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Environmental Auditing on the Yellow River Basin

Environmental Auditing on the Yellow River Basin. Liu Huibo from CNAO 9/12/2014 Penang, Malaysia. Contents. Get to know the Yellow River Audit plan (topics, objectives, scopes and criteria) Audit findings and recommendations Follow-up Lessons learned. Get to know the Yellow River.

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Environmental Auditing on the Yellow River Basin

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  1. Environmental Auditing on the Yellow River Basin Liu Huibo from CNAO 9/12/2014 Penang, Malaysia

  2. Contents • Get to know the Yellow River • Audit plan (topics, objectives, scopes and criteria) • Audit findings and recommendations • Follow-up • Lessons learned

  3. Get to know the Yellow River • 5,464 km • The cradle of Chinese civilization

  4. Major environmental risks • Flood • Ice, rainstorm and silt • Water shortage • 58 billion m3 • Soil and water erosion • 35kg/m3 • Water pollution • Organic pollutants

  5. Governments’ Countermeasures • Flood control • Protection of water resources • Soil and water conservation • Prevention and control of water pollution

  6. Risk based approach Identification of risks • Preliminary assessment on the performance of countermeasures Audit topics, …

  7. Audit topics • Pollution prevention and control • Soil and water conservation • Fees related to water resources

  8. Objectives: compliance and performance • to evaluate to what extent the Yellow River Plan has been implemented, • to assess the efficiency and effectiveness of construction of projects for the prevention and control of soil and water erosion, • to examine the management and use of fees related to water resources.

  9. Scopes • Implementation of the Yellow River Plan • Construction and operation of major projects concerned • Fees related to water resources

  10. Auditee • Governments • Finance, environment and water resource authorities • Project contractors

  11. Criteria • the Law on Prevention and Control of Water Pollution • the Law on Soil and Water Conservation • the Regulations on Waterway Management • the Yellow River Plan • the Environmental Quality Standards for Surface Water, • the Standards on Pollutant Discharge for Urban Sewage Treatment Plants

  12. Audit findings • Against objective 1: to evaluate to what extent the Yellow River Plan has been implemented, • 56 out of 253 sewage treatment plants--not completed timely • 10 out of 96 sewage treatment plants – pollutant discharge over the standard limits

  13. Audit findings • A fund shortfall of 277 million Yuan • Recovery of water and soil erosion was affected • Against objective 2: to assess the efficiency and effectiveness of construction of projects for the prevention and control of soil and water erosion,

  14. Audit findings • Against objective 3: to examine the management and use of fee of water resources and other funds.

  15. Audit findings • 980 ha. of riverbed was illegally occupied • No assessment on the impact of flood prevention was made. • No project was approved by the competent authority in charge of riverbed.

  16. Audit recommendations • To enhance pollution prevention and control in key areas, enterprises and industries • To increase the investment in severely water-eroded areas and supervise the allocation of funds and efforts • No permission granted to reduction/exemption/postponement/suspension of fees • To intensify the punishment on illegally occupation on the riverbed

  17. Follow-up • Increased the investment, speeded up the construction and updated sewage treatment plants • Funds used on soil conservation were raised • Collected and handed in 42 million Yuan • Formulated rules and conducted punishments

  18. Lessons learned • Risk based approach • Extensively used in EA • Follow up • To increase the effectiveness of audit report • To assist the legislature • To evaluate SAI’s performance • Compliance and performance audit • Common type of EA

  19. Thank you

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