additional amendments described above will be of great importance for Table A8.1 Projects with DEIA from 1995 to both the protection and the restoration of the 1999 nature and environment of Mongolia (Namkhai and Enkhbayar, 2002). Project Type 1995 1996 1997 1998 1999 Gold Mininig 39 31 34 40 19 Coal Mining 4 8 4 7 5 Implementing Regulations Other Mineral 6 20 13 12 10 Several regulations have been promulgated to Extraction implement the EIA Law. The important ones Tourism 4 8 72 35 20 include Screening of the Environmental Impact development Assessment Guideline (Attachment of the Industry 17 22 46 29 22 Minister Nature and Environment Degree 66, Total 78 98 186 139 94 1998), Detailed Environmental Impact Source: JICA, 2002. Assessment Procedure (Attachment of the Minister Nature and Environment Degree 58, 29 EIA Regulations and SEA Requirements 53 of April 1999), Environmental Protection Plan, environmental and natural-resource review Environmental Monitoring Program Guideline process, which proposes reviews at every stage (Attachment 1 of the Minister Nature and of policy, program, plan, and project Environment Degree 87, 2000) and Guideline for development. It is a SEA-type program. the Administration of Detailed Environmental Currently, the Policy Coordination Department Impact Assessment Report (Attachment 2 of the is in charge of reviewing the Detailed Project Minister Nature and Environment Degree 87, Description of all proposed investment projects 2000) (Ulaanbaatar City Government, 2004). and establishing environmental categorical designations according to the law on EIA SEA Initiatives (UNEP, 2003) A number of projects, in which environment issues are among the key concerns, have been Summary initiated by international organizations in An EIA system has been established in recent Mongolia. Typical examples include the Second years in Mongolia including legal mandate, Ulaanbaatar Service Project with the procedure, technology, and guidelines. participation of the World Bank (ICT et al., 2003) According to its characteristics, it is project- and Tumem Programme with the participation based and SEA-exclusive. of GEF and UNEP (TumenNet, 2001). The SEA applications have been brought and applied in There are several initiatives in adopting SEA, these programs. which indicate the political will and interests in SEA in the government. Table A8.2 summarizes A Mongolian Environmental Assessment the potential for the adoption of SEA in Program (MEAP) has been developed recently. Mongolia. This MEAP is considered to be a comprehensive Safeguard Dissemination Note No. 2 54 Table A8.2 Potential for SEA in Mongolia Dimensions/topics Current status Remarks Political will Pilot scale SEA program was initiated by the MONE. Legal mandate x Only for project-based EIA Law, not for SEA. Administrative x MONE is responsible for overall EIA coordination only nationwide. framework SEA procedure/ x Not available. Methodology/ guideline Technical know-how - Not available. Experience in SEA - Limited to a number of pilot-scale applications. implementation Public involvement NA Legally mandatory according to the EIA Law but with less concrete requirements. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 55 ANNEX 9: PHILIPPINES EIA Development implementation of the Philippine EIS system to The EIA system was originally conceived in the become a more effective planning tool for Philippine Environmental Policy (P.D. No.1151). sustainable development. For that The actual establishment of the EIA System purpose DENR was granted new powers, but began with Presidential Decree (P.D.) No. 1586 with different tasks to the director and regional in 1978. This decree empowered the President to director of the Environmental Management declare certain projects, undertakings or areas in Bureau (EMB). DAO No. 30 of 2003 Implementing the country as environmentally critical, and to Rules and Regulations (IRR) for the Philippine prohibit the undertaking or operating of such Environmental Impact Statement (EIS) System was environmentally critical projects without first issued in 2003 to further streamline the EIS securing an Environmental Compliance system to simplify and strengthen the process Certificate (ECC) issued by the president or his for its implementation. A Procedural Manual for duly-authorized representative. In 1996, the DAO 30/2003 was promulgated together with president issued the Decree of Administrative DAO 30/2003. This manual introduced the Order No. 300 (DAO 300/1996) which delegated procedure and methods for the EIA in the the secretary of the Department of Environment Philippines. Since then several implementing and Natural Resources (DENR) and the regulations have been issued although part of Regional Executive Directors (REDs) of the old regulations are still in use, some of the new regional DENR offices the power to issue ECCs. regulations are listed as follows. The Department of Environment and Natural Resources (DENR) was given the task of MC 2003-21 Guidelines on the Availment administering the EIS6 (Environmental Impact of the Reduction of Penalties for Projects Statement) system through the Environmental Found Operating without Environmental Management Bureau and its regional offices Compliance Certificate in Violation of the (Tan, 2000). DAO 300/1996 had since been Philippine EIS System (P.D. 1586). revised and replaced by DAO 5/2000. On November 2 2002, the Office of the President DAO 2003-27 Amending DAO 26, DAO 29 issued Administrative Order No. 42 (A.O. 42), and DAO 2001-81 among others on the which was intended to rationalize the Preparation and Submission of Self- Monitoring Reports (SMR). 6 In Philippines the EIS (Environmental Impact Statement) is adopted in documentation. Conceptually, it is equivalent to EIA. Safeguard Dissemination Note No. 2 56 MC 2004-002 Certificate of Non-Coverage Procedural Manual DAO 30/2003 listed the (CNC) for Barangay Micro Business enumeration of "environmentally critical Enterprises (BMBEs). projects" and "environmentally critical areas." Furthermore the incorporation of "social MC 2004-04 IEE Checklist for Economic acceptability" was regarded as a prerequisite for Zone Enterprise the issuance of an ECC, and `cumulative' effects of the project or cluster of projects in sensitive EIS Regulation DAO 30/2003 area(s) is mentioned. However, the focus of the DAO 03/2003 classifies projects or undertakings EIS is still project-oriented rather than an into the following categories (Article 2): assessment of the whole plan, and it is "reactive" rather than pro-active in prior Category A.Environmentally Critical assessment of alternatives of the overall Projects (ECPs) with significant potential planning (similar to the EIA situation in cause negative environmental impacts. Indonesia). Therefore, it is concluded that the current EIA in the Philippines is still project- Category B.Projects that are not based and SEA-exclusive. environmentally critical in nature, and may cause negative environmental DAO 30/2003 stipulates the key components of impacts because they are located in the EIS system as following (Article II): environmentally critical areas (ECAs). a. EIS Executive Summary; Category C.Projects intended to directly b. Project Description; enhance environmental quality or address c. Matrix of the scoping agreement existing environmental problems. identifying critical issues and concerns, as validated by EMB; Category D.Projects not falling under d. Baseline environmental conditions other categories OR are unlikely to cause focusing on sectors (and resources) most adverse environmental impacts. significantly affected by the proposed action; Proponents that fall under Category A and B are e. Impact assessment focused on significant required to secure an Environmental environmental impacts (in relation to Compliance Certificate (ECC). For eco-zones, project construction/commissioning, ECC application may be based on submission of operation and decommissioning), taking a programmatic EIS, or be location-specific into account cumulative impacts; based on submission of a project EIS for each f. Environmental Risk Assessment if location. Projects under Category C are required determined by EMB as necessary during to submit a project description. Projects scoping; classified under Category D may secure a g. Environmental Management Program / Certificate of Non-Coverage. The EMB-DENR, Plan; however, may require projects or undertakings h. Supporting documents; e.g. technical / to provide additional environmental safeguards socio-economic data used/generated; as necessary. certificate of zoning viability and EIA Regulations and SEA Requirements 57 municipal land-use plan; and proof of typical issue. Consultants generally have to, consultation with stakeholders; under such constraints, collect secondary data i. Proposals for Environmental Monitoring generated by similar studies, which in many and Guarantee Funds including cases are scanty and unreliable. The problem is justification of amount, when required; exacerbated by the high costs involved in j. Accountability statement of EIA commissioning EIAs, particularly for large consultants and the project proponent; infrastructural projects. and k. Other clearances and documents that may The transparency in the conduct of the study be determined and agreed upon during should be observed in order to maintain the scoping. impartiality of the entire process. The accreditation of the consultants and the DAO 37/1996 also institutionalizes the reviewers should be strictly enforced in order to administrative procedure of Environmental maintain the integrity and the professionalism Impact statement system, responsibilities of of the process. DENP and EMB, procedure of the EIS system and documentation requirements. The Effective Public Participation. In many cases, regulation stipulated alternative studies and 90 public hearings and public consultations are to 190 days as timing of processing EIA haphazardly conducted and poorly presented depending on the nature of projects. due to time constraints and lack of skills within government to handle social issues. Documents Weaknesses are not freely accessible to the public, and there To implement EIA effectively, several weak is a lack of experience in handling seemingly areas should be improved (Tan, 2000; Villaluz, contentious matters. DAO 30/2003 stipulates 2003). enhancement of public involvement and information disclosure. Exploration of easy and Raise Awareness. The EIS system is viewed by direct ways to implement these requirements is many to be too stringent, and obstructive to an essential task. investment. There is a reluctance to apply ECCs to investment projects indicating that the Effective Monitoring and Evaluation (M&E) System importance of environment is often overlooked. of EIS. Relating to the current EIS in the Philippines, the monitoring and evaluation Enhance Technical Capacity. There is a lack of system of EIS implementation including capacity to implement EIS system by qualified treatment of public complaints are poor. This staff at the central, local, and (especially) the should be enforced through new mechanisms remote provincial government. The monitoring (The World Bank and DENR, 2005). capability of government needs a lot of strengthening. In many cases there are no SEA Initiatives monitoring programs in place, a lack of The need for SEA was recognized since 1996 equipment, and a shortage of trained staff or when a conceptual framework plan for the accredited laboratories to analyze the samples. adoption of an SEA system in the Philippines was proposed (IEMSD, 1996). The proposed The absence of baseline environmental data is a generic procedures for SEA comprise several Safeguard Dissemination Note No. 2 58 steps, with public participation involvement streamlining the EIS system" (Article II, Section throughout. In this research, evidence of SEA in 7). The SEA covering policy and plan is being practice was collected, e.g. the Bohol considered to be contained in a new Environment Code of 1998. This formulated the Environmental Impact Assessment Act, which is vision, mission, goals, and strategies for the in the drafting process (Villaluz, 2005). future development of an island close to Cebu for meeting the future needs of ecotourism and Summary industrial development (Briffett et al. 2003). The EIA System is well established in the Philippines including a legal mandate, Other SEA initiatives include programmatic administration, procedure and guidelines. It is EIAs that are being prepared for various regarded as extremely comprehensive and wetland deltas in the Philippines and master perhaps entails the most stringent requirements planning for Cebu and Metro Manila. Most of in the whole Southeast-Asia region (Alan Tan, these are still in the early stages of preparation 2000). The current EIA in the Philippines is still (Briffett et al. 2003). In the DAO 30/2003 it was project-based and SEA-exclusive. Some SEA stated that "The EMB shall study the potential initiatives have been undertaken. Table A9 application of EIA to policy-based undertakings summarizes the SEA potential in the Philippines. as a further step toward integrating and Table A9 Potential for SEA in Philippines Dimensions/topics Current status Remarks Political will There is some pilot program and the government is considering stipulating SEA in the new EIA Act. Legal mandate Not available for SEA, only for EIA. Administrative DENR and EMB are responsible for overall coordination of EIA framework nationwide, lack of qualified staff. SEA procedure/ Proposed by academics, not established legally. Methodology/ guideline Technical know-how Expertise existing in administration and in academia. Experience in SEA Limited to several initiatives for SEA. implementation Public involvement NA Stipulated in legal documentation of EIA but weak in implementation. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. EIA Regulations and SEA Requirements 59 ANNEX 10: SINGAPORE 7 Urbanized Environment Singapore is a clean, ordered and well-planned The Republic of Singapore is a small island state country, with extremely stringent regulations lying at the tip of the Malaysian Peninsula at the for industrial-pollution control. The country's crossroads of Southeast Asia. The main island of acute land scarcity and high population density Singapore is flanked by some 60 islets; mean that very few undisturbed natural areas Singapore has a land area of 637 square remain. Water is in short supply. Singapore's kilometers and a coastline of 193 kilometers. environmental challenges include maintaining a Singapore is the smallest country in Southeast pollution-free urban center, preventing Asia. The city-state is densely populated. encroachment of the few nature areas that Building upon its strategic location, deep-water remain, and the prevention of marine pollution harbor and excellent infrastructure, Singapore in its heavily-traversed waters. has become a leading commercial and financial center. The economy is dominated by the Environmental Institutions manufacturing and service industries, with the Before 2002, the overall management of the main income earners being computer equipment, environment was delegated to the Ministry of petroleum products, processed agricultural Environment (ENV). The ENV eventually products and tourism. Singapore is a major became a full-fledged ministry. It was first entry-port center, serving the needs of the established in the 1970s as a department within Southeast Asian hinterland. the Prime Minister's Office, it is responsible for providing the infrastructure for waste Singapore has virtually no natural resources, management, as well as enforcing and and the environmental issues it faces are typical administering legislation relating to pollution of a highly-urbanized city. There are no control and public health. ENV was restructured problems associated with mining, forestry, and called the Ministry of Environment and large-scale agriculture or indigenous cultures. Water Resource (MOEWR) in 2002 (Tan, 2003). The existing issues pertain to pollution from Nowadays MOEWR is responsible for many industrialization and urbanization and the aspects of environmental management in protection of nature areas. Pollution has been Singapore. The National Environmental Agency recognized as a problem since the 1960s, and (NEA) within the MOEWR is in charge of significant steps have been taken since to environmental planning, air and water pollution alleviate industrial and urban pollution. Today control and the regulation of hazardous 7This part is heavily drawn from Tan Alan K. J. 2000 (http://sunsite.nus.edu.sg/). Safeguard Dissemination Note No. 2 60 substances and wastes. Due to the government's pollutive and hazardous industries; strong commitment to pollution control, the Projection of land needs for MOEWR has been immensely successful in environmental infrastructure such as implementing its pollution control programs refuse facilities (incinerators and dumping throughout Singapore. grounds), sewage treatment plans, etc.; Identification of possible areas for major Environmental Impact Assessment utility installations and infrastructural The EIA is implemented through the needs that may be pollutive, e.g., requirements stipulated in the Environmental gasworks, explosive storage, other Pollution Control Act (EPCA) [Revised Edition hazardous-goods storage; 2000 (30th December 2000)] and Land Planning Identification of possible areas for nature process. For the EPCA, those items related to conservation; and hazardous waste (Part VII Hazardous Continued protection of water-catchment Substances Control) and establishing of areas. industrial plants (Part IX Licenses and Industrial Plant Works) provide legal requirements for EIA. The Master Plan Committee in practice has However, at present there is no specific required EIAs of developmental projects which legislation in Singapore making EIAs have pollution potential. The planning process compulsory for major developmental projects. under the Concept Plan and the DGPs insure that polluting industries are sited far away from EIA through Pollution Control. An EIA may be residential and recreational facilities. required when the MOEWR deems a particular project to have sufficient potential for pollution The implementation of the DGPs is coordinated that may affect public health. To date EIAs have by the Master Plan Committee (MPC), which is a to date been required for petrochemical works, collaborative effort by all the public authorities gasworks, and refuse-incineration plants, and in Singapore. The MPC consists of detailed studies are made as to the feasibility of representatives from the following agencies: locating an industry in a particular site. Foreign investment projects using or storing large The Urban Redevelopment Authority quantities of hazardous substances are required (URA), which is the national planning to engage third-party consultants to conduct authority overseeing land use planning in EIAs to support the establishment of a plant in Singapore, Singapore. To this end, the MOEWR has recommended a general format for EIA reports. The Housing and Development Board (HDB), which is in charge of building EIA through Land Planning. A document called public apartments/flats (these house 80 the Concept Plan broadly outlines land-use percent of Singapore's population), policies in Singapore. These policies are then translated into detailed proposals for local areas The Public Works Department (PWD), called "Development Guide Plans" (DGPs). which is in charge of building There are over fifty DGPs to cover the whole infrastructure such as roads, area of Singapore. The basic environmental concerns that were considered in the The Jurong Town Corporation (JTC), Development Guide Plans (DGPs) are: which is in charge of building industrial areas, Identification of development constraints and major land uses that affect the The National Parks Board, which takes environment, e.g., airports, live-firing charge of the two national parks and two areas for military training, areas for nature reserves in the country, EIA Regulations and SEA Requirements 61 The Parks and Recreation Department, Summary which is in charge of green areas, parks The Environmental Pollution Control Act and landscaping, (EPCA) and Land Planning process are two instruments of policy to implement EIA in The Ministry of Environment (the Singapore. Given the relatively effective and Pollution Control Department and the efficient centralized planning mechanism, the Environmental Health Division), which lack of an EIA law does not appear to have takes care of pollution control and severely hampered environmental-management cleanliness in the city, efforts. This experience of Singapore is largely unique, due to the country's small size, lack of The Ministry of Defense, natural resources, high population density and comprehensive planning process, but more The Ministry of Trade and Industry, and importantly, a stringent enforcement system. Table A10 summarizes the potential of SEA in The Economic Development Board. Singapore. Table A10 Potential of SEA in Singapore Dimensions/topics Current status Remarks Political will Strong interest and willingness of the government is available for environmental protection, but EA is undertaken through careful land planning and pollution control. Legal mandate Not available. Administrative framework MOEWR is responsible for overall coordination of environmental protection, nationwide. The URA is in charge of land planning. SEA procedure/ Not available. Methodology/ guideline Technical know-how Not available. Experience in SEA Not available. implementation Public involvement NA Encouraged in the law. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. Safeguard Dissemination Note No. 2 62 ANNEX 11: THAILAND EIA Development was issued in 1992, and Part 4 of Chapter III EIA is required in Thailand for a wide range of relates Environmental Impact Assessment. project categories under the Improvement and Several notifications have been promulgated to Conservation of the National Environmental implement the Act since then. Two are listed Quality Act (NEQA) (1975). The Minister here (RIET, 2005): prescribes the categories of projects that required an Environmental Impact Statement Notification 2535 of MOSTE issued under (EIS) ­ a list was issued in 1981. The Office of the Enhancement and Conservation of National Environmental Board (ONEB), which National Environmental Quality Act B.E. was first under the Office of the Prime Minister 2535. This refers to Types and Sizes of and later under the Minister of Science, Projects or Activities of Government Technology and Energy (MOSTE) discussed Agencies, State Enterprises or Private with project proponents, including government Persons Required to Prepare an agencies responsible for the activities, projects Environmental Impact Assessment Report with adverse environmental impact (JICA, 2002; 1992 (24 August 1992). Stærdahl et al., 2005). Notification 2536 of MOSTE issued under In 2002 the office of Natural Resource and the Enhancement and Conservation of Environmental Planning and Policy (ONREPP) National Environmental Quality Act B.E. became the agency in charge of EIA. The 2535 is for Prescription of Standard, ONREPP is within the newly created Ministry of Procedures, and Rules & Regulations & Natural Resources and Environment (MONRE). Guidelines for Creation of Reports on MONRE replaced the Ministry of Science, Environmental Impacts. Technology and Environment (MSTE) and took the responsibilities previously exercised by Coverage MSTE (Tan, 2003; Pantumsinchai, et al., 2004). As laid down in the MOSTE notification, EIA reports are currently required for 29 different EIA System types and sizes of projects or activities, ranging The Enhancement and Conservation of the National from public works such as dam or reservoir Environmental Quality Act (NEQA, B.E. 2535) 8 construction to private-sector projects such as petrochemical plant construction. EIA requirements for private enterprises extend to 8In 1996 the Cabinet approved the National Policy eleven types of plant-construction projects in and Prospective Plan for the Enhancement and industries such as petrochemical, oil refining, Conservation of National Environmental Quality, 1997-2016. This 20-year plan was mandated in NEQA/92. The Plan sets out general vision-specific goals and includes strategies to accelerate the environmental-management measures to address air rehabilitation of renewable resources as well as and water pollution and solid and hazardous wastes. EIA Regulations and SEA Requirements 63 iron and steel, and sugar. Construction of an opinions of the OEPP and expert review industrial estate also requires an EIA (GEF, committee. The NEB reports its conclusions to 1999). According to the coverage the current EIA the Cabinet. The Cabinet then considers whether in Thailand is project-based and SEA exclusive. to grant approval, having reviewed the project on the basis of the NEB recommendations and Procedure experts' opinions. The technical guidelines (GEF, 1999) required alternative studies, but no requirements for Improvement of the EIA disclosure. The EIA procedure of private and In 2003 the Minister of Natural Resources and government projects is not the same in Thailand Environment appointed a special committee to (GEF, 1999). For private-sector development review the entire EIA process. The mission is to projects subject to EIA requirements, 75 days present the government with a new and was required as the timing of processing EIA. improved EIA process to end, hopefully, all The proponent of the project must prepare two controversy. The committee identified and copies of an EIA report--one copy for the OEPP, proposed solutions to eight major issues listed and the other for the government agency that below (Pantumsinchai et al., 2004). has jurisdiction over the project. Types and sizes of EIA projects. To avoid some On receiving an EIA report, the OEPP must projects being left out of EIA, it is proposed that examine the documents within fifteen days, and there be two levels of EIA--the initial then, within the next fifteen days, refer the environmental examination (IEE) and the full report together with comments based on a EIA. Projects with less environmental impact preliminary review to an expert review will be required to do only IEE, while projects committee. This committee has forty-five days to with more impact will be required to do the full review the referred report and to decide EIA. IEE can be done in less time, since it will whether to give approval. However, if the report use only expert judgment based on rapid is deemed incomplete, the expert review assessment of (generally) secondary data. On the committee will request the project applicant to other hand, full EIA will requires field data and submit a revised report. The committee then has involves careful analysis of major and minor thirty days to consider the revised EIA. impacts, as well as probability forecasts using mathematical models. The types and sizes of The government agency with jurisdiction over projects requiring only IEE or full EIA are the project considers whether to grant a license specified. after the EIA is approved by the expert review committee. An expert review committee is made Procedure of EIA. Five steps, and corresponding up of a wide range of experts and authorized to tasks, are proposed in the EIA Procedure: (1) approve or reject reports, and to direct an Screening - site evaluation, local authorities' applicant to revise the report and/or submit involvement; (2) Scoping - site selection, scope additional information. There are five such of EIA, public and stakeholders' involvement; (3) committees covering five fields: industry, water Report preparation - consultant selection, draft resources, mining, public works, and housing report preparation, data acquisition/public development. input/opinion; (4) EIA review - final-report preparation, EIA Expert Panel Review for For government projects that require Cabinet private project submit to permitting authority, approval, the procedure is slightly different for government project submit to National from private-sector projects. In this case, the Environmental Board and to the Cabinet; and (5) proponent of the project must submit an EIA Monitoring - follow-up by authority, including report to the National Environment Board (NEB), monitoring by third-party. which then reviews the report and hears the Safeguard Dissemination Note No. 2 64 Public Participation. All stakeholders must have a Improvements to the old EIA process, proposed chance to participate in the EIA process. Twenty above, are expected to be implemented in 2006. groups of stakeholders are identified, and the The EIA process with public participation may level of participation is divided into four levels take longer, but it should result in more as listed: (1) Informed/public disclosure; (2) acceptable solutions to the impacted public and Consulted/public hearing; (3) Involved in save more time in the long run. The government decision making/public committee; and (4) should also make basic environmental data Voted/public consensus. The level of available for use in preparing EIA reports. participation for each type of stakeholders varies Failure to consider an area's natural resources depending on the step in the EIA process, the and its capacity to support a given project often nature of the project, and their needs. results in controversy. EIA Expert Panels. A roster of EIA experts is SEA maintained with experts in all related areas. There is, to date, no mandatory SEA in Thailand. Expert panels can be specified for each project to It is recognized that SEA is a tool to indicate the include the necessary expert areas. Local expert strengths and the weaknesses of an area or panels will also be formed to review EIA for region in terms of its natural resources and community-service projects, such as housing environment. An analysis of this kind should be developments, condominiums, hospitals, hotels, made available before a policy calls for the and resorts. development of an area or region (Pantumsinchai et al., 2004). In June 2005 the EIA Fund. A separate EIA fund should be ONEP published Interim Guidance Notes on established with contributions from project piloting for the country EA system. The owners. These funds would be used to support guidance covers CEA, SEA, etc. (Unkulvasapaul, EIA review costs, expert panel fees, and 2005). monitoring costs. The manner of the EIA-fund management can be further debated. Lessons and Weaknesses Several typical weak areas need to be improved Special EIA Organization. A special EIA for effective implementation of EIA in Thailand. organization is proposed as a government- Currently, some of the administrations in charge supported organization independent from the of EIA view the process as a heavy burden. The office of Natural Resources and Environmental political will should be further strengthened Planning and Policy (ONREPP). Its duty is to through policy instruments, general awareness support and act as the secretary to the expert and education. The coverage of EIA may need to panels, perform EIA monitoring, manage the be expanded, since only twenty-two types of EIA Fund, conduct public-participation projects are required to submit EIA reports prior activities, and promote EIA knowledge. to project approval. Some types of projects are not required for EIA, even when they have EIA Consultant Registration. To promote the EIA significant environmental impacts, such as a consultant profession, five categories of EIA central wastewater-treatment plant or nuclear- consultants should be registered with ONREPP, power-generating system (Tan, 2000; GEF, 1999). namely (1) Consulting firms; (2) EIA experts; (3) More detailed regulations are required in order specialists in a particular fields; (4) EIA to handle specific environmental issues--for assistants and (5) Groups of persons. Consulting instance, adequate emphasis on social-impact firms and groups of persons must have at least assessment in the EIA procedure. There is a lack one fulltime EIA expert, two EIA specialists in of overseer agency and strategy for post-EIA different fields, and four EIA assistants. monitoring (AITCV and ERMG/AIT, 2002). The technology capacity available on EIA implementation can not cope with the needs in EIA Regulations and SEA Requirements 65 terms of both professional personnel and Summary financial input. Public participation should be The EIA in Thailand has been in place for about made compulsory, and the requirements must twenty years. The current EIA is project-based be concrete (Tan, 2000; GEF, 1999; AITCV and and SEA-exclusive. To improve the current ERMD/AIT, 2002). system and its implementation several areas have been identified. There is no SEA in Thailand so far. Table A11 summarizes the potential for SEA in Thailand. Table A11 Potential for SEA in Thailand Dimensions/topics Current status Remarks Political will Interim guideline on SEA was published by MONRE. Legal mandate Only for EIA, not for SEA. Administrative MONRE is responsible for overall coordination of EIA only, but lack of framework qualified staff is a problem. SEA procedure/ - Interim guideline is available for introductory purpose. Methodology/ guideline Technical know-how Not available. Experience in SEA No available implementation Public involvement NA Stipulated in EIA legal documentation but needs to be enforced. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. Existence and the quality of the official document to guide the SEA implementation are used to describe the statutes of SEA procedure, guideline, and methodology. The ability of the workforce in designing, controlling, and monitoring EIA/SEA activities is used to define technical capacity. The number of EIA/SEA projects and quality of the report are adopted for grading of experiences in SEA implementation. Finally, public involvement is evaluated by both regulations and practical implementation. Safeguard Dissemination Note No. 2 66 ANNEX 12: VIETNAM EIA Development delegated to make decisions on numerous issues In Vietnam the Law on Environmental related to the use and management of local Protection (LEP) went into effect on January 10, natural resources and environment. The 1994. It aims to preserve a healthy, clean, and Vietnamese Environmental Protection Agency beautiful environment, achieve environmental (VEPA) is included in the state management; its improvements, ensure ecological balance, main task is to monitor environmental measures. prevent and overcome adverse impacts on VEPA primarily monitors the actions project people, nature, on environment, on the rational owners' mitigation actions and so forth and economical exploitation, and utilization of constituted in the EIA report. Much of this natural resources. responsibility, however, is decentralized to the DoNRE (Severinsson, 2004). EIA was first mentioned in the LEP. Article 18 stipulates that organizations and individuals EIA Decree 175/CP, 1994 must submit EIA reports to be appraised by the Government Decree on Providing Guidance for the state management agency for environmental Implementation of the Law on Environmental protection. The result of the appraisal should Protection (Government Decree No.175/CP), 1994 is constitute of one of the bases for the competent an important legal document on EIA in Vietnam. authorities to approve the projects or authorize A series of implementing regulations have been their implementation (SIDA, 2004). passed to date, some of which are listed below (Tan, 2000): The Ministry of Natural Resources and Environment (MoNRE) was created and Regulation No. 1807/QD-MTg on replaced the ministry of Science, Technology Regulations and Organization of the and Environment (MoSTE) at the end of 2002. Appraisal Council on Environmental Today, MoNRE performs the functions of state Impact Assessment Reports and Issuing of management over land, water, and mineral Environmental Licenses, (December 31, resources, environment, hydro-meteorology, 1994). This Regulation was issued MOSTE survey, and mapping for the whole country. It to provide for the establishment of EIA works on various tasks, including EIA with Review/Appraisal councils. The ministerial and provincial agencies, as well as regulation also prescribes the composition with the National Assembly offices, and finally of the council and the terms of reference with the prime minister. for its deliberations. The creation of provincial Departments of Instruction No. 1420/QD-MTg for Natural Resources and Environment (DoNREs) Guiding Environmental Impact combined with environmental and land Assessment to the Operating Units planning. The provincial authorities are (December 26, 1994). This instruction EIA Regulations and SEA Requirements 67 contains guidelines for the existing The economic, scientific, healthcare, industries and enterprises (referred to as cultural, security and defense units that "operating units") to submit EIA reports have been operating before January 10, to the provincial and the local authorities. 1994. Instruction No. 490/1998/TT-BKHCNMT, The first category is plan-based or policy-related. (April 29, 1998). This contains the latest So, the EIA is conceptually SEA-inclusive requirements for the format and content of although no details of the procedure, methods EIAs as well as the specific procedures for and guidelines for plan- and policy-based on submitting and appraising EIAs. SEA have been provided. Limited practices on its application have been done (Dang, 2004). Decree 175/CP provides broad guidelines for (1) division of responsibilities in environmental Procedure protection among the ministries, provinces, and The regulation stipulated alternative studies and people organizations; (2) environmental-impact 60 days as the timing of processing EIA, but no assessment; (3) environmental-pollution requirements on disclosure. The EIA procedure prevention and disaster control; (4) financial in Vietnam can be categorized into four main sources; and (5) environmental inspections and steps as follows (Obbard et al., 2004): standards. Circular 490 (1998) provides new guidelines on setting up and appraising EIA Screening to determine if the proposed reports. A new circular is about to come into project is to be subjected to the EIA effect (Obbard et al., 2004). procedure and classed as Category 1 or 2. Category 1 projects are those that have Coverage apparent potential to induce adverse Decree 175/CP stipulates the coverage of the environmental impacts, for instance, EIA as (Article 9): the investors, project projects in or adjacent to environmentally managers, or directors of the offices and sensitive areas or major industrial projects. enterprises belonging to the following areas Otherwise, projects are classified in must conduct assessment of environmental Category 2, where EIA implementation is impact: not mandatory. Preparation and submission of a form Master plans for regional development, document, notably "Registration for the zoning and plans for development of Securing Environmental Standards," for branches, provinces and cities directly projects classified as Category 2. This under the central government, the document is submitted to the appropriate planning of urban centers and residential environment-management agency for quarters; appraisal. The economical, scientific, healthcare, Preparation of a preliminary EIA report cultural, social, security, and defense for projects classified as Category 1. A projects; detailed EIA report is required after the Projects being carried out on the territory authorization body approves the of Vietnam with funds invested, assisted, preliminary EIA report. granted or contributed by foreign Appraisal of the detailed EIA report organizations, individuals, or conducted at different levels of authority, international organizations; i.e., local, central, or national assembly, Projects mentioned in items 1, 2, and 3 of depending on the scale and nature of the this article being approved before January project. 10, 1994 but not yet implemented; and Safeguard Dissemination Note No. 2 68 Report and Appraisal 4. Having to suspend operations. The contents of the EIA report must include assessment of the current situation of the SEA Practices environment in the operating area of the project; SEA has already been contained conceptually in assessment of the impact on the environment as the Vietnamese legislative framework, for a result of the activities of the project; and example the LEP, GD 175/CP and Circular No. presentation of measures for environmental 490/TT-BKHCNMT where "EIA not only must resolution. be carried out at project level, but also for master plans for development of regions, sectors, At the central level, MoNRE appraises the report, provinces, cities and industrial zones." There are at the local level provincial MoNREs appraise several instances of applying SEA in Vietnam in the reports if the project is not empowered to a recent years. The government is considering specific area. At the central level in case of accommodating SEA in the new environmental necessity, an appraising council shall be set up legislation. according to the decision of MoNRE. At the provincial level, the chairmen of the People's The Vietnam Capacity-21 project is organized by Committees of the provinces and cities under the Ministry of Planning and Investment (MPI) the central government will decide the and Ministry of Science, Technology & establishment of appraising councils. The time Environment (MOSTE), and is aimed at building for appraising an EIA report cannot be longer capacity of integrating environmental concerns than two months from the date all related into economic policy planning. This has been documents are received. achieved by implementing the specifications of the United Nation's agenda, particularly by According to Article 17 of Decree 175, offices strengthening national and provincial assigned to state management of environmental investment-planning agencies, investment protection are responsible for the supervision of processes, and related environmental- design and conducting environmental management procedures. This project was protection measures according to the completed in April 1997. As a result, several suggestions of the appraising council. If project SEA studies have been undertaken including owners do not agree with the conclusion of the studies of the impact of policy reform of four appraisal council, they have (according to sectors (Obbard et al., 2004). Article 18) the right to complain to the office that decided the establishment of the appraisal Mekong Delta Master Plan was formulated to council and to the upper-level office responsible comply with the objectives specified in the for state management of environmental Vietnam Capacity 21 Project (MPI-UNDP 1997) protection. The complaints must be considered and was funded by the UNDP and executed by and resolved in a maximum of three months the World Bank and Mekong Secretariat from from the date of their receipt. 1990 to 1994. The Mekong Delta area is a major challenge to the socioeconomic development of The results of the appraisals over EIA reports the country as many buildings are constructed are (according to Decree 175) classified into four in the flood plain, and a suitable drainage categories for settlement (Article 20): infrastructure is not present due to funding constraints. Issues of sustainable development 1. Permission to continue operations and environmental protection have been without environmental penalty. examined and addressed in the socioeconomic 2. Having to invest in building facilities to master plan in light of the vulnerability of the deal with waste materials. ecosystem in this region. The Mekong Delta 3. Having to change the technology, to Master Plan concluded that existing move to another place. development of land for agri- and aquaculture EIA Regulations and SEA Requirements 69 has caused adverse impacts on soil and water requirements for information disclosure and quality, which has resulted in reduced distribution. It is still a new issue in Vietnam agricultural yields. As a result of the study, (Obbard et al., 2004; Severinsson, 2004; & SIDA, 3 forest clearance is now under control, and the 2004). application of highly toxic and long-lasting pesticides has been reduced. Crop Lack of Technology Capacity. So far the EA diversification has been adopted and guidelines are available only in regard to limited recommended as an important measure to avoid sectors such as tourism, hydropower, and soil degradation (Obbard et al., 2004). mining. Formulation of the guidelines of other sectors might be helpful (Obbard et al., 2004). In recent years, there have been several SEAs Technological capacity on policy- and plan- undertaken. Typical examples are (Dang et al., based EIA is almost not available it needs to be 2005): SEA of Halong Bay ­ Quang Ninh introduced and developed. Resources should be Province conducted by the Institute of increased in staff training, equipment Geography-Vietnamese Academy of Sciences purchasing, etc (AITCV and ERMG/AIT, 2002). and Technology (VAST) and the Vietnam Environmental and Sustainable Development Weak Enforcement. Enforcement is key for Institute (VESDI) (Tran et al., 2004); Strategic successful implementation. Penalties for Environmental Assessment (SEA) and Social compliance failure, with EIA procedures, are and Economic Development Plan of the Thai inadequate. Enforcement should be carried out Nhuyen province and Strategic Environmental with policy instruments, institutions, and Assessment (SEA), Social and Economic funding. Development Plan of Quans Nikh province, both conducted by the Civil Engineering Summary Department of Hanoi University. It is expected The current EIA system in Vietnam is basically that the legal mandate of SEA will be introduced consistent with international practice (Obbard et in the new Law on Environment Protection al., 2004). The plan is within the coverage of the (Dong, 2005). EIA, so the EIA is conceptually SEA-inclusive. Although policy is not accommodated, and Lessons and Weaknesses there is a lack of technological capacity. The Drawn from the literature the lessons and government realizes the importance of SEA, and weaknesses in implementing EIA and SEA in some initiatives have been undertaken. To Vietnam are summarized as follows: implement EIA and SEA effectively, enforcement by public participation, technology Weak Public Participation. Public participation is capacity, and resources allocation should be mentioned in the guidelines but without given high priority. Table A12 summarizes the compulsory requirements. Furthermore, the potential for SEA in Vietnam. current EIA system lacks procedures and Safeguard Dissemination Note No. 2 70 Table A12 Potential for SEA in Vietnam Dimensions/topics Current status Remarks Political will Interest/willingness of the government is obvious in SEA application. Legal mandate The current EIA regulation is SEA-inclusive. Administrative MoNRE is responsible for overall coordination nationwide, but lack of qualified staff is framework a problem. SEA procedure/ Not available, only established for EIA. Methodology/ guideline Technical know- Expertise available in administration and in academia based on pilot scale SEA how experiences. Experience in SEA Some practices of pilot-scale SEA projects implementation Public involvement Stipulated in the legal EIA document but with less concrete requirements. : Positive, : Negative, : Neutral The indicators/criteria adopted in identifying the grading of the listed components are selected based on the degree and influence that these indicators/criteria may have to describe the statutes of the relevant component (Briffett et al., 2003). The government's introduction and application of SEA is used as evidence to confirm political will. The legislation(s) on EIA/SEA is the most appropriate indicator of a legal mandate. Establishment of a Ministry of Environment and Planning or other authorities including staffing to be responsible for EIA and SEA is used for the administrative framework. 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