EIA: PROCESS AND DOCUMENTATION

1. EIA: PROCESS AND DOCUMENTATION Regional coordination and support for the European Union – Central Asia enhanced regional cooperation on Environment and Water: WECOOP Dr. MIKKO PUNKARI

2. The EIA Directive (85/337/EEC) is in force since 1985 and applies to public and private projects defined in its Annexes. • Amendments: • • Directive 97/11/EC considering the UN ECE Espoo Convention on EIA in a Transboundary Context. • • Directive 2003/35/EC to align with the Aarhus Conventionon public participation in decision-making and access to justice in environmental matters. • • Directive 2009/31/EC amended the Annexes I and II of the EIA Directive, by adding projects related to the transport, capture and storage of carbon dioxide (CO2). • • Last codified version 2011/92/EU. • 2012 proposal: to lighten unnecessary administrative burdens and make it easier to assess potential impacts, without weakening existing safeguards. The quality of the decision-making process will be reinforced, current levels of environmental protection will be improved, and businesses should enjoy a more harmonised regulatory framework. Emerging challenges: resource efficiency, climate change, biodiversity and disaster prevention will now be reflected in the assessment process. EIA IN THE EU COUNTRIES Dr. MIKKO PUNKARI

3. EU Water Framework Directive (2000/60/EC) to prevent deterioration, enhance and restore water bodies, achieve good chemical and ecological status and reduce pollution from discharges and emissions of hazardous substances. River Basin Management Plans. • Habitats Directive (92/43/EEC) to maintain biodiversity, taking account of economic, social, cultural and regional requirements (incl. Natura 2000 Program). • Birds Directive (2009/147/EC) to protect threatened and all migratory bird species. • EU Waste-water Directive 91/271/EEC (+ 98/15/EEC) concerning urban waste-water treatment and the treatment and discharge of waste water from certain industrial sectors. • EU Drinking Water Directive (98/83/EC) to protect human health by laying down healthiness and purity requirements which must be met by drinking water. The directive not only aims at protecting human health but also the environment. • The Nitrates Directive (91/676/EEC) requires action programmes for areas threatened by nitrate pollution (usually certain agricultural practices). • Floods Directive (2007/60/EC) on the assessment and management of flood risks and to assess if water courses and coast lines are at risk from flooding. • Industrial Emissions Directive (2010/75/EU; Integrated Pollution Prevention and Control, IPPC, 96/61/EC). Emissions to all the media (water, air, solid) counted together – and regulated as a whole (prevents splitting of emissions to avoid limitations). • (Plus related conventions incl. Convention on Sustainable Development) Other EU Directives related to EIA-SEA and water Dr. MIKKO PUNKARI

4. Mandatory EIA: all projects listed in Annex I are considered as having significant effects on the environment and require an EIA (e.g. long-distance railway lines, motorways and express roads, airports with a basic runway length ≥ 2100 m, installations for the disposal of hazardous waste, installations for the disposal of non-hazardous waste > 100 tons/day, waste water treatment plants > 150.000 popul.). • Discretion of Member States (screening): for projects in Annex II, the national authorities decide whether an EIA is needed by the "screening procedure”. It determines the effects of projects (thresholds/criteria or a case by case examination). The national authorities must take into account the criteria laid down in Annex III. The projects listed in Annex II are in general those not included in Annex I (railways, roads waste disposal installations, waste water treatment plants), but also other types such as urban development projects, flood-relief works, changes of Annex I and II existing projects…). THE EU EIA DIRECTIVE (85/337/EEC etc.) Dr. MIKKO PUNKARI

5. EIA is a procedure of evaluating the environmental and social impacts of any significant project and identifying ways to improve the project. • EIA aims at avoiding harmful effects on the environment, including natural resources, human health and welfare. • EIA is an important management tool for improving the long-term viability of projects, and its use can help to avoid mistakes that can be expensive and damaging (e.g. cumulative and indirect effects). • EIA should analyse any risks becoming possible due to the project. • EIA procedure is not an obstruction to investment decision rather it is an aid to decision-making (institutionalise environmental debate). • EIA should be conducted and approved before any permission for the project implementation has been awarded. • EIA will define conditions how the project can be conducted in practice and how environmental changes must be monitored and reported. ENVIRONMENTAL IMPACT ASSESSMENT AND REVIEW Dr. MIKKO PUNKARI

6. Developerresponsible for the project and the EIA study – and also responsible for the implementation of the conditions defined in the EIA and decision documents. Professional EIA consulting firms may conduct the EIA study; • Competent authority (regulator, regional environmental authority) responsible for publicity, requests for stakeholder statements and making EIA decisions (review, approval, rejection or asking additional studies); • Government authorities(incl. e.g. ministries; planning and expert organisations): 1) providing requested supporting information, and 2) assessing the project and EIA Report from their point of view as requested; • Citizen (e.g. inhabitants of the area in question, non-governmental organisations, scientists) participating to scoping, information flows, impact assessments, monitoring, etc. Who are involved in the EIA process in EU? Dr. MIKKO PUNKARI

7. To inform people about the characteristics, location, and design of the proposed activity to lessen controversies and anxiety. • To provide means for those who may be affected by the project to provide local expertise and knowledge into the planning, assessment and monitoring of a project. • To determine the scope of the EIA in an early stage. Those who will be affected by an activity have a role in identifying the important issues or concerns and alternatives to be analysed, and in setting criteria for the EIA. • To acquire information, public perceptions and possible alternatives and options for the implementation of the project. The individuals and communities affected may be a primary source of information for the EIA. • To identify key issues and to obtain critical review of documentation. • To establish mutually agreed rules and procedures for conducting public meetings and consultations. • To mobilise population to monitor and report any misconduct of developer during the construction and afterwards. WHY PUBLIC PARTICIPATION IS NECESSARY? Dr. MIKKO PUNKARI

8. Scoping is the identification of environmental impacts that are most likely to be significant and therefore require investigation during the possible EIA work. The preparation of Terms of Reference for the EIA(EIA Plan) takes place during the scoping phase. • Many of the impacts of a proposed development may be trivial or of no significance to the decisions which have to be taken. Scoping is designed to identify the main issues and those issues perceived as being of importance in the eyes of the regulatory agencies, interested groups and the local community. • Public involvement in determining the scope of assessments is useful especially for controversial activities. Scoping may identify problems or conflicts, which can be alleviated or solved while the proposed project is still being developed. • Scoping may also be used to co-ordinate actions of the various agencies involved in the assessment and decision-making processes. • An open process while determining the scope of an EIA is also a crucial first step towards building mutual confidence in fair environmental assessment and problem-solving, and ultimately in a fair decision-making process. SCOPING Dr. MIKKO PUNKARI

9. CASE: EIA – SCOPING TABLE Dr. MIKKO PUNKARI

10. I. Executive Summary II. Description of General Development Plans III. Policy, Legal and Administrative Framework IV. Baseline Conditions in Area Potentially Affected by Development V. Potential Environmental, Health and Safety Impacts (of each alternative) A) Impact Prediction - Methodologies shall be relevant and scientifically valid to the issues to be addressed, and shall be capable of: (i) identifying potential impacts (harmful or beneficial to the environment); (ii) identifying receivers, habitats or resources which are vulnerable to change; (iii) defining the project/environment interactions; (iv) examining the chain of events or "pathways" linking cause with effect; (v) describing and predicting the reasonable case scenario and/or the worst case scenario, or such scenarios as required in the EIA study brief; (vi) predicting the likely nature, extent and magnitude of the anticipated changes and effects such that an evaluation, in quantitative terms as far as possible, can be made. CONTENTS OF EIA REPORT – SEE THE GUIDELINES Dr. MIKKO PUNKARI

11. B) Impact Evaluation - Methodologies for evaluating the impact shall address the following: (i) the existing or projected environmental conditions without the project in place; (ii) the projected environmental conditions with the project in place and the sum total of the environmental impacts taking into account all relevant existing, committed and planned projects; (iii) a differentiation between the environmental impact caused by the project and that caused by other projects, and to what extent the project aggravates or improves the existing or projected environmental conditions (cumulative impacts, trends); (iv) the environmental impact during different phases of development of the project; (v) the evaluation of the seriousness of the residual environmental impacts. Cont. CONTENTS OF EIA REPORT Dr. MIKKO PUNKARI

12. C) Impact Mitigation - Methodologies proposed for mitigation shall give priority to avoidance of impacts. The assessment methods shall be capable of: • (i) identifying and evaluating mitigation measures in order to avoid, reduce or remedy the impacts; • (ii) assessing the effectiveness of mitigation measures; • (iii) defining the residual environmental impacts, which are the net impacts remaining with the mitigation measures in place. • D) Alternative Analysis • Systematic analysis of environmental impacts of different alternatives ; • Environmental costs and benefits for each of the alternatives. Cont. CONTENTS OF EIA REPORT Dr. MIKKO PUNKARI

13. VI. Risk assessment A. Description of potential risks, their probability and impacts (Risk = Impact x Likelihood); B. Measures to mitigate occurrence of risks (e.g. accidents and non-predictable events); C. Measures to mitigate impacts of potential risks; D. Analysis of the overall importance of risks (scenarios). VII. Monitoring A. Description of targets/objectives for monitoring (stating what each analyse is telling); B. Monitoring methods, time-table and persons responsible (monitoring program). CONTENTS OF EIA REPORT Dr. MIKKO PUNKARI

14. VIII. Statement of Commitments A. Commitment to minimizing the environmental impact(s) of a proposed project; B. Commitments to develop Environment and Environmental Management Plans; C. Adherence to authority permitting regulations and procedures. IX. Appendices A. Permits issued and pending from environmental authorities / B. Author information; C. Related maps, photographs, diagrams / D. Materials, checklists, etc. used for field investigations; E. Published data on natural conditions of the area / F. Minutes and records of meetings held as part of EIA, including public hearings and consultations with government and non-governmental organisations / G. Reference bibliography. CONTENTS OF EIA REPORT Dr. MIKKO PUNKARI

15. In CA, EIA procedure is based on national legislation (Law on Environmental Protection; the Law on Ecological Expertise, etc.). • 1) CA National EIA process ("OVOS“) (by developers, who may be assisted by external, licensed experts) describing the intent and its environmental impacts. • 2) CA State Environmental Expert Examination (SEEE/SER, an administrative supervision tool) will analyse if a project complies with the national environmental, health and safety standards and regulations (several laws on environment). • ____ • The “OVOS” resembles EIA Plan (ToR) in EU and SEEE is similar to EIA study in EU (but SEEE is done by authorities). DIFFERENCES IN EIA IN CENTRAL ASIA AND EU Dr. MIKKO PUNKARI

16. In EU EIA is conducted by the Developer and its consultants. In their own sector, they have best knowledge on the best available technology and its environmental performance. Only the Developer knows what the project is about and has capacities for EIA. • EIA is a learning process. It is important for the Developer to study the possible impacts of the project on environment and methods to minimize negative impacts. EIA promotes energy saving, waste reduction, risk management, etc. which all will have positive impact also on the economy of the project. • Having 2-3 different parties in the EIA process increases transparency and reduces possibilities for misconducts. In EU the authorities evaluate the EIA Report compiled by other experts (not their own work). COMPARISON OF EIA IN EU AND CA Dr. MIKKO PUNKARI

17. DEVELOPER has initial project plans and it may employ EIA consultant to assist in EIA preparation (Annex 1/2 projects). Developer submits the EIA documents. COMMUNICATION EIA REPORT EIA CONSULTANT (may also assist in technical design of the project) conducts studies and prepares EIA documents for the Developer EXPERT ORGANISATIONS can provide additional materials and knowledge (scoping, EIA study and document review) DECISION-MAKING IN EIA IN EU COMPETENT AUTHORITY (regional environmental centre) receives the EIA documents and reviews their quality (statements from expert organisations and public). It approves the EIA and defines the conditions for project implementation (for its whole life cycle) Authority APPROVAL, Review document, conditions –> Environmental Permit MONITOR the effects of the project once it is active; conditions to go on Dr. MIKKO PUNKARI

18. The authorities receive a plan for a project (ToR) from developer, comment and approve the plan stating the level of the needed EIA study. • The authorities should review the EIA Report to determine whether it meets the ToR and is of good quality. • The report should adequately cover all significant environmental consequences of the project and introduce all the viable alternatives or otherwise further environmental work is required. • Important lack of knowledge or data and the uncertainty in impact predictions (risks) resulting from this should be sufficiently indicated. • There might be environmental concerns that suggest that the project should not proceed (but EIA is not a political tool to control and tax enterprises). EU: DECISION-MAKING IN EIA Dr. MIKKO PUNKARI

19. Recommendations (non-binding) or conditions (binding) to further develop the plans can be presented to the developer. • Possibly specific environmental design, management, mitigation or compensation measures need to be proposed. • The most appropriate design, management and monitoring plan should be required to ensure that the project does not result in unacceptable damage to the environment. The plans should be followed and controlled. • Authorities will charge from reviewing the EIA Plan and EIA Report and submitting Environmental Permit (In Finland 50 €/h – usually total of 1000 – 3000 €). EU: DECISION-MAKING IN EIA Dr. MIKKO PUNKARI

20. SEA: PROCESS AND DOCUMENTATION Regional coordination and support for the European Union – Central Asia enhanced regional cooperation on Environment and Water: WECOOP Dr. MIKKO PUNKARI

21. EU SEA Directive (2001/42/EC) on the assessment of the effects of certain plans and programmes (PP) on the environment is a supplement the EIA Directive. • It requires the environmental effects of a broad range of PPs to be assessed so they can be considered while plans are actually being developed or modified, and in due course adopted. • The authority preparing a PP is responsible for conducting the SEA. • Article 1 of the SEA Directive states: • “The objective of this Directive is to provide for a high level of protection of the environment and to contribute to the integration of environmental considerations into the preparation and adoption of PPs with a view to promoting sustainable development, by ensuring that, in accordance with this Directive, an environmental assessment is carried out of certain PPs which are likely to have significant effects on the environment.” Strategic Environmental Assessment SEA Dr. MIKKO PUNKARI

22. Policy SEA – (not applied in EU) review of proposed government actions and options at the broadest level; includes potentially wide range of decisions in the form of guidelines, statements, position papers, legislation and strategies relating to specific sectors (e.g. national energy policy) or applying government wide (e.g. privatisation, trade liberalisation); and can be extended to audit or reassessment of long established policies that have adverse environmental effects (e.g. agricultural subsidies). SEA – 3 LEVELS – 2 LEVELS IN EU Dr. MIKKO PUNKARI

23. Sector plan and programme SEA – review of a development or investment programme for a particular sector (e.g. waste, energy, transport or agriculture); includes evaluation and comparison of the environmental effects of major alternatives (e.g. demand versus supply measures and mix of fuel sources for power generation); and can be extended to any series of projects that, when grouped together (e.g. by stage of technology), can have potential cumulative effects. Spatial plan and regional SEA – review of multi-sector development or investment programme for a particular region (e.g. river basin, coastal zone or urban area) or a land use plan for an officially designated area; includes evaluation and comparison of the environmental effects of alternative strategies and measures for plan implementation; and can be extended to regional or ecosystem assessment of cumulative effects on resource potentials, biodiversity or other aspects of natural capital stock (In EU, long-term habitat protection – Natura 2000 program). Sources: adapted from Goodland (1998); World Bank (1993; 1996). SEA – 3 LEVELS – 2 LEVELS IN EU Dr. MIKKO PUNKARI

24. Environmental Report should be made as part of an SEA, which identifies, describes and evaluates the likely significant effects on the environment of implementing a plan or program. Environmental authorities should have an opportunity to comment on whether or not they consider significant effects on the environment would be likely to arise. Realistic alternatives should be assessed and presented. • The public must also be consulted on the draft plans and the environmental assessment, and their views must be taken into account. • Making known the decision on adoption of the plan or programme and how SEA influenced the outcome. Strategic Environmental Assessment SEA Dr. MIKKO PUNKARI

25. Examples: Plans and guidelines for natural resources use (forest, agriculture, mining, fisheries, hunting, etc), regional planning, overall infrastructure development (road & railway network, airports, canals, etc.), energy plans, plans to combat natural hazards & climate change, river basin management plans, industry, etc. • Experiences from the implementation are still rather limited. Governments have not fully employed SEA opportunities. Who have competence and financial resources in preparing SEAs (governmental process / consultants usually needed)? Strategic Environmental Assessment SEA Dr. MIKKO PUNKARI

26. Consider long-term trends and cumulative effects both with and without the proposed PP and avoid ‘snapshot’ analyses (EIA can be inefficient in this). • There are number of strategy documents, international conventions and best practices (and several EU Directives) that can be employed in SEA. • Base your recommendations on the precautionary principle and acknowledge assumptions and limitations of current knowledge. • SEA Directive also requires monitoring of significant environmental effects of the PP in order to identify unforeseen adverse effects at an early stage of PP implementation. SEA METHODOLOGY Dr. MIKKO PUNKARI

27. Scenariosare an effective way to deal with the uncertainty inherent in complex systems and imperfect data. Scenarios can be used to present a range of possible outcomes or pathways (e.g. climate change, accidents, population growth). • Consider common principlesof ”sustainable development”, ”green infrastructure”, ”eco-city”, ”carbon footprint”, ”life-cycle analysis”, ”energy efficiency”, ”sustainable transport”, ”ecosystem services” etc. • SEA can be a significant environmental awareness raising tool. SEA METHODOLOGY Dr. MIKKO PUNKARI

28. Strategic Environmental Assessment (SEA) Final Environmental Report: • Severn Trent Water Ltd Water Resources Management Plan (WRMP) • http://www.stwater.co.uk/upload/pdf/Strategic_Environmental_Assessment.pdf • Table of Content similar to EIA. Baseline covers all the basic characteristics of the basin. • The WRMP was developed simultaneously with the SEA. • The approach is broader considering the whole river basin and all the development activities related to water resources and their utilization. • In scoping, all the pressures affecting water resources (quality and quantity) and all the environmental issues related to water were analyzed and ranked. • Assessment was done for each media – soils, water, air, population, etc. • Future scenarios of development and water related pressures were presented. • The strategic options set the framework for the WRMP through the identification of the key areas of improvement, investment or development that are required to fill any predicted deficits in the supply demand balance over the 25 year period (“Management Options”). • Environmental assessment was separately done for each Management Options which include alternative sources of water and institutional development of water management. • Cumulative impacts of different Management Options were assessed. • Monitoring programs and related indicators were drafted. CASE: SEA FOR WATER RESOURCES MANAGEMENT PLAN

29. CASE: CLIMATE CHANGE AND EIA-SEA In CAR, radical impacts caused by climate change (e.g. melting of glaciers, water shortage, floods) should be considered in most EIA-SEA studies. Source: ADB TA-7532; Punkari et al. 2013 Dr. MIKKO PUNKARI

30. Few proposals for SEA programs: • SEA and River Basin Management Plans in major river basins (not separately for smaller basins) considering climate change and increasing water regulation and consumption upstream; • Wastewater Management Plan (adoption of new treatment and network technologies, remediation of sludge ponds, re-use of sludge; • Protection of lakes, rivers and their ecosystems (controlling water system alterations, pollution and excessive use – developing nature protection); • Exploration, mining and closure of mines (incl. oil extraction) – national strategy and best practices; • Etc. • Note: There are many related laws and regulations, but SEA is more practical, process-specific and identifies local characteristics of problems. SEA IN CENTRAL ASIA – NEEDS IN WATER SECTOR Dr. MIKKO PUNKARI