Environmental Impact Assessment in China

EDITORS: Tan Zhu Kin-Che Lam

Research Center for Strategic Environmental Assessment, Nankai University, China and Centre of Strategic Environmental Assessment for China, The Chinese University of Hong Kong 2009

Editors: Tan Zhu Kin-Che Lam Members of Editorial Board: Qiu-Mei Liu, Zhi-Xi Zhu, Rui Feng, Sheng-Nan Chen, Li-Li Tian, Yi-Jun Ji, I-Shin Chang, Yu-Jie Ding, Hao Guo, Olivia Bina

ISBN: 978-988-97957-9-5 All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy, or any information storage and retrieval system, without the prior permission of the publisher. © 2009 by Tan Zhu and Kin-Che Lam

For further information contact: Research Center for Strategic Environmental Assessment Nankai University No.94 Weijin Road Tianjin, 300071, P.R.China Tel: (8622)2350-8348 Fax: (8622)2350-8348 E-mail: [email protected] Centre of Strategic Environmental Assessment for China The Chinese University of Hong Kong Shatin, New Territories Hong Kong SAR Tel: (852) 2609-6458 Fax: (852) 2603-5006 E-mail:[email protected]

TABLE OF CONTENT Table of Content ...................................................................................... I List of Tables ........................................................................................ IV List of Figures ...................................................................................... VI Acronyms ............................................................................................ VII Preface .................................................................................................... 1 1. Introduction ........................................................................................ 3 1.1 The Concept and Principles of EIA.......................................... 3 1.2 The Development of EIA Abroad ............................................. 4 1.3 The Development of EIA in China ........................................... 4 1.3.1 Preparatory Phase (1973~1978) .................................... 5 1.3.2 Early Implementation Phase (1979~1989) .................... 6 1.3.3 Improvement Phase (1990~2002) ................................. 7 1.3.4 Breakthrough Phase (2003~) ......................................... 9 1.4 Summary ................................................................................ 10 2. EIA System in China ........................................................................ 12 2.1 Institutional Setup of Environmental Protection in China ..... 12 2.1.1 National People’s Congress and Standing Committee of NPC ...................................................................................... 13 2.1.2 The State Council ........................................................ 14 2.1.3 Ministry of Environmental Protection......................... 14 2.1.4 Local Environmental Protection Agency .................... 14 2.2 The Legal Framework of EIA in China .................................. 15 2.2.1 The Constitution .......................................................... 16 2.2.2 Laws ............................................................................ 16 2.2.3 Administrative Regulations ......................................... 19 2.2.4 Departmental Statutes.................................................. 20 2.2.5 Local Ordinances and Local Government Rules......... 20 2.2.6 Environmental Standards ............................................ 21 2.3 The Implementation Agencies of EIA in China ..................... 22 2.3.1 National Management Agencies of EIA...................... 23 2.3.2 Local Management Agencies of EIA .......................... 24 2.4 The Main Content of the EIA Law ......................................... 25 2.4.1 General Provisions ...................................................... 25 2.4.2 EIA for Plans (PEIA)................................................... 26 2.4.3 EIA for Construction Projects (Project EIA)............... 28 2.4.4 Legal Liabilities........................................................... 28 2.4.5 Supplementary Provisions ........................................... 28 2.5 Summary ................................................................................ 29 3. EIA for Construction Projects in China............................................ 30 I

3.1 Categorization for Project EIAs ............................................. 30 3.2 Documentation Specifications for Project EIA ...................... 31 3.3 Public Participation in Project EIA ........................................ 32 3.4 Review and Approval of Project EIA ..................................... 33 3.4.1 Submission and Review of EIA Documents ............... 33 3.4.2 Re-submission and Re-review of EIA Documents ...... 34 3.4.3 Approval Authority Classification for EIA ................. 35 3.5 EIA and Environmental Protection Facilities ......................... 36 3.6 Post Evaluation for Construction Project ............................... 37 3.6.1 Conditions of Post Evaluation ..................................... 37 3.6.2 Main Contents ............................................................. 38 3.7 Summary ................................................................................ 38 4. Strategic Environmental Assessment in China................................. 40 4.1 Regional Environmental Impacts Assessment ....................... 40 4.1.1 The Development of REIA.......................................... 41 4.1.2 Classification of REIA ................................................ 42 4.1.3 The Approval of REIA Statement ............................... 42 4.2 PEIA ....................................................................................... 43 4.2.1 Applicable Scope, Approaches and Requirements of PEIA ..................................................................................... 43 4.2.2 Public Participation in PEIA ....................................... 45 4.2.3 Submission and Review of PEIA documents .............. 47 4.2.4 Approval of Plan.......................................................... 48 4.2.5 Follow-up Assessment for Plan ................................... 49 4.3 Summary ................................................................................ 49 5. Certification of EIA Agencies and Practitioners in China................ 51 5.1 Agencies for Certification ...................................................... 51 5.1.1 Grades and Extents of Project EIA Certifications ....... 52 5.1.2 Application and Approval for Project EIA Certifications .............................................................................................. 53 5.1.3 Evaluation and Supervision on Project EIA Certifications ........................................................................ 53 5.2 Management of Certified EIA Practitioners ........................... 54 5.2.1 License for EIA Practitioners ...................................... 54 5.2.2 Vocational Certification System of EIA Engineers ..... 55 5.3 Summary ................................................................................ 55 6. Management of EIA in China: Case Studies .................................... 57 6.1 Management of Project EIA and Case Study ......................... 57 6.1.1 Management of Project EIA ........................................ 57 6.1.2 Case Study ................................................................... 59 6.2 Management of PEIA and Case Study ................................... 61 II

6.2.1 Management Procedure of PEIA................................. 62 6.2.2 Comparison of Two Types of PEIA ............................ 64 6.2.3 Relevant Organizations in PEIA ................................. 66 6.2.4 Case study ................................................................... 67 7. Characteristics and Prospects of EIA in China................................. 70 7.1 Characteristics of EIA in China .............................................. 70 7.2 Prospects of EIA in China ...................................................... 71 References ............................................................................................ 73

III

LIST OF TABLES Table 2-1 Provisions of Environmental Protection under the Constitution .......................................................................... 16 Table 2-2 Article 13 of the EP Law .............................................. 17 Table 2-3 Provisions on Environmental Protection of Other Relevant Single Laws ........................................................... 18 Table 2-4 Major Administration Regulations of EIA ................... 19 Table 2-5 EIA Provision in the Regulations of the People's Republic of China on Wild Plants Protection....................... 20 Table 2-6 Major Departmental Rules of EIA ............................... 20 Table 2-7 Implementation Measures on the Law of the People’s Republic of China on the Prevention and Control of Water Pollution for Beijing Municipality ....................................... 21 Table 2-8 Concept of EIA and Public Participation in the EIA Law .............................................................................................. 26 Table 2-9 Scope and Requirements of Plans are Subject to EIA . 27 Table 2-10 Provisions of Public Participation in EIA on the Draft of Special Plans .................................................................... 27 Table 2-11 Legal Empowerment to Conduct EIA for Plans Compiled by County Governments ...................................... 29 Table 3-1 Classification Management for Project EIAs (the EIA Law) ..................................................................................... 31 Table 3-2 Requirements of Compiling EIA Documents (the EIA Law) ..................................................................................... 32 Table 3-3 Relevant Provisions on Public Participation in Project EIA ....................................................................................... 33 Table 3-4 Regulations on Time Limit for the Submission of EIA Documents for Approval ...................................................... 34 Table 3-5 Regulations on Re-submission and Re-review for EIA documents............................................................................. 35 Table 3-6 Approval Authorization of EIA Documents ................. 36 Table 3-7 Conditions of Post Evaluation for Construction Project .............................................................................................. 37 Table 4-1 Key Regulations on REIA............................................ 41 Table 4-2 Applicable Scope of PEIA (the EIA Law).................... 44 Table 4-3 Requirements of PEIA (the EIA Law) ......................... 45 Table 4-4 Regulations on the Examination of PEIA Statement of Special Plan (the EIA Law) .................................................. 47 Table 4-5 Approval of Special Plan and PEIA Statement (the EIA IV

Law) ..................................................................................... 48 Table 4-6 Regulations on Follow-up Assessment for Plan (the EIA Law) ..................................................................................... 49 Table 5-1 Regulations on Legal Liability of Certified Project EIA agencies (the EIA Law) ........................................................ 52 Table 5-2 Assessment Scope Limits of Certifications .................. 53 Table 5-3 Requirement of Certified EIA Engineers for Certified Project EIA Agencies ........................................................... 54 Table 6-1 Comparisons between Integrated Plans/Guiding Plans and the Special Plans ............................................................ 65 Table 6-2 Organizations and their Functions in PEIA ................. 67

V

LIST OF FIGURES Figure 2-1 Framework of Environmental Protection Management Institutions in China ............................................................. 13 Figure 2-2 Framework of EIA Legal System in China ................ 15 Figure 2-3 Environmental Standards System in China ................ 21 Figure 2-4 Main Management Agencies of EIA in China............ 22 Figure 6-1 Management Procedures of Project EIA .................... 58 Figure 6-2 Management Procedures of Project EIA for Cappelle Pigments ............................................................................... 61 Figure 6-3 Management Procedures of PEIA .............................. 64 Figure 6-4 Procedure of PEIA for Master Plan of Sino-Singapore Tianjin Eco-City ................................................................... 69

VI

ACRONYMS EIA Environmental Impact Assessment The EIA Law Law of the People’s Republic of China on Environmental Impact Assessment Project EIA EIA for Construction Projects SEA Strategic Environmental Assessment REIA Regional EIA PEIA EIA for Plans UNEP United Nations Environment Program The EP Law Environmental Protection Law of the People’s Republic of China SPC The State Planning Commission SCC The State Construction Commission SETC The State Economic and Trade Commission EPO Environmental Protection Office NEPA The National Environmental Protection Agency IFC International Finance Corporation SEPA The State Environmental Protection Administration MEP Ministry of Environmental Protection EPB Environmental Protection Bureau NPC National People’s Congress MWR Ministry of Water Resources TDRC Tianjin Development and Reform Commission TACEE Tianjin Appraisal Center for Environmental & Engineering Tianjin EPB Tianjin Environmental Protection Bureau TBNA Tianjin Binhai New Area

VII

1

Preface

PREFACE Environmental impact assessment (hereinafter referred as “EIA”) was first introduced to China in late 1970’s. For over three decades, the development of EIA in China has been rapid, fairly effective and has accomplished great achievement to create a unique EIA system. However, there is plenty of scope to improve and refine the existing EIA system, which calls for more extensive theoretical research and practical experience accumulation. Currently, there is a lack of professional and systematic introduction to the EIA system in China. Therefore, the purpose of this book is, firstly, to provide assist the reader with a quick and broad understanding of the system in China, including its development, application and future prospects. Secondly, it aims to facilitate communication with environmental assessment practitioners in other countries and regions, through information exchange and sharing. It is hoped that such interactions can enhance the development of theory and practice of EIA in China which will entail on enhancement of the effectiveness of EIA in China. This monograph is composed of seven sections. The content of each section is summarized as follows: y Section 1 Introduction: to generally describe the concept and principles of EIA, and to briefly introduce the development of EIA worldwide. y Section 2 EIA System in China: to described the institutional setup of environmental protection in China with particular reference to the legal framework of EIA, the implementation agencies and the “Law of the People’s Republic of China on Environmental Impact Assessment” (hereinafter referred as “the EIA Law”). y Section 3 EIA for Construction Project (hereinafter referred as “Project EIA”) in China: to describe the categorization, documentation specifications, public participation and review mechanism and approval process for Project EIA. This section also elucidates the relationship between EIA and other environmental protection measures of construction project and to outline the post evaluation for construction projects. y Section 4 Strategic Environmental Assessment (hereinafter referred as “SEA) in China: to introduce the development and practices of SEA, such as regional EIA (hereinafter referred as “REIA”) and

2

y y y

Preface

EIA for plan (hereinafter referred as “PEIA”) in China. Section 5 Certification of EIA Practitioners in China: to introduce the management of EIA certification for both institutional and individual practitioners. Section 6 Management of EIA in China and Case Study: to present the management of Project EIA and PEIA, separately, along with some specific cases implemented. Section 7 Characteristics and Prospects of EIA in China: to summarize the characteristics of EIA in China and to envision an outlook of the EIA system in China, with the objective to extend the scope of EIA, to improve information disclosure system and to strengthen the monitoring and management of the system.

3

Introduction

1. INTRODUCTION As an important tool to achieve sustainable development, environmental impact assessment (EIA) plays an essential role in coordinating and balancing the relationship between economic development and environmental protection. In 1969, EIA was first introduced to the U.S.A. as a legislation, the “National Environmental Policy Act.” EIA has been adopted as an important component of environmental management framework, worldwide, ever since.

1.1 The Concept and Principles of EIA The major function of EIA is to systematically diagnose, analyze, predict and appraise the environmental impacts or consequences that might be caused by development proposals, such as construction projects, regional development plans and national policies, through careful and thorough consideration of all relevant environmental information, during the decision making process. In other words, the purpose of EIA is to integrate the goals of environmental protection with social and economic development plans to prevent and mitigate unfavorable impacts of the proposed activities, as much as possible. Therefore, the objectives of EIA can be summarized as: y To address all possible environmental considerations y To incorporate environmental consideration into developing proposals and decision making y To predict, prevent, mitigate or counteract adverse effects from developing proposals y To preserve and maintain the ecosystem and natural processes y To ensure rational utilization and management of natural resources y To promote sustainable development. In order to accomplish these objectives, the practice of EIA should conform to the following principles: purposeful, rigorous, practical, efficient, adaptive, focused, participative, transparent, systematic, integrated, credible, and cost-effective. As a precautionary measure of environmental protection, EIA is a significant means for both environmental management and sustainable development.

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Introduction

1.2 The Development of EIA Abroad In 1964, Canada, the concept of EIA was first proposed in the International Academic Conference on Environmental Quality Assessment. In US, EIA was stipulated in the “National Environmental Policy Act” in 1969 (Section 102 [42USC§4332]⑴) and enacted in 1970. Following its introduction in the US, the EIA system was adopted in many countries, such as Sweden (1970), New Zealand (1973), Canada (1973), Australia (1974), Malaysia (1974), Germany (1976), India (1978), Philippine (1979), Thailand (1979), China (1979), Indonesia (1979), Sri Lanka (1979), and so on. The EIA system in many countries was explicitly stipulated in relevant legal provisions, such as the Environmental Protection Act (1988) of Canada, Environmental Law (1993) and Environmental Impact Assessment Law (1997) of Japan, General Provisions of Environmental Protection Law of Netherland and Environmental Impact Assessment Law (1990) of Germany. In order to promote the application and development of EIA, a number of international EIA organizations and institutions were founded and they have held a series of meetings to enhance the research and communication on EIA. In 1974, the first EIA meeting was held by United Nations Environment Program (UNEP) and Canada. In 1992, EIA was clearly specified in the “Rio Declaration on Environment and Development” and in “Agenda 21” during the Conference on Environment and Development held in Rio de Janeiro. Since EIA was regulated in the “National Environmental Policy Act” of the US in 1969, the EIA system has become an important part of environmental management, worldwide, and has continued to be developed and improved.

1.3 The Development of EIA in China In China, the legal framework for environmental protection has firmed up, improved and regularly enhanced through promulgation of a large number of environmental laws, policies, regulations and provisions. Among the host of environmental management measures, eight schemes (“Environmental Impact Assessment,” “Three Synchronizations,” “Pollution Charge,” “Liability System for Environmental Protection Objectives,” “Quantitative Evaluation on Integrated Performance,” “Centralization of Pollution Control,” “Time Limit on Pollution Treatment” and “Pollution Permit”) have been

Introduction

5

implemented with significant influence on environmental protection. The legal status of environmental protection, the setting up and improvement of environmental management institutions and reformation of the environmental management system are all based upon the promulgation of the “Environmental Protection Law of the People’s Republic of China” (hereinafter referred as “the EP Law”) and ancillary laws.⑵ Following the introduction of the notion of EIA to China in 1970’s, an EIA system has gradually evolved and developed into a legal system through a continuous improvement and legislating process with the Government taking a leading role. There are five principles of EIA in China, including: (1) sustainable development, (2) precautionary schemes, (3) scientific basis for decision making, (4) public participation, and (5) fundamental construction for EIA. In October 2002, the “Law of the People’s Republic of China on Environmental Impact Assessment” (the EIA Law), was promulgated as stand-alone piece of legislation. Enactment of the EIA Law in September 2003 marked a milestone of the systematic and legal development of EIA in China. EIA is not only a technique but also a legal statute for environmental management. The development of the EIA system in China can be subdivided into several phases. 1.3.1 Preparatory Phase (1973~1978) In China, the Preparatory Environment Protection Leading Group was established in the State Council to set up environmental protection efforts, under the scrutiny of the State Planning Commission (SPC). This can be seen as the response of the Chinese Government to the call of the first United Nations Human Environmental Conference held in Stockholm in 1972. In August 1973, the first National Conference on Environmental Protection was held in China leading to the promulgation of a Directive entitled “Several Provisions on Protection and Improvement of the Environment (Draft),” which outlined the key guiding principles of environmental protection in China. These principles include: ‘overall planning, rational layout, comprehensive utilization, converting disadvantage into advantage, and public participation.’ In addition, environmental protection institutions were

6

Introduction

then set up within local governments and relevant departments, as instructed, to supervise and examine environmental protection work.⑶ Following its introduction in China, the concept of EIA was disseminated and advocated by experts and scholars from higher education institutions and scientific research institutes in academic conferences and the press. More research on EIA methodologies was also explored. 1.3.2 Early Implementation Phase (1979~1989) In April 1979, EIA was emphasized as the guidance in the “Report on National Environmental Protection Work Conference” by the Environment Protection Leading Group. And the first EIA for construction project (Project EIA) was conducted on Yongping Copper Mine of Jiangxi Province by Beijing Normal University, with the ⑸ support of the State, in the same month. In May 1979, EIA was specifically regulated as the requirement for construction projects in the “Notice on Well Preparing Work for Capital Construction Project” by ⑹ SPC and the State Construction Commission (SCC). In September 1979, the “Environmental Protection Law of the People's Republic of China (on trial)” was promulgated to regulate the implementation of ⑺ Project EIA as the legal system of environmental protection. Later on, several laws, regulations, ordinances, and administrative rules regarding to environmental protection were consecutively promulgated to further regulate the EIA system, to clearly formalize the content, scope and procedures of EIA, and to constantly improve the methodologies and techniques of EIA. In 1981, as “Measures of Environmental Protection Management for Capital Construction Project” promulgated jointly by SPC, SCC, the State Economic and Trade Commission (SETC), and the Environmental Protection Office (EPO), the EIA system was included as the necessary part of the review and approval procedures for capital construction projects. In 1986, the scope, content, review and approval procedures, and the format of the EIA Statement for Project EIA were defined in “Measures for the Environmental Protection of Construction Project,” promulgated jointly by SPC, SETC and EPO, to facilitate the effective

Introduction

7

implementation of EIA system. ⑻ In the same year, “Measures for Certificates Management of Environmental Impact Assessment for Construction Project (on trial),” was promulgated by the National Environmental Protection Agency (hereinafter referred as “NEPA”) to initiate a system of certificates management for units qualified to perform EIA. ⑼ There are about 1,536 certificates, with different rankings, issued according to the above measures that to form a professional team of EIA. In addition, Project EIA was explicitly stipulated as a legal requirement in many articles of other relevant laws, to accentuate the importance of Project EIA,⑸ for example, Articles 6, 9, and 10 of the “Marine Environment Protection Law of the People's Republic of China” (1982), Article 13 of the “Law of the People’s Republic of China on the Prevention and Control of Water Pollution” (1984), Article 9 of the “Law of the People's Republic of China on the Prevention and Control of Atmospheric Pollution” (1987), Article 12 of the “Law of the People’s Republic of China on the Protection of Wildlife” (1988), and Article 15 of the “Regulations of the People’s Republic of China on Prevention and Control of Environmental Noise” (1989). After ten years of practice and improvement, the “Environmental Protection Law of the People's Republic of China” (the EP Law) was finalized and formally promulgated on December 26, 1989. The objectives and mission, work principles, procedures of examination and approval, and the relationship between execution time and construction procedure of EIA have been explicitly stipulated in Article 13 of the EP ⑽ Law. It is of great importance to restate the legal status of Project EIA in the EP Law and to provide the concrete foundation for the implementation of Project EIA. 1.3.3 Improvement Phase (1990~2002) Since 1990’s, the open-up and reform of social development and economic system in China have stimulated tremendous transformation on political, social, and economic system. Hence, from the EP Law to the EIA Law in 2002, the development of EIA system has been significantly improved and strengthened through solid construction and fast expansion of objectives, scope, content, methodologies, and professional practitioners of EIA. Furthermore, the development on

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Introduction

REIA was initiated. y

REIA In 1993, the principle of “assessing before constructing” was put forward in “Some Suggestions on Further Improvement for Environmental Protection Management on Construction Projects,” issued by NEPA, as well as the guidance on EIA classification and regulations on REIA for development areas. With the guidance, REIA of several developing areas were well implemented and the environmental management on development areas was strengthened. y

Ecological Conservation In addition to environmental pollution management, EIA for ecological construction projects was also reinforced to focus on ecological conservation and pollution prevention and control, concurrently. Through the implementation of a project supported by International Finance Corporation (IFC), public participation in Project EIA was introduced in China. The scope and approach of public participation were gradually expanded and improved. y

Technical Guidelines Since 1994, several EIA technical guidelines, such as “Technical Guidelines on Environmental Impact Assessment- Compendium, Surface water and Atmospheric Environment,” “Methods and Standards of Environmental Impact Assessment for Electromagnetism and Radiation,” “Rules of Environmental Impact Statement for Fossil Fuel Power Plant Construction Project,” and “Technical Guidelines of EIA for Non-polluted Ecological Impact” were promulgated and enacted, consecutively, to reinforce the constitution of EIA technical guidelines. In 1996, “Decision on Several Issues Concerning Environmental Protection” was promulgated by the State Council during the fourth National Conference on Environmental Protection to reinforce the examination and approval of construction projects, to implement total emission control, to add cleaner production and public participation, to enhance ecological EIA and to further expand the depth and breadth of EIA. In addition, pilot studies on post-evaluation were conducted on several trial projects to accumulate precious experience. y

EIA Management In November 1998, “Regulations on Environmental Protection Management of Construction Project,” the first administrative statute

9

Introduction

concerning environmental management of construction projects in China, was promulgated by the State Council. Based upon this administrative statute, “Measures for Certification and License Management of Environmental Impact Assessment for Construction Project” was promulgated by the State Environmental Protection Administration (hereinafter referred as “SEPA”), in March 1999, to prescribe the qualification of the institution to perform EIA. In April 1999, a classification management list was publicized through the promulgation of “Notice on Classification Catalog Management of Environmental Protection for Construction Projects (on trail)” by SEPA. The EIA Law, promulgated in October 2002, enacted in September 2003, is the single law specialized in EIA to mark the end of the improvement phase. During this improvement phase, in cooperation with IFC, SEPA has strengthened the qualification management on personnel of Project EIA institutions and trained EIA practitioners to employ the Project EIA work permit system. 1.3.4 Breakthrough Phase (2003~

)

As a result of the promulgation of the EIA Law, the objectives of EIA were extended from construction projects to strategic development plans. y

Implementation Techniques SEPA established the basic database of EIA and issued the “Technical Guidelines for Plan Environment Impact Assessment (on trail).” In addition, with approval by the State Council, SEPA jointly with relevant departments constituted the list of plans subject to EIA, promulgated “Measures for Reviewing on Environmental Impact for Special Plans” and “Measures for Management on Environment Impact Assessment Expert Database” to establish the EIA reviewing expert database. y

Certification Management In February 2004, in order to advance the quality of EIA professionals and ensure the quality of EIA, the Ministry of Personnel jointly with SEPA established the certification system for professional EIA engineers, to put more stringent requirements on professional EIA practitioners. In August 2005, “Measures for Qualification Management of Environment Impact Assessment for Construction Projects” was promulgated by SEPA to impose higher liability for

10

Introduction

professional EIA practitioners, and to build an integrated management system of professional EIA units and individuals, along with professional EIA license system. y

Classification Management According to Article 16 of the EIA Law, “Classification Catalog Management of Environmental Impact Assessment for Construction Projects” was issued in August 2008 by Ministry of Environmental Protection (hereinafter referred as “MEP”) to replace “Classification Catalog Management of Environmental Protection for Construction Projects,” and enacted on October 1st, 2008. y

Public Participation In February 2006, the “Interim Measures for Public Participation in Environmental Impact Assessment,” promulgated by SEPA, is the first document regulating public participation in environmental protection in China. It clearly defines the rights of public to participate in EIA, and explicitly prescribes the specific scope, procedure, way and time limit of public participation, which is beneficial to assure public the “Right To Know” of the environmental information.

1.4 Summary The purpose of EIA is to integrate the goals and measures of environmental protection into social and economic development plans to prevent or mitigate unfavorable impacts from proposed human activities, as much as possible. EIA was first legalized as a legal environmental management scheme in the States, in 1969. Ever since, many countries have established EIA system within the environmental management system, such as Canada, German, China, Japan and so on. And, many related international organizations were founded to hold a series of international meetings focusing on EIA, and to promptly promote and facilitate researches and communication on EIA, worldwide. In China, the development of EIA system was gradually improved and reinforced along with prompt development of environmental management system and environmental protection legal system. Since promulgation of the “Environmental Protection Law of the People's Republic of China (on trial)” in September 1979, Project EIA

Introduction

11

was stipulated as a legal system. Many regulations, statutes, ordinances, and directives were issued, consecutively, to standardize EIA system, to elucidate the content, scope and procedures of EIA, and to refine the methodologies and technologies of EIA. As the “Environmental Protection Law of the People's Republic of China” was finalized and formally promulgated in December 1989, the objectives, missions, principles, reviewing and examining procedures, and time frame of EIA were fundamentally prescribed in Article 13. Project EIA and PEIA were precisely defined as the legal requirement in the EIA Law to provide the legal basis for the deployment of SEA, and to promote the legalization and institutionalization of SEA in China.

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EIA System in China

2. EIA SYSTEM IN CHINA The administrative management system and legal system of EIA in China will be introduced in this chapter. There are three modes of administrative management system: regional management, industrial management and resource management. Regional management, the basis of other management modes, is the main mode of environmental management in China, where each government is in charge of the environmental management of its administrative jurisdiction area. Industrial management mode, as the supplement to regional management, is cross-region management concentrating on the management of specific industry. Resource management, focusing on the preservation of natural resources, for example, agriculture, forestry, water conservancy, and marine, is to protect the natural environment and to coordinate the relationship between resources utilization and ⑾ environmental protection. The management institutions of EIA are closely related to current administrative management system in China. As stipulated in the EP Law, the competent departments of environmental protection of local governments are in charge of supervision and management on environmental protection work. The legal system of EIA is an important part of the national environmental protection law system in China. In general, EIA legislation can be classified into two different processes: (1) provisions of EIA or similar are stipulated in various environmental protection laws and regulations; (2) specific legislation on EIA, alone. However, the content and the structure of the provisions of EIA or special single EIA law should be in accordance with the requirement of the Constitution, the EP Law and other superior laws.

2.1 Institutional Setup of Environmental Protection in China As mentioned earlier, regional management is the main mode of environmental management in China, which is achieved through administrative hierarchy system. For example, the MEP is representing the State to fulfill the function and responsibility of environmental protection, and local environmental protection bureau (EPB) represents local Government to fulfill the function and responsibility of

EIA System in China

13

environmental protection, as shown in Figure 2-1. Therefore, the environmental protection management system in China was established based upon this mode to put environmental protection department of local government in charge of local environmental protection work, along with cooperation and assistance from relevant departments, such as the comprehensive economic management agency, industrial competent authority and management agency of resource development.

Figure 2-1 Framework of Environmental Protection Management Institutions in China

2.1.1 National People’s Congress and Standing Committee of NPC The National People’s Congress (NPC) of the People’s Republic of China is the organization with supreme power of the State. The Standing Committee is the permanent institution of the NPC. In March 1993, the Committee of Environmental and Resource Protection was created to act as the consultation unit to the NPC and the Standing Committee Authorized by the State, the NPC and its Standing Committee jointly exercise the power to legislate and enact laws, such as the EIA

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EIA System in China

Law in October 2002 and the “Law of People’s Republic of China on the Promotion of Circular Economy” in August 2008, etc. The Committee of Environmental and Resource Protection is in charge of reviewing proposals for the NPC and recommending suitable and necessary propositions to the NPC. Local governments have gradually established the same operative structure. This has greatly promoted the legislative process on environment and facilitated the promulgation of environmental protection and related laws. 2.1.2 The State Council The State Council is the central government of the People’s Republic of China to execute all administrative affairs of the State, composed of 1 general office, 28 departments, 1 special institution, 18 divisions, 4 administrative offices, 14 organizations, and 10 ministries. The State Council is entitled to regulate administrative rules in environmental protection, and constituents are entitled to formulate departmental statutes in environmental protection. 2.1.3 Ministry of Environmental Protection In 2008, after several reorganization and promotion processes since 1982, the Ministry of Environmental Protection of the People’s Republic of China (MEP) was established, according to the “Reformation Plan for Governmental Institutions of the State Council” ⑿ issued in 2008 by the State Council. As part of the State Council, the MEP is the central competent authority in charge of affairs of environmental protection and management, with major functions to establish an integrated basic environmental protection system, and to manage and monitor environmental pollution prevention and control. The MEP consists of 1 general office, 10 departments, Bureau of Environmental Supervision, the Party Committee of Institution, and several organizations and relevant social groups, where Department of Planning and Finance, Department of Policies, Laws and Regulations, Department of Science, Technology and Standards, Department of Pollution Control, and Department of Environmental Impact Assessment play significant role in the management of EIA organization and implementation. 2.1.4 Local Environmental Protection Agency A local EPB is the major local environmental protection agency for

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all provinces, autonomous regions, cities, district and county. An environmental protection office is the environmental protection agency for villages and small towns. Local environmental protection agencies are solely responsible for environmental protection management of the area under their jurisdiction. However, in China, local environmental protection agencies are under supervision from both their superior agencies and local government.

2.2 The Legal Framework of EIA in China In China, EIA system is a compulsory system where EIA is regulated as a legal requirement to be complied with. For more than 30 years, the development of the legal system of environmental protection in China has been continuously improved through practical experience. In China, the legal system of environmental protection is mainly composed of laws, regulations, statutes, rules, environmental standards and international covenants on environment protection. In general, there are two forms of EIA legislation in China. Firstly, provisions of EIA can be embodied in some general environmental protection laws and regulations. Secondly, EIA can be written as a dedicated piece of legislation, for example, the EIA Law. The framework of EIA legal system in China is shown in Figure 2-2.

Figure 2-2 Framework of EIA Legal System in China

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EIA System in China

2.2.1 The Constitution As environmental problems are getting more serious, environmental protection regulations have been specified in the Constitution of many countries. It was clearly stipulated in “the Constitution of the People’s Republic of China” (the Constitution 1982) that protecting the environment is one of the fundamental national policies of the State, and is the obligation for all national institutions, social groups, industrial enterprises and the public. In China, the legal system of EIA is guided and based upon the provisions of environmental protection regulated in the Constitution. All legislative processes and implementing work of EIA should be in accordance with the Constitution. Table 2-1 Provisions of Environmental Protection under the Constitution Article 9 Term 2: The state ensures the rational use of natural resources and protects rare animals and plants. Appropriation or damaging of natural resources by any organization or individual by whatever means is prohibited. Article 10 Term 5: All organizations and individuals using land must ensure its rational use. Article 26 Term 1: The state protects and improves the environment in which people live and the ecological environment. It prevents and controls pollution and other public hazards. Article 22 Term 2: The state protects sites of scenic and historical interest, valuable cultural monuments and relics and other significant terms of China’s historical and cultural heritage. Article 51: Citizens of the People’s Republic of China, in exercising their freedoms and rights, may not infringe upon the interests of the state, of society or of the collective, or upon the lawful freedoms and rights of other citizens.

2.2.2 Laws The environmental protection law includes basic law of environmental protection and single law of environmental protection. The basic law of environmental law is the EP Law promulgated in 1989, which confirmed and standardized the EIA system in China. The EP Law, composed of 6 chapters with 47 articles in all, is the fundamental law for environmental protection in China and the legal basis of EIA for other single laws and administrative regulations. The objectives, missions, principles, reviewing and examining procedures, and time frame of EIA were defined in Article 13, as shown in Table 2-2.

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Table 2-2 Article 13 of the EP Law Article 13: Units constructing projects that cause pollution to the environment must observe the state provisions concerning environmental protection for such construction projects. The environmental impact statement on a construction project must assess the pollution the project is likely to produce and its impact on the environment and stipulate the preventive and curative measures; the statement shall, after initial examination by the authorities in charge of the construction project, be submitted by specified procedure to the competent department of environmental protection administration for approval. The department of planning shall not ratify the design plan descriptions of the construction project until after the environmental impact statement on the construction project is approved.

In addition, EIA was specifically stated in some single law of environmental protection, including the special law (the EIA Law), pollution prevention laws, ecological protection laws and the “Marine Environment Protection Law of the People's Republic of China.” Pollution prevention laws include: y the “Law of the People’s Republic of China on the Prevention and Control of Water Pollution” y the “Law of the People's Republic of China on the Prevention and Control of Atmospheric Pollution” y the “Law of the People’s Republic of China on the Prevention and Control of Environmental Pollution by Solid Wastes” y the “Law of the People's Republic of China on Prevention and Control of Pollution From Environmental Noise” y the “Law of the People’s Republic of China on Prevention and Control of Radioactive Pollution” y y y

Ecological protection laws include: the “Law of the People's Republic of China on Water and Soil Conservation” the “Law of the People’s Republic of China on the Protection of Wildlife” the “Law of the People’s Republic of China on Desert Prevention and Transformation”

In addition, other laws with explicit reference to environmental protection, such as “The Forest Law of the People's Republic of China,” “Grassland Law of the People’s Republic Of China,” “Fisheries Law of the People’s Republic Of China,” “Mineral Resources Law of the People's Republic of China,” “Water Law of the People’s Republic of

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China,” “Law of the People’s Republic of China on the Promotion of Clean Production,” and so on, are part of environmental protection legal system. Table 2-3 Provisions on Environmental Protection of Other Relevant Single Laws Law of the People’s Republic of China on the Prevention and Control of Water Pollution (2008) Article 17: New construction projects and expansion or reconstruction projects and other installations on water that directly or indirectly discharge pollutants to water bodies shall be subject to relevant State regulations governing environmental protection for such projects.” “In the environmental impact statement of a construction project an assessment shall be made regarding the water pollution hazards the project is likely to produce and its impact on the ecosystem, and measures for their prevention and control shall be prescribed. The statement shall be submitted, according to the specified procedure, to the relevant environmental protection department for examination and approval. Law of the People's Republic of China on the Protection of Wildlife (2004) Article 12: If a construction project produces adverse effects on the environment for the survival of wildlife under special state or local protection, the construction unit shall submit a report on the environmental impact. The department of environmental protection shall, in examining and approving the report, seek the opinion of the department of wildlife administration at the same level. Law of the People's Republic of China on the Prevention and Control of Atmospheric Pollution (2000) Article 11: New construction projects, extensions or reconstruction projects which discharge atmospheric pollutants shall be governed by the state provisions concerning environmental protection for such projects. The environmental impact statement on a construction project must assess the atmospheric pollution the project is likely to produce and its impact on the ecosystem and stipulate the preventive and curative measures; the statement shall be submitted, according to the specified procedure, to the environmental protection department concerned for examination and approval. Law of the People's Republic of China on Prevention and Control of Pollution From Environmental Noise (1996) Article 13: Every project under construction, renovation or expansion must conform to the regulations of the State governing environmental protection. Marine Environment Protection Law of the People's Republic of China (1982) Article 9: The reclamation of land from the sea, or other projects to enclose sea areas, and the excavation of sand and gravel shall be strictly controlled. For projects that are definitely necessary, Environmental Impact Statements based on investigative research and comparison of economic results must be prepared……

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2.2.3 Administrative Regulations Administrative regulations are the regulatory documents of environmental protection formulated and promulgated by the State Council or promulgated by other competent authority upon the approval of the State Council. There are two kinds of administrative regulations: (1) implementation rules or directives, such as “Implementing Rules on the Law of the People's Republic of China on Prevention and Control of Water Pollution”; (2) the directives, regulations, provisions and measures for specific subject in environmental protection, such as “Regulations on Environmental Protection Management of Construction Project,” which is very important in guiding Project EIA. The rules on EIA were explicitly prescribed in many administration regulations, for example, Article 13 of the “Regulations of the People's Republic of China on Wild Plants Protection,” provides significant guidance on the implementation of EIA. Table 2-4 Major Administration Regulations of EIA Regulations on Safety and Protection from Radioisotopes and Radiation-Emitting Apparatus (2005-09-14) Regulations on Management of the Levy and Use of Pollutant Discharge Fees (2003-01-02) Regulation on Safety Management of Hazardous Chemicals (2002-01-26) Implementing Rules on the Law of the People's Republic of China on Prevention and Control of Water Pollution (2000-03-20) Regulations on Environmental Protection Management of Construction Project (1998-11-18) Regulations of the People's Republic of China on Wild Plants Protection (1996-09-30) Regulation of the People’s Republic of China on Nature Reserves and other relevant provisions (1994-10-09) Regulations of the People’s Republic of China on the Implementation of Aquatic Wildlife Protection (1993-09-17) Regulations of the People’s Republic of China on the Implementation of Terrestrial Wildlife Protection (1992-02-12) Regulations on Pollution Prevention Management of Marine Environment from Land Pollutants (1990-08-01) Regulations on Pollution Prevention Management of Marine Environment from Coastal Engineering Construction Projects (1990-06-25) Regulations of the People’s Republic of China on the Control over Dumping Wastes into the Sea Waters (1985-03-06) Regulations of the People’s Republic of China on the Control over Prevention of Pollution by Vessels in Sea Waters (1983-12-29)

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Table 2-5 EIA Provision in the Regulations of the People's Republic of China on Wild Plants Protection Article 13: If a construction project may produce adverse effects on the environment for the survival of the wild plants under special state or local protection, the construction unit shall make an appraisal on the effects in its submitted report on the environmental impact; the department of environmental protector shall, in examining and approving the report, seek the opinion of the department of wild plants administration.

2.2.4 Departmental Statutes Based upon the environmental protection laws and administrative regulations, departmental statutes are the regulatory documents of environmental protection issued by the competent authorities of the State Council alone or jointly, to provide guidance for the fields without specific laws or regulations. Departmental statutes are an important part of EIA system in China. Table 2-6 Major Departmental Rules of EIA Regulation on Hierarchical Examination and Approval of Environmental Impact Assessment Documents (2009) List of the Construction Projects Subject to Classified Management of Environmental Impact Assessment (2008) Rules of State Environmental Protection Administration on Examination and Approval procedure for Environmental Impact Assessment Documents (2006) Measures for Certification Management Of Environment Impact Assessment for Construction Project (2006) Measures for Report Reviewing on Environment Impact Assessment for Special Plan (2003) Measures for Database Management of Reviewing Experts on Environment Impact Assessment (2003) Measures for Acceptance Management of Environmental Protection Facility of Construction Projects (2002) Measures for Management of Environment Standards (1999) Procedures for Environmental Protection Management of Construction Projects (1990)

2.2.5 Local Ordinances and Local Government Rules Local ordinances and local government rules are the regulatory documents of environmental protection formulated and enacted by local governments to be more feasible and suitable to the characteristics of environmental problems. After the promulgation and implementation of the EIA Law, local governments have enacted a series of local

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departmental regulations, local ordinances and local government rules on EIA. Table 2-7 Implementation Measures on the Law of the People’s Republic of China on the Prevention and Control of Water Pollution for Beijing Municipality Article 13 Term 2: In the environmental impact statement (forms) of a construction project an assessment shall be made regarding the water pollution hazards the project is likely to produce and its impact on the ecosystem, and measures for their prevention and control shall be prescribed. The statement shall be submitted, according to the specified procedure, to the relevant environmental protection department for examination and approval.

2.2.6 Environmental Standards Environmental standards are the technical basis for enforcement and management of environmental protection, and the criteria for EIA practice. After more than 30 years development, environmental standards system in China is composed of three subsystems, national standards, local standards and industrial standards, as shown in Figure 2-3, where local standards are superior than national standards for implementation.

Figure 2-3 Environmental Standards System in China

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2.3 The Implementation Agencies of EIA in China In China, the main management agencies of EIA are the competent authorities of environmental protection at central and local government, as well as the competent authorities of marine ecological protection, water and soil conservation, and etc, as shown in Figure 2-4. The Appraisal Center for Environmental Engineering (MEP) will provide technical support to EIA institutes, and carry out technical evaluations of EIA.

Figure 2-4 Main Management Agencies of EIA in China

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2.3.1 National Management Agencies of EIA 2.3.1.1 Department of Environmental Impact Assessment (MEP) The Department of EIA is composed of General Management Division, EIA Management Division I to III, and Division of Environmental Check and Acceptance of Construction Projects, where EIA Management Division III is in charge of the management of EIA for plans, regional development and policies. The responsibilities of this department are as follows: y to develop policies, laws, rules and regulations of management and implementation on EIA system and “Three Synchronizations”; y to perform EIA of key economic and technical policies, development plans, and major economic development plans; y to develop the inventory of categorized management of EIA; y to be in charge of the examination and approval of EIA Statement of major development and construction activities. 2.3.1.2 Appraisal Center for Environmental Engineering (MEP) The Appraisal Center for Environmental Engineering of MEP, established in October, 1992, is mainly responsible for providing technical support to MEP in implementing the EIA Law. Specifically, the responsibilities are as follows: y to be in charge of technological audit on EIA outlines and EIA Statement for plans, major development and construction projects; y to initiate draft methodology and technical guidelines for EIA; y to organize professional technical training on EIA; y to be in charge of the registration management of qualified professional EIA practitioners; y to deploy technical audit on “Three Synchronizations” for major construction projects approved by the State. In 2003 only, there were about 250 EIA outlines and 180 EIA Statement reviewed by the Appraisal Center. 2.3.1.3 The Ministry of Water Resources of the People’s Republic of China The Ministry of Water Resources (MWR) is the competent authority of national soil and water conservation with major responsibilities listed as follows: y to propose strategic planning and policies of water resources; y to draw relevant laws and regulations and to supervise the

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implementation; y to conduct integrated management on water resources (include atmospheric water, surface water and ground water); y to organize feasibility studies on water resources management and flood prevention for national economy integrated planning, urban planning, and major construction projects; y to compile and audit proposals and feasibility reports for large and medium-sized water conservancy construction project; y to organize, construct and manage significant water conservancy engineering projects. Opinions from MWR and relevant departments shall be fully taken into consideration during EIA process for construction projects and plans of soil and water conservation. 2.3.1.4 The State Oceanic Administration The State Oceanic Administration is an important department for marine ecology management in China, which has responsibilities: y to organize and manage monitoring, supervision and evaluating on marine environment; y to compile special information on marine environment; y to supervise pollutants emission from land-sources into the sea; y to organize monitoring network of marine environment. Provision related to EIA, particularly stipulated in Article 43 of the “Marine Environment Protection Law of the People’s Republic of China,” has provided the legal basis for the competent authority of marine to participate in EIA for construction projects of marine engineering. 2.3.2 Local Management Agencies of EIA Local competent authorities in environmental protection and management, such as EIA Management Division of Beijing EPB, Development and Management Division of Tianjin EPB, are in charge of supervision on local EIA work. In addition, in accordance with Article 22 of the EIA Law and Article 43 of the “Marine Environment Protection Law of the People’s Republic of China,” the local competent authority in industry management should perform pre-examination on EIA Statement for construction projects. These approved documentations should then be reviewed and examined by the competent authorities in environmental protection.

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Some institutions of EPB, such as Beijing Appraisal Center for EIA, Tianjin Appraisal Center for Environmental Engineering, should participate in the management of EIA to provide technical supports and to deploy technical assessment on EIA outlines, EIA Statement, and EIA Form.

2.4 The Main Content of the EIA Law The promulgation of the EIA Law raised the status of EIA in China. The EIA Law consists of 5 chapters, such as general provisions, EIA for Plans (PEIA), EIA for construction projects (Project EIA), legal liabilities, and supplementary provisions, 38 articles in all. 2.4.1 General Provisions There are 6 articles in this chapter to stipulate the legislative purposes of the law, the scope of application, the basic principles to carry out EIA, public participation in EIA, and the fundamental work of EIA. In China, EIA is not only a method of analysis, forecast and evaluation, but also a mandatory environmental management system as regulated by law. The key elements of EIA include: y The objects of EIA are the economic development plans proposed by the Governments, and construction projects proposed by construction institutions. y Evaluation institutions shall analyze, predict and evaluate the impacts of the objects as they are implemented and to propose concrete and explicit countermeasures to prevent or mitigate adverse environmental impact. y Environmental protection departments shall implement follow-up monitoring, analyzing and evaluation on actual impacts of the plans and construction projects. Furthermore, as stated in Article 5, public participation in EIA is an important principle and producer of EIA system in China. In addition, there are special provisions stipulated in Articles 11 and 12 to regulate public participation in PEIA and Project EIA.

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Table 2-8 Concept of EIA and Public Participation in the EIA Law Article 2: The term “environmental impact assessment” as mentioned in the present Law refers to the methods and institutions for analyzing, predicting and appraising the impacts of programs and construction projects that might incur after they are carried out so as to propose countermeasures for preventing or mitigating the unfavorable impacts and make follow-up monitoring. Article 5: The state encourages relevant entities, experts and the general public to participate in the appraisal of the environmental impacts in appropriate ways. In the environmental impact statement (forms) of a construction project an assessment shall be made regarding the water pollution hazards the project is likely to produce and its impact on the ecosystem, and measures for their prevention and control shall be prescribed. The statement shall be submitted, according to the specified procedure, to the relevant environmental protection department for examination and approval.

2.4.2 EIA for Plans (PEIA) There are 9 articles in this chapter to classify plans subject to EIA and to regulate the procedures and requirements of PEIA. The scope and requirements for integrated plans subject to EIA, such as plans for land utilization, and plans for the construction, development and utilization of drainage areas or sea areas, were clearly stipulated in Article 7. It also stipulates the legal status of documentations for PEIA. The scope and requirements of special plans subject to EIA were then stipulated in Article 8. Concrete rules of public participation in EIA was explicitly stated in Article 11 to encourage relevant entities, experts and the public to participate in EIA, and to elicit opinions from the relevant entities, experts and the public through meetings, public hearings or other means.

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Table 2-9 Scope and Requirements of Plans are Subject to EIA Article 7: The relevant departments of the State Council and the local people’s governments at (above) the level of the cities with districts as well as the relevant departments thereof shall, in the process of working out the relevant programs concerning the use of land and the programs for constructing, developing and utilizing the areas, drainage areas or sea areas, conduct environmental impact appraisals, draft chapters or explanations concerning environmental impacts. In the chapters or explanations of the programs concerning environmental impacts, an analysis, prediction and appraisal of the environment impacts of the program after it is implemented shall be made, and countermeasures shall be put forward for preventing or mitigating the unfavorable environmental impacts. Such chapters or explanations shall form a part of the draft of the programs and shall be reported to the organ in charge of the examination and approval of the programs. The examination and approval organ may not approve any draft of program which does not have a chapter or explanation of the environmental impacts. Article 8: With regard to the relevant special programs of industry, agriculture, animal husbandry, forestry, energy, water conservancy, communications, municipal construction, tourism, and natural resources development (hereafter “special programs”), the relevant departments of the State Council and the local people’s government of the cities with districts as well as the relevant departments thereof shall, prior to reporting the draft of the special program for examination and approval, organize appraisals of environmental impacts, and submit a report of environmental impacts to the organ in charge of the examination and approval of the special program. For the directive program for the special programs as mentioned in the preceding paragraph, an appraisal shall be made about the environmental impacts according to the provisions of Article 7 of the present Law.

Table 2-10 Provisions of Public Participation in EIA on the Draft of Special Plans Article 11: In case a program may cause unfavorable environmental impacts or directly involve the environmental interests of the general public, the organ that works out the special programs shall, prior to submitting the draft of the programs for examination and approval, seek the opinions of the relevant entities, experts and the general public about the draft of the report about the environmental impacts by holding demonstration meetings or hearings or by any other means, except it is provided by the state that it shall be kept confidential. The drafting organ shall take the opinions of the relevant entities, experts and the general public about the draft report of environmental impacts into careful consideration, and shall attach a remark whether the opinions are adopted or refused to the report of environmental impacts to be submitted for examination and approval.

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2.4.3 EIA for Construction Projects (Project EIA) There are 13 articles in this chapter to regulate the classification management system of Project EIA (Article 16), the mandatory elements of EIA Statement (Article 17), the relationship between Project EIA and PEIA (Article 18), the certification management system of qualified Project EIA institutions (Articles 19 & 20), the scope, procedures, means of public participation in EIA and the status of public opinion (Article 21), the examination, reviewing, and approval procedures for Project EIA documentation (Articles 22, 23 & 24), the legal force of Project EIA documentation (Articles 24 & 25), and post-evaluation and follow-up monitoring for construction projects (Articles 27 & 28). 2.4.4 Legal Liabilities There are 4 articles in this chapter to regulate the legal liabilities of illegal and unlawful acts during the implement of EIA, including, the legal liabilities of the institution compiling the plan (Article 29), the legal liabilities of the institution reviewing and approving the plan (Article 30), the legal liabilities of the construction entities (Article 31), the legal liabilities of the institution reviewing and approving the construction project (Article 32), the legal liabilities of the institution performing Project EIA (Article 33); the legal liabilities for illegal charge of the departments responsible for the preliminary examination, inspection, and examination and approval of the EIA documents (Article 34); the legal liabilities of the administrative departments of environmental protection illegally approving Project EIA documentations (Article 35). 2.4.5 Supplementary Provisions There are 3 articles in this chapter to regulate the legal empowerment to conduct EIA for plans compiled by county governments, the entity to compile EIA measures for military construction projects, and the date when the EIA Law must enter into effect.

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Table 2-11 Legal Empowerment to Conduct EIA for Plans Compiled by County Governments Article 36: The people’s government of the provinces, autonomous regions and municipalities directly under the Central Government may, according to the practical situation of the local places, demand that environmental impact appraisals be conducted for the programs worked out by the county-level people’s government within their respective jurisdictions. The specific measures shall be formulated by the provinces, autonomous regions and municipalities directly under the Central Government according to the provisions of Chapter II of the present Law.

2.5 Summary In China, there are three kinds of administrative management, regional management, industrial management, and resource management. Regional management, as the basis of other management modes, is the main mode of environmental management, supplemented by industry management and resources management. The implementation agencies of EIA in China include national management agencies, such as Department of EIA of MEP, the Appraisal Center for Environmental Engineering of MEP, competent authorities for water and soil conservation, and the State Oceanic Administration, and local management agencies of EIA. The legal system of EIA was established through the development of the legal system of environmental protection. EIA legislation is achieved through two means. The first, EIA was specific stipulated in many environmental protection laws, administrative regulations, departmental statutes, industrial decrees, and local governmental ordinances. And the second, EIA was constituted and promulgated as a special law, for example, the EIA Law.

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3. EIA FOR CONSTRUCTION PROJECTS IN CHINA There are specific chapters that regulate Project EIA in the “Measures of Environmental Protection Management for Capital Construction Project” (1981) and “Regulations on Environmental Protection Management of Construction Project” (1998). After the promulgation of the EIA Law in 2002, the legal status of EIA has been greatly enhanced. In China, “Regulations on Environmental Protection Management of Construction Project,” “Measures for Qualification and License Management of Environmental Impact Assessment for Construction Project,” “Classification Catalog Management of Environmental Impact Assessment for Construction Projects” and “Technical Guidelines on Environmental Impact AssessmentCompendium, Surface water and Atmospheric Environment” and the EIA Law are the legal basis of EIA system to guide Project EIA activities. y y y

The EIA system for construction projects is characterized by: Project EIAs are classified based upon the extent of environmental impacts to be included in the EIA Statement, EIA Form, or Environmental Impacts Registration Form. The EIA documents of construction project have to be approved by the competent authorities prior to commence the construction. The public should participate in Project EIA. In addition to the EIA Law, the time frame and approaches to public participation were regulated in special rules to stress the importance of public opinion.

3.1 Categorization for Project EIAs Project EIA should be conducted differently according to locations, industries, products, scales, techniques, material, the kinds and the amounts of pollutants, and the extent of environment impacts, as stipulated in Article 16 of the EIA Law, “Regulations on Environmental Protection Management of Construction Project,” and “Classification Catalog Management of Environmental Impact Assessment for Construction Projects.”

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Table 3-1 Classification Management for Project EIAs (the EIA Law) Article 16: On the basis of the extent of the effects exerted on the environment by construction projects, the State exercises, in a classified manner, control over the EIA of construction projects. A construction unit should, in accordance with the following provisions, make arrangements for preparing EIA Statement or EIA Form or filling out an Environmental Impacts Registration Form (hereinafter referred to as the EIA documents in general): (1) where considerable impacts may be exerted on the environment, preparing a EIA Statement, in which a comprehensive EIA should be carried out; (2) where mild impacts may be exerted on the environment, preparing a EIA Form, in which analyses or a special EIA should be carried out; or (3) where the effects on the environment are very little and therefore it is not necessary to make an assessment of them, filling out an Environmental Impacts Registration Form.

3.2 Documentation Specifications for Project EIA According to the extent of environmental impacts, the Project EIA documents are categorized into EIA Statement, EIA Form, and Environmental Impacts Registration Form. In order to ensure the quality of EIA, to supervise the developer so that it fulfills the obligations in EIA, and to regulate the compilation of EIA documents, the content and format of EIA Statement, EIA Form, and Environmental Impacts Registration Form were explicitly regulated in Article 17 of the EIA Law and Article 8 of “Regulations on Environmental Protection Management of Construction Project.”

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Table 3-2 Requirements of Compiling EIA Documents (the EIA Law) Article 17: The EIA Statement of a construction project should include the following: (1) a brief introduction to the construct project; (2) the current surrounding environment of the construction project； (3) the analyses, prediction and assessment of impacts that the construction project may have on the environment; (4) the measures for environmental protection of the construction project and technical and economic demonstrations of the measures; (5) the analyses of the economic costs and benefits of environmental impacts of the construction project; (6) a proposal for environmental monitoring of the construction project; and (7) conclusions of the EIA. If a construction project that has a bearing on soil erosion, an additional program for soil and water conservation that has been examined and approved by the competent administrative department for water is required. The contents and forms of EIA Form and Environmental Impacts Registration Form should be worked out by the competent administrative department for environment protection under the State Council.

In August 1999, “EIA Form for Construction Project (on trial)” and “Environmental Impacts Registration Form for Construction Project (on trial)” were issued by SEPA. EIA Form of Construction Project should be compiled by certified EIA agency with certification of EIA agency and EIA personnel. Environmental Impacts Registration Form for Construction Project could be compiled by the construction unit.

3.3 Public Participation in Project EIA Public should and would participate in EIA to assist decision-making. Therefore, there should be a special chapter in EIA documents to describe public participation, as regulated in the EIA Law and the “Interim Measures for Public Participation in Environmental Impact Assessment.”

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Table 3-3 Relevant Provisions on Public Participation in Project EIA The EIA Law Article 21: Except the conditions of a secret nature stipulated by the State, the construction units, before submitting the environmental impact report of construction projects for approval, should hold proof meetings, hearing or take other forms to solicit the opinions from relevant units, experts and the public for the construction projects that may cause significant impact on the environment and should compile environmental impact reports. The environmental impact reports submitted by construction units for approval should have an enclosed explanation on whether having adopted or not to adopt the opinions from relevant units, experts and the public. Interim Measures for Public Participation in Environmental Impact Assessment Article 16: The construction units, EIA agencies authorized by the units and the competent administrative department for environmental protection should keep the original data of the feedback opinions for future reference. Article 17: The construction units, EIA agencies authorized by the units should take public opinions seriously and make it clear whether to adopt or not in the EIA Statements. The competent administrative department for environmental protection can organize the experts advisory committee to discuss the adoption of public opinions, determine its rationality and give the treatment recommendations. When the competent administrative department for environmental protection made the approval, they should consider the recommendations of experts advisory committee carefully.

3.4 Review and Approval of Project EIA According to Article 25 of the EIA Law, no construction project should not be commenced prior to the approval of EIA documents. 3.4.1 Submission and Review of EIA Documents The construction unit must submit EIA documents to the competent authorities of environmental protection prior to the initiation of the construction project. (1) Time frame for submission Based on the condition of enterprise, the reviewing procedures of construction project are classified into three different types, approval, check and filing, respectively. For approval procedures, EIA documents should be submitted prior to the submission of the feasibility report of proposed construction project. For review procedures, EIA documents

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should be submitted prior to the application submission of the application of the proposed construction project. For filing procedures, EIA documents should be submitted after the filing and prior to the commencement of the proposed construction project. Table 3-4 Regulations on Time Limit for the Submission of EIA Documents for Approval Regulations on Environmental Protection Management of Construction Project Article 9: A construction unit should, at the construction project feasibility study stage, submit the EIA Statement of construction project, EIA Form or Environmental Impact Registration Form for approval. However, for railway and communications construction projects, EIA Statements or EIA Forms may, prior to the completion of the preliminary design of the projects, be submitted for approval by the competent administrative department of environmental protection with authority to issue such approvals. For a construction project that necessitates no feasibility study pursuant to relevant State provisions, the construction unit should, prior to the commencement of construction, submit the EIA statement of construction project, EIA form or Environmental Impacts Registration Form for approval. Where application for a business license is required, the construction unit should, prior to the applying for the business license, submit the EIA Statement of construction project, EIA report or environmental impact registration form for approval.

(2) Procedures and time frame for approval Approval procedures for EIA documents of construction project were explicitly stated in Article 22 of the EIA Law and Article 10 of “Regulations on Environmental Protection Management of Construction Project.” In order to elevate the efficiency of the reviewing process of EIA documents, the competent authorities were regulated to make the final decision within certain days after receiving EIA documents, for example, 60 days for EIA Statement, 30 days for EIA Form, and 15 days for Environmental Impacts Registration Form, and to inform the construction unit in writing. 3.4.2 Re-submission and Re-review of EIA Documents Any changes or modification made to the construction projects after the approval of EIA documents will require the re-submission of “new” EIA documents for approval.

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Table 3-5 Regulations on Re-submission and Re-review for EIA documents The EIA Law Article 24: Where, after the EIA documents of a construction project is approved, major changes are made in the nature, scale and location of the construction project, in the production techniques adopted, or in the measures taken for prevention and control of pollution and for prevention of damage of the eco-system, the construction unit should submit a new EIA documents of the construction project for examination and approval. Where decision is made for starting construction of a project more than five years following the day the EIA documents is approved, the document should be submitted to the original examination and approval department for examination and verification anew; the department should, within 10 days from the day it receives the EIA documents of the construction project, inform the construction unit about the written result of the examination.

3.4.3 Approval Authority Classification for EIA The competent authorities for EIA documents approval were clearly regulated in the EIA Law and “Regulations on Environmental Protection Management of Construction Project.” And in January 2009, amended “Regulations on Hierarchical Examination and Approval of Environmental Impact Assessment Documents” was issued by MEP to itemize and clarify the approval authorization of EIA documents of construction projects, according to the reviewing procedures (approval, check and filing) and characteristics and extents of environmental impacts of construction projects.

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Table 3-6 Approval Authorization of EIA Documents Regulations on Hierarchical Examination and Approval of EIA Documents (2009) Article 5: The competent department of environmental protection under the State Council is responsible for approving the EIA documents of the following construction projects: (1) construction projects of nuclear facilities or confidential projects (2) trans-province, autonomous region, or municipal city construction projects (3) construction projects subject to examination and approval by the State Council or by the relevant department authorized by the State Council. The relevant department of the State Council should record the construction project with special character that may cause significant impact on environment. Article 8: The limits of power for examination and approval of the EIA documents of construction projects other than the ones specified in Article 5, should give the advices on rating approval by the people's governments of provinces according to the Article 4 and following principles and then submit to people’s government and report to the ministry of environmental protection. (1) The EIA documents of projects related to the smelting of non-ferrous metal, mining, steel processing, calcium carbide, ferroalloy, coke, waste incineration, power generation and pulp and others causing heavy pollution should be approved by provincial competent administrative department of environmental protection. (2) The EIA documents of projects related to chemical industry, papermaking, electroplating, printing and dyeing, brewing, monosodium glutamate, citric acid, enzymes, yeast and others causing heavy pollution should be approved by provincial and the city level competent administrative department of environmental protection. (3) The management of rating approval of EIA documents of project regulated by other laws or regulations should implement in accordance with the relevant provisions. Article 9: Where the relevant competent administrative departments for environment protection disagree with each other over the conclusions of EIA of the construction project that may cause adverse environmental impacts on trans-administrative regions, the EIA documents should be submitted for examination and approval to their common competent administrative department for environment protection at the next higher level.

3.5 EIA and Environmental Protection Facilities After the approval of EIA documents, the environmental protection facilities of construction project should be designed, installed, tested and operated according to the “Three Synchronization.” Environmental protection facilities should be designed within the design of construction project, completed along with the completion of construction project, and tested and operated concurrently with test run and operation of construction project.

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According to “Regulations on Environmental Protection Management of Construction Project,” construction projects may only formally commence production or be delivered for use when the environmental protection facilities required for construction project have been constructed, installed, and have passed approval inspection.

3.6 Post Evaluation for Construction Project Post evaluation should be conducted whenever there are any changes to the construction project that might result in adverse environmental impacts providing supplementary assessments on the changes, after construction project is constructed or completed. 3.6.1 Conditions of Post Evaluation The conditions and submission procedures for post evaluation are specified in the EIA Law. Table 3-7 Conditions of Post Evaluation for Construction Project The EIA Law Article 27: Where, in the process of construction and operation of a project, things are inconsistent with what are stated in the examined and approved EIA documents, the construction unit should organize an post evaluation and take improving measures, and submit a report to the department for original examination and approval of the EIA documents and to the original department for examination and approval of the construction project for the record. The original department for examination and approval of EIA documents may also instruct the construction unit to carry out ex-post evaluation and to take improving measures.

y

y y

Changes can be defined as followings: Major changes on products, production techniques, raw materials or pollution prevention and control facilities and ecological protection measures during the construction or operation phases to cause significant differences on pollutants, emission intensity or ecological impact in comparing with the situation predicted in EIA. Major changes on site selection, production lines and operation procedures during the construction or operation periods to cause new impacts on sensitive environmental objects or ecology. Required by local people’s government to conduct post evaluation, due to significant adjustment of regional environmental function where the project is located, during the construction or operation phases.

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The environmental impacts of construction projects are cross regional, potential disputed, or having significant environmental risks.

3.6.2 Main Contents The post evaluation for construction projects is a form of verification and supplement to original EIA, and shall provide necessary information for environmental management of projects. There are two aspects of post evaluation. One is to re-evaluate the main issues in the original EIA, such as engineering analysis, ambient air environment, water environment, noise, ecological issues, etc., and to propose suggestions on major problems that existed in original EIA. The other is to evaluate the effectiveness of the pollution prevention and control, and to propose remedial programs and measures. Post evaluation should be organized by the construction unit or upon request by the department which approved the original EIA. Post evaluation with countermeasures for existing problems should be submitted to competent authorities for filing.

3.7 Summary In China, the EIA system is constructed and developed, based upon the legal system of “Regulations on Environmental Protection Management of Construction Project,” the EIA Law, and other related administrative and regulations and technical guidelines, into one of eight major environmental management schemes to guide the activities of Project EIA. Project EIA plays an important role in preventing and mitigating environmental impacts at an early stage of decision-making. In China, Project EIA system is characterized as: y Project EIAs are classified based upon the extent of environmental impacts to be included in the EIA Statement, EIA Form, or Environmental Impacts Registration Form. y The EIA documents of construction project have to be approved by the competent authorities prior to commence construction. y The public should participate in Project EIA. In addition to the EIA Law, the time frame and approaches to public participation were regulated in special rules to stress the importance of public

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opinion. The contents and the formats of EIA documents were explicitly regulated in many relevant laws, regulations, ordinances and rules to ensure the quality of EIA and to supervise the construction units to fulfill the obligations in EIA, as well as the compilation of EIA documents. In addition, environmental protection facilities of construction project should be designed, constructed, completed, tested and operated concurrently with construction project. In case of any changes on construction project after EIA documents have been approved, post evaluation should be carried out to further reassess the environmental impacts resulting from changes.

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4. STRATEGIC ENVIRONMENTAL ASSESSMENT IN CHINA In China, the concept of strategic environmental assessment (SEA) was initially legislated in the EIA Law. The promulgation of the EIA Law in 2003 marks a significant advancement in the development of environmental assessment in China by embracing the strategic dimension in the scope of assessment practices in China. Currently, PEIA is the principal form of SEA implementation. The scope of PEIA was regulated in the EIA Law to cover all kinds of plans, for example, economic development plans, resources utilization plans and plans at municipal level and above. Though the EIA Law was implemented in 2003, the implementation of SEA was initiated through the practice of regional environmental impact assessment (REIA) in 1980s. The development of PEIA was thus based upon the experience of REIA.

4.1 Regional Environmental Impacts Assessment REIA is the environmental impact assessment on activities of regional development plans, such as development plans for river basin, establishment for development zones, and construction plans for new areas and reconstruction plans for old areas of a city. The subject and time frame of REIA were clearly regulated in “Regulations on Environmental Protection Management of Construction Project.” REIA became a legal requirement through the promulgation of the EIA Law. In 2006, development plans subject to REIA and EIA Statement were identified in “Circular on Improving the Implementation of PEIA,” issued by SEPA.

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Table 4-1 Key Regulations on REIA Regulations on Environmental Protection Management of Construction Project Article 31: Environmental impact assessment should be conducted in planning process for regional development, i.e. river basin development, construction of economic development zone, construction of new urban district and reconstruction of old urban district. Circular on Improving the Implementation of PEIA REIA should be conducted and the EIA Statement should be compiled for the development plan of the economic and technological development zones approved by the State Council and the provinces, autonomous regions and municipalities government, the high-tech industries development zone, free trade zone, tourism sites, border economic cooperation zones, as well as the industrial parks approved by local government. The EIA Statement of the plan of the development zones and the industrial parks are examined by the environmental protection department of the government where the development zones and the industrial parks are established.

4.1.1 The Development of REIA In mid 80s, theoretical studies on the concepts, meaning, types, basis of evaluation, contents, procedures, and methodologies of REIA were initiated in China. As regulated in Article 4 of “Interim Regulations on Environmental Management of Foreign Economic Opening Zones,” promulgated in 1986, EIA should be conducted for any new area constructions on foreign economic opening zones according to the principles of comprehensive planning and rational layout. This is the first legal provision on REIA. From late 80s to early 90s, several workshops on REIA were held by Environmental Quality Assessment Professional Committee. In 1987, in order to control regional environmental pollution effectively and to implement total emission control, it was proposed in the “Workshop of Regional Plans and REIA” that the implementation of Project EIA should be integrated with regional environmental plan and REIA. Since 1989, the Environmental Quality Assessment Professional Committee had selected Baiyin City (Gansu Province), Meizhou City (Fujian Province) and Kaiyuan City (Yunnan Province) to conduct pilot studies on REIA. In addition, ‘REIA for Maanshan City’ and ‘REIA for Xigu District of Lanzhou City’ were chosen as REIA pilot projects by SEPA. In 1995, as indicted in “China’s Agenda 21- Environmental Protection,” there was a lack of technical guidelines and management

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regulations on REIA, in China. Hence, it’s of great needs to improve the practice of REIA through international cooperation. The legislation process and the legal status of REIA were promoted through the promulgation of “Regulations on Environmental Protection Management of Construction Project” and the EIA Law. 4.1.2 Classification of REIA REIAs are classified according to the classification of regional environmental plan. Based on the characteristics of assessment, administrative divisions, the nature of region, and environmental factors, REIA can be categorized as: (1) EIA for development zones There are many new economic development zones, high-tech parks, and free-trade zones established in coastal cities in China. REIAs were deployed according to their economic development plans and regional environmental plans. (2) EIA for urban construction and development Urban construction and development includes new district construction and old district reconstruction. New district construction is the development of residential, financial, commercial and recreational areas, and urbanization construction. Old district reconstruction is to renovate, expand and reform old core enterprises, based on existing economic foundation and technological advantages to increase their reproduction. (3) EIA for river basin development According to “Regulations on Environmental Protection Management of Construction Project,” river basin development should be included as regional development. 4.1.3 The Approval of REIA Statement REIA management is a crucial part of the environmental management of regional development, and should follow regulations stipulated in the EIA Law and “Circular on Improving the Implementation of PEIA.” REIA Statements should be approved by the environmental protection competent authorities of people’s government of the developing zone are located.

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4.2 PEIA Environmental impacts resulted from governmental policies, programs and plans are normally wider, larger, lasting longer than that from construction projects. In order to fully achieve environmental pollution prevention and control, and ecological conservation at decision-making stage, and to implement sustainable development strategies, EIA should be performed for policies, programs, plans and related prior to the implementation. 4.2.1 Applicable Scope, Approaches and Requirements of PEIA Plan refers to a more comprehensive and long-term development program with determined targets and to make deployment and arrangement for future development. (1) Applicable scope of PEIA In China, planning is quite a complex and diverse system. The PEIA Statement and Chapter/Explanation of Environmental Impacts were clearly regulated in Articles 7, 8, and 9 in the EIA Law, “Specific Plans Subject to Compile PEIA Statement (on trial),” and “Specific Plans Subject to Compile Chapter/Explanation of Environmental Impacts (on trial).” There is no specific regulation to implement PEIA for plans constituted by local people’s governments. Hence, according to Chapter 2 of the EIA Law, people’s government of provinces, autonomous regions and municipalities should determine, based on local situations, whether PEIA is needed.

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Table 4-2 Applicable Scope of PEIA (the EIA Law) Article 7 Term 1: The relevant departments under the State Council, the people’s governments at the level of city with districts and above and their departments concerned should organize and conduct environmental impact assessment in the process of drawing up plans, and compile chapters or explanations regarding environmental impact of the plans when organizing the drawing-up of plans related to land use, and drawing-up construction, development and utilization plans of regions, river basin areas and marine areas. Article 8: The relevant departments under the State Council, the people’s governments at the level of city with districts and above and their departments concerned should organize and conduct environmental impact assessment for the special plans that they organize to compile (hereinafter “special plans” for short) for the development of industry, agriculture, animal husbandry, forestry, energy, water conservancy, transport, urban construction, tourism and natural resources before the drafts of the special plans are submitted for examination and approval, and provide the department responsible for examining and approving the special plans with the environmental impact assessment statement. The guiding plan of the special plans listed in the previous term should have environmental impact assessment conducted in accordance with the stipulation of Article 7 of this Law. Article 9: The specific scope of programs for which environmental impact appraisals shall be made according to the provisions of Articles 7 and 8 of the present Law shall be prescribed by the administrative department under the State Council in charge of environmental protection jointly with other relevant departments of the State Council and be submitted to the State Council for ratification.

(2) Approaches and requirements of PEIA Classification management is implemented on PEIA documents, as regulated in the EIA Law. A chapter of Environmental Impacts is required for plans with higher importance and more significant environmental impacts but not required to compile a PEIA Statement. Explanation of Environmental Impacts is then applicable for plans with less environmental impacts but not subject to compile PEIA Statement.

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Table 4-3 Requirements of PEIA (the EIA Law) Article 7 Term 2: The chapter or explanation regarding environmental impacts of the plan should include analysis, prediction and evaluation of possible environmental impacts caused by the implementation of the plan, put forward the strategy and measures to prevent or mitigate the adverse environmental impacts, and should be submitted to the examining and approving department of the plan as a component part of the plan. Article 10: The environmental impact statements of the special plans should include the following contents: (1) Analysis, prediction and evaluation of the possible impacts on environment due to implementation of the plans; (2) Strategy and measures to prevent or mitigate the adverse environmental impacts; (3) Conclusions of the environmental impact assessment.

The practitioners should consult the relevant regulations of “Technical Guidelines for PEIA” to perform the assessment. According to the “Technical guidelines for PEIA,” the PEIA Statement should be concise and have the appropriate illustrations, detailed data, clear arguments and definite conclusions. It should contain the following nine items, at least: a. General principles b. Overview of the proposed plan c. Description of existing environmental conditions d. Analysis and assessment of environmental impacts e. Recommended programs and mitigation measures f. Monitoring and follow-up assessment g. Public participation h. Difficulties and the uncertainties i. Executive summary. Chapter/Explanation of Environmental Impacts should include the following four items, at least: a. Introduction b. Analysis of existing environmental conditions c. Analysis and assessment of environmental impacts d. Mitigation measures for environmental impacts. 4.2.2 Public Participation in PEIA According to Articles 8 and 11 of the EIA Law, for special plans with potential adverse impact on the environment and directly involving public environmental rights and interests, the plan compiling

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institution should hold meetings, public hearing or take other approaches to elicit opinions on the draft PEIA Statement from relevant institutions, experts and the public before submitting. The plan compiling institution should then seriously consider opinions on draft PEIA Statement to enclose an explanation on whether opinions on PEIA Statement have been adopted or not, along with submission. In accordance with Articles 11 of the EIA Law, and “The State Council’s Decisions to Implement the Concept of Scientific Development and to Strengthen Environmental Protection Work,” the reviewing committee should focus on the following points while examining the contents of public participation in PEIA Statement: y Whether the compiling institution has held meetings, public hearing, or taken other forms to elicit opinions on draft PEIA Statement from relevant units, experts and the public before submitting. y Whether the compiling institution has seriously considered opinions from relevant units, experts and the public on draft PEIA Statement to enclose an explanation on whether opinions on PEIA Statement have been adopted or not, along with submission. The competent authorities of environmental protection should then include the recommendations from public participation in the PEIA Statement and submit this to the approving department. The approving department should fully consider public opinions and recommendations from the competent authorities of environmental protection. The approving department should explain why some opinions and recommendations are not adopted, and archive it for future check. According to Article 7 of the EIA Law and “The State Council’s Decisions to Implement the Concept of Scientific Development and to Strengthen Environmental Protection Work,” for land use plans, regional plans, river basin plans and marine area plans, the compiling institution should carry out PEIA during the process of compiling the plans, and compile Chapter/Explanation of Environmental Impacts. In addition, the compiling institution should elicit opinions from public during the implementation of PEIA. For plans involving classified information of national security or confidential information, public participation is not required.

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4.2.3 Submission and Review of PEIA documents (1) The submission of PEIA documents For land use plans, regional plans, river basin plans and marine area plans, and guiding plans for special plans, EIA should be conducted concurrently while compiling the plans. As a part of the draft plan, Chapter/Explanation of Environmental Impacts should be submitted to the approving department. For special plans, EIA should be conducted prior to submission of draft plan, and the PEIA Statement should be submitted to the approving department. (2) The examination of PEIA Statement of special plans So far, there are no specific rules to regulate the examination procedures for PEIA Statements of special plans. However, it is clearly stated that the review of PEIA Statement should be executed prior to the review of the plan. Table 4-4 Regulations on the Examination of PEIA Statement of Special Plan (the EIA Law) Article 13: Before the people’s governments at the level of city with districts and above approve the special plans and make the strategic decision, the competent administrative department of environmental protection or other departments should call together the representatives of relevant departments and experts to form a review team to examine the environmental impact statements. The review team should submit written comments about the examination. The experts participating in the review team should be chosen randomly from the list of experts from relevant fields in the expert database which is set up according to the stipulations of the competent administrative department of environmental protection under the State Council. The examining measures for the environmental impact statement of the special plans that should be examined and approved by the concerned departments of people’s governments above provincial level is constituted by the competent administrative department of environmental protection under the State Council together with other relevant departments under the State Council.

PEIA is a strategic and technical task. It is difficult for the approving department to perform detailed professional review on the PEIA Statement of draft plan. In order to assure the review processes are implemented, as regulated by law, the reviewing committee consisted of experts and representatives from relevant departments should be organized to conduct professional and technical review on PEIA Statement of draft plan. It’s the scientific decision-making process.

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The conclusions of PEIA Statement and reviewing comments on PEIA Statement are very important for decision-making of the approving department and should be archived for future check. Thus, reviewing comments should be recorded in written form to fully express opinions from experts and representatives, both positive and negative. As stipulated in “Measures on Reviewing of PEIA Statement of the Special Plan” promulgated by SEPA in 2003, for provincial level or above, prior to final decision on draft special plan by the approving department, PEIA Statement of the special plan should be reviewed jointly with competent authorities of environmental protection at same administrative level. The competent authorities of environmental protection should convene experts and representatives from relevant departments jointly with the approving department to form the reviewing committee within 30 days from receiving the PEIA Statement. Written comments should be submitted to the approval department within 10 days after reviewing process is completed. 4.2.4 Approval of Plan Approval of special plan should be determined by the PEIA Statement itself, the conclusions of PEIA Statement, the comments from reviewing committee. Table 4-5 Approval of Special Plan and PEIA Statement (the EIA Law) Article 12: When submitting the draft of special plans for approval, the compiling organization should enclose the environmental impact statement along with the plans to submit to the examining and approving department for examination. The examining and approving department will not approve those without enclosed environmental impact statement. Article 14: When examining and approving the special plans, the people’s governments at the level of city with districts and above or the relevant departments of people’s governments above the provincial level should take the conclusions and the examining comments of the environmental impact statement as important basis for decision-making. Explanations should be given and archived for future check for those examinations and approvals do not adopt the conclusions and the examining comments of the environmental impact statement.

To ensure the implementation of EIA system and to make PEIA

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more effective, it is regulated that the PEIA Statement should be submitted with the draft special plan to guarantee the approving department should have a comprehensive understanding that the environmental protection approaches and measures of special plan are reasonable and feasible. The special plan can thus be consistent with sustainable development strategies and in accordance with the requirement of laws and regulations. The aim is to make appropriate decision on special plan, in time. Conclusions of PEIA Statement and reviewing comments are important bases for decision-making on draft special by the approving department. But, in addition to environmental protection, the approving department should take integrated considerations on comprehensive balance between economic, social and environmental development, as well as national security. Hence, for unfavorable conclusions and reviewing comments, the approving department can decide not to adopt but make explanation for archive. 4.2.5 Follow-up Assessment for Plan The construction and implementation of a plan is a long-term process. And, with thorough and comprehensive EIA, it is still quite difficult to ensure there would not be any new or unexpected environmental problems resulting from changes on social and economic life and natural circumstances. Thus, it’s necessary for the plan compiling institution to conduct follow-up assessment to find any new or unexpected environmental problems resulting from implementation of the plan and take corresponding countermeasures, in time. It would be helpful to improve the methodologies and system of PEIA through experience accumulation. Table 4-6 Regulations on Follow-up Assessment for Plan (the EIA Law) Article 15: After the special plans with significant environmental impacts have been implemented, the compiling organization should organize timely follow-up assessment, and submit the evaluation results to the examining and approving department. Once obviously adverse environmental impacts are found, improvement measures should be put forward immediately.

4.3 Summary In China, the practice of SEA was initiated with the

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implementation of REIA in 1980s. From “Interim Regulations on Environmental Management of Foreign Economic Opening Zones” (1986) to the EIA Law (2002) and “Circular on Improving the Implementation of PEIA” (2006), the development of legal foundation of REIA has accumulated abundant experience to form a solid and concrete basis. The extent of REIA has covered all kind of regional development activities. Basically, the contents and procedures of REIA management are similar to that of Project EIA. Since the promulgation of the EIA Law, the applicable scope was extended from projects to plans. Plans subject to PEIA were explicitly stipulated in the EIA Law, “Specific Plans Subject to Compile PEIA Statement (on trial),” and “Specific Plans Subject to Compile Chapter/Explanation of Environmental Impacts (on trial).” The reviewing, approving, public participation, and follow-up assessment of PEIA were regulated therein.

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5. CERTIFICATION OF EIA AGENCIES AND PRACTITIONERS IN CHINA EIA is a professional work involving wide range of techniques, which should be scientific, objective, and impartial. In China, through years of practice, EIA qualification management has proved to be as an effective means to regulate the implementation of EIA and to promote the quality of EIA. EIA qualification management is composed of two major parts, certification of qualified agencies and certification of qualified practitioners.

5.1 Agencies for Certification As regulated in the EIA Law and “Regulations on Environmental Protection Management of Construction Project,” the provisions regarding certification of qualified agencies can be summarized as follows: y Project EIA should only be performed by qualified agencies with appropriate certificate issued by competent authorities of environmental protection of the State Council, but never by qualified individual. y Qualification criteria and management measures of certified Project EIA agencies are regulated by competent authorities of environmental protection of the State Council. y Certifications are classified into different grads with defined scope of assessment. Certificated agencies should conduct EIA in accordance with the grade and scope limit, and be fully responsible for the conclusions of EIA. y Since EIA is a consulting service, the cost should be charged according to National Price Standards and strictly supervised by the Price Management Department of the State. y The List of Certified Agencies for Project EIA, promulgated by the competent authorities of environmental protection of the State Council, play an important role in assisting construction units to have complete understanding of the grades, scope limits and certifications of all certified Project EIA agencies to select appropriate certified agency. In addition, the public can supervise the certificated agencies for Project EIA according to fully disclosed information on the grades, scope limits and certifications.

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y

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In order to assure the independence and impartiality of EIA and fair reviewing process, there should be no interest relationship between certified agency for Project EIA and approving department for Project EIA documents or other relevant departments. The construction units should choose certified Project EIA agencies, independently, without any interference from any units or individual.

Table 5-1 Regulations on Legal Liability of Certified Project EIA agencies (the EIA Law) Article 33: If the agency commissioned to provide technical services for a construction project EIA is not responsible or practices fraud during the assessment to forge false statement or inconsistent facts in the EIA Statement, the competent administrative department for environment protection who issues the EIA certificate should degrade the certificate or revoke the certificate, and impose a fine of not less than one time, but not more than three times of the fees for the services. If a crime is committed, the agency will be prosecuted for its criminal liability according to law.

“Measures for Certification Management of Environmental Impact Assessment for Construction Project,” promulgated by SEPA according to the requirements of the EIA Law and “Regulations on Environmental Protection Management of Construction Project,” is currently the major foundation of certification management of certified Project EIA agencies, in China, with clear regulations on the grades and scope limits of certifications, application, review and approval, auditing and supervision, and penalties, as well as the qualification criteria. 5.1.1 Grades and Extents of Project EIA Certifications Depending on the capabilities, professional expertise and other relevant criteria, Project EIA agencies are certified with different grades, A and B. Certified Project EIA agencies with grade A certification are authorized to perform Project EIA for construction projects approved by competent authorities of environmental protection at all levels, according to assessment scope. Certified Project EIA agencies with grade B certification are authorized to conduct Project EIA for construction projects approved by competent authorities of environmental protection at provincial level or below, according to assessment scope. In general, there are 11 categories of construction projects required

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to compile Project EIA Statements, and 2 categories of construction projects required to compile Project EIA Forms. In addition, there is a special certification within grade B certification with limited scope in compiling EIA Form, only. Table 5-2 Assessment Scope Limits of Certifications Project EIA Statement Project EIA Form 1. Special Project EIA Assessment 1. Light Textile Fiber Scope 2. Petrochemical, Chemical and Medicine Forma 3. Electrical, Mechanical and Metallurgy 2. General Project EIA 4. Building Materials and Fossil Fuel Formb Power Plant 5. Agriculture and Hydraulics 6. Excavation 7. Transportation 8. Social Region 9. Marine Engineering 10. Power Transmission and Broadcasting Communications 11. Nuclear Industry Note: (a) Applicable for “Power Transmission and Broadcasting Communications” and “Nuclear Industry.” (b) Applicable for other projects, items 1 through 9, except for projects mentioned in (a).

5.1.2 Application and Approval for Project EIA Certifications For Project EIA Certification application, there are 5 different processes, such as: new certificate, adjustment of assessment scope, renaming, upgrading and extension. All required documentations and necessary procedures for different application processes were explicitly stipulated in “Measures for Certification Management of Environmental Impact Assessment for Construction Project.” Environmental monitoring institutions from various sectors at all levels and the institutions to provide Project EIA technical evaluation for the government are prohibited to apply for any certifications to ensure the independence and impartiality of Project EIA. 5.1.3 Evaluation and Supervision on Project EIA Certifications MEP is responsible for supervision and management of certified Project EIA agencies by empowering provincial competent authorities of environmental protection to audit certified Project EIA agencies for

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their qualification, certification, quality of EIA, and any illegal events or misconduct, and to disclose related information to the public. Competent authorities of environmental protection at all levels are responsible for daily inspection on certified Project EIA agencies within their jurisdiction, as well as operational guidance.

5.2 Management of Certified EIA Practitioners 5.2.1 License for EIA Practitioners In order to regulate Project EIA and to gradually establish license system for EIA professionals, the first session of “Project EIA Training Course for EIA professionals” was held by SEPA in Zhejiang Province, in June 1990, and issued “Certification of Project EIA Practice Training” to qualified trainees. In 1998, license system for EIA practitioners was implemented to require all EIA professionals to be certified to perform EIA work, as regulated in Articles 5 & 6 of “Measures for Qualification and License Management of Environmental Impact Assessment for Construction Project” (1999), which was amended and renamed to “Measures for Certification Management of Environmental Impact Assessment for Construction Project” in 2005 to furtherly stipulate requirement of certified EIA engineers for certified Project EIA agencies. Table 5-3 Requirement of Certified EIA Engineers for Certified Project EIA Agencies Measures for Certification Management of Environment Impact Assessment for Construction Project Article 9: The requirements for grade A agencies: …… (3) The agency should have more than 20 full-time technical staff of EIA, among which there are at least 10 EIA engineers registered in this agency, and others should have the EIA certificate. If the scope of EIA statement includes nuclear industry, the full-time technical staff should include at least 3 nuclear safety engineers registered in this agency. …… Article 10: The requirements for grade B agencies: …… (3) The agency should have more than 12 full-time technical staff of EIA, among which there are at least 6 EIA engineers registered in this agency, and others should have the EIA certificate. If the scope of EIA statement includes nuclear industry, the full-time technical staff should include at least 2 nuclear safety engineers registered in this agency. ……

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5.2.2 Vocational Certification System of EIA Engineers In order to strengthen the management of EIA professionals, to regulate Project EIA, to improve the quality and operational level of EIA practitioners, to guarantee the quality of EIA, and to safeguard national environmental security and public interests, the Ministry of Personnel and SEPA jointly promulgated “Interim Regulations on Vocational Certification System of EIA engineer,” “Implementation Measures for Examination of Vocational Certification of EIA Engineer” and “Measures for Auditing of Vocational Certification of EIA Engineer” in February 2004. Vocational certification system of EIA engineer, launched on April 1, 2004, is the system to issue vocational certification to qualified EIA practitioners to perform PEIA, Project EIA, technical evaluation, and acceptance examination on environmental protection. For the examination of vocational certification of EIA engineer, there are 4 subjects, such as “Laws and Regulations of EIA,” “Technical Guidelines and Standards of EIA,” “Techniques and Methods of EIA” and “Case Study on EIA,” which is held at the second quarter of the year. Periodic registration is implemented in vocational certification system of EIA engineer which requires certified EIA engineer to register at the registration management office within 3 years after obtaining vocational certification, and to acquire ‘Registration of EIA Engineering.’ Fail to register at the registration management office within the specific time frame will result in the automatic expiry of the vocational certificate. Registered EIA engineer should be employed by certified Project EIA agency to be eligible to perform EIA tasks. Foreign personnel or professionals from Hong Kong, Macao, and Taiwan regions with work permit in China, can apply for examination and registration.

5.3 Summary In China, certified Project EIA agencies should be a corporate body with reasonable allocation of professionals to conduct comprehensive analyses, assessment and prediction, and include certain amount of full-time technicians as required, and is responsible for the conclusions of the assessment.

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Based on the expertise, capability and work ability of the agencies, qualified Project EIA agencies are granted with different certificates, grade A and B, as well as the assessment scope. For assessment scope, there are 11 categories of construction projects required to compile Project EIA Statement, and 2 categories of construction projects required to compile Project EIA Form. Generally, MEP is responsible for supervision and management of certified Project EIA agencies by empowering provincial competent authorities of environmental protection to audit certified Project EIA agencies for their qualification, certification, quality of EIA, and any illegal events or misconduct, and to disclose related information to the public. In order to strengthen management of EIA professionals, license system of EIA practitioners and vocational certification system of EIA engineer are applied. In China, through years of practice, it’s proved that the EIA certification management is the most effective management tool to regulate EIA and to improve the quality of EIA.

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6. MANAGEMENT OF EIA IN CHINA: CASE STUDIES In China, the current practice of EIA is mainly focusing on Project EIA and PEIA. Hence, the purpose of this chapter is to introduce the management and case study of Project EIA and PEIA in China, separately. Case studies were performed by Nankai University, one of the earliest institutions certified with Grade A Certification by SEPA.

6.1 Management of Project EIA and Case Study In China, the development of EIA is initiated from the practice of Project EIA. Construction projects are all required to conduct Project EIA to demonstrate all necessary precautionary measures and mitigation countermeasures of environmental protection and ecological conservation have been considered, thoroughly. 6.1.1 Management of Project EIA There are three phases of Project EIA management. y

Phase 1- prior to implementing Project EIA. Proposal of the construction project should be submitted to competent authorities for review and approval. The approval from competent authorities of land should be obtained for land use. “Project Feasibility Study Report” might be necessary for some construction projects. y

Phase 2- to formally implement Project EIA. The classification of the construction project should be determined according to “Classification Catalog Management of Environmental Impact Assessment for Construction Projects.” A technical review panel will be organized by the EIA technical evaluation institution to evaluate the feasibility, techniques, and quality of Project EIA Statement or Form, to provide comments and suggestions. The construction unit should then submit all EIA documents to competent authorities of environmental protection for approval. y

Phase 3- “Three Synchronizations” management. Once the project is approved, the construction should be implemented strictly according to “Three Synchronizations”

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management, which requires that the environmental protection facilities should be designed, constructed, completed, accepted, and operated concurrently with main body of the project. Once the project is completed, the construction unit should apply for test and acceptance of environmental protection facilities.

Figure 6-1 Management Procedures of Project EIA

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6.1.2 Case Study y y y

Construction Unit: Cappelle Pigments (Tianjin) Co. Ltd. Project: The Construction of Pigments Production Lines of PO34, PY83, PY184, PY42 and PR101 Project EIA Agency: Nankai University

Cappelle Pigments N.V. is a Belgian manufacturer to produce pigments for coatings, plastics, printing ink and other industries, who has been purchasing raw material from China for 25 years. In 2005, Cappelle Pigments (Tianjin) Ltd. was founded to build basic production lines for export market, with the total investment of US$12.5 million. The manufacturer was located at the chemical industrial zone in Tianjin Economic and Technological Development Zone. The company plans to produce 1,400 tons pigments per year, used for paint, plastic, and printing ink, including PO34、PY83、PY184、PY42、PR101. According to the EIA Law, “Regulations on Environmental Protection Management of Construction Project,” and “Measures for Environmental Protection Management of Construction Project in Tianjin,” this project was required to compile Project EIA Statement. The construction unit commissioned Nankai University to be the Project EIA agency. Prior to EIA, the construction unit submitted a proposal to Tianjin Development and Reform Commission (TDRC) for approval. TDRC is the competent authority of investment in charge of permitting, filing and approving projects invested by the government or major construction projects. Tianjin Land and Resources Bureau and Housing Management Bureau both approved the land use. In addition, Project Feasibility Study Report was compiled. Project EIA was conducted by Institute of Environmental Planning and Assessment, College of Environmental Science and Engineering, Nankai University. First, EIA outline was compiled for approval from Tianjin Appraisal Center for Environmental & Engineering (TACEE), Tianjin Environmental Protection Bureau (Tianjin EPB). TACEE is the competent authority of technical review on EIA outline and EIA Statement for plans, important development projects and construction projects. Technical review meeting on the EIA outline, summoned by

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Management of EIA in China: Case Studies

TACEE, was held in May 2005 to conclude several comments and recommendations. Later on, a technical review meeting on Project EIA Statement was convened and held by TACEE in July 2005, with representatives from Tianjin EPB, Development Zone EPB, construction unit and Project EIA agency, and experts, to conclude several opinions and suggestions. Construction unit then filed all necessary documents, such as “Application for Approval of Project EIA Statement,” “Comments on Pre-approval of Project EIA Statement” from Development Zone EPB, and “Technical Review Report on Project EIA Statement” from TACEE to Tianjin EPB for approval. Project EIA Statement was finally approved by Tianjin EPB in February 2006. Development Zone EPB was appointed to be in charge of supervision and inspection of environmental protection during construction period. “Three Synchronizations” management was strictly implemented during construction. The environmental protection facilities was designed, built and completed simultaneously with the main body. After the completion of project, construction unit applied to Tianjin EPB for trial production for 3 months. After that, construction unit applied to Tianjin EPB for completion and acceptance of environmental protection facilities.

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Management of EIA in China: Case Studies

The construction unit commissioned EIA agency of Nankai University Compiled the EIA outline Tianjin Environmental Engineering Assessment organized to evaluation

Public participation (expert consultation、 questionnaire）

Compiled of EIA statement

Tianjin Environmental Engineering Assessment organized to evaluation

Request on submitting EIA statement （Cappelle Co.Ltd.）

Comment on preapproving EIA statement （Environmental Protection Bureau in development zone）

Technical evaluation report on EIA statement（Tianjin Environmental Engineering Assessment Center）

Submitted to Tianjin Environmental Protection Bureau approved the project EIA statement agreeded to construct

Figure 6-2 Management Procedures of Project EIA for Cappelle Pigments

6.2 Management of PEIA and Case Study As illustrated in Section 4.2, classified management was required

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Management of EIA in China: Case Studies

for PEIA. For plans on land use and exploration, utilization and development of regions, river basins areas and marine areas, a Chapter/Explanation of Environmental Impacts should be compiled, as well as for the guiding plans of the special plans. For special plans, a PEIA Statement should be compiled. 6.2.1 Management Procedure of PEIA There are four phases of PEIA management. (1) Phase 1: to determine whether a PEIA is needed for a plan or not. As regulated in the EIA Law, “Specific Plans Subject to Compile Chapter/Explanation of Environmental Impacts (on trial),” and “Specific Plans Subject to Compile PEIA Statement (on trial),” the scope of PEIA is determined. PEIA can be conducted by the plan compiling institution or by a certified PEIA agency commissioned by the plan compiling institution. For integrated plans and guiding plans of the special plans, PEIA must be performed concurrently with the compilation of plan. For special plans, PEIA must be performed prior to submission for review and approval, after the draft plans was completed. (2) Phase 2: to formally implement PEIA. There shall be information interaction between the implementation of PEIA and compilation of plan. Periodic conclusion of PEIA, such as modification suggestions for the plan, can be an important reference for improving the plan. Meanwhile, any modification of the plan can be a feedback to PEIA agency for better assessment. For special plans with potential adverse impact on the environment and directly involving public environmental rights and interests, the plan compiling institution should hold demonstration meetings, public hearing or take other approaches to solicit opinions on the draft PEIA Statement from relevant institutions, experts and the public, before submitting, after draft PEIA Statement is completed. The plan compiling institution should enclose an explanation on whether opinions on PEIA Statement have been adopted or not, along with submission. (3) Phase 3- to review PEIA documents. For integrated plans or guiding plans of the special plans,

Management of EIA in China: Case Studies

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Chapter/Explanation of Environmental Impacts should be compiled as a part of the draft plan and submitted with the draft plan to the approval department for approval. For special plans, PEIA Statement should be submitted with the draft plan. PEIA Statement should be reviewed, first, according to “Measures on Reviewing of Plan EAI Statement of Special Plan” and the EIA Law, as described in Section 4.2. (4) Phase 4- to conduct follow-up assessment. After the special plans with significant environmental impacts are implemented, the plan compiling institution should organize follow-up assessment, and submit the results to the approving department. In case of significant adverse environmental impacts, mitigative countermeasures should be put forward immediately for in time decision from the approving department. Plan compiling institution should take the leading role to organize follow-up assessment and to appoint certified PEIA agency.

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Management of EIA in China: Case Studies

Figure 6-3 Management Procedures of PEIA

6.2.2 Comparison of Two Types of PEIA The similarities and differences between integrated plans/guiding plans and the special plans are listed in the following table.

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Management of EIA in China: Case Studies

Table 6-1 Comparisons between Integrated Plans/Guiding Plans and the Special Plans Comparison Similarities

The organization of EIA work Specific appraising institutes of EIA

Follow-up Evaluation

Differences

Timing

EIA requirements

Content of EIA

Integrated Plans / Guiding Plans

Special Plans

The Compiling Organization of Plan The EIA can be performed by itself or by another appointed assessment team After the special plans that have significant environmental impacts are implemented, follow-up evaluation should be organized. The organizer of conducting follow-up evaluation is the compiling organization of plan, and the specific evaluator should be determined by the compiling organization. The result should be feedback to the examining and approval department.

During the plan preparation process (for integrated/guidance plans, the SEA and the plan should be conducted simultaneously) Prepare and include a chapter or statement on environmental impacts as part of the overall plan. There is no need to prepare a separate EIS.

Analysis, forecasting and evaluation of possible negative environmental impacts resulting after plan implementation. Provide countermeasures to prevent or mitigate negative environmental impacts

After the plan draft is prepared and before it is submitted for review and approval

Prepare a separate EIS

Analysis, forecasting and evaluation of possible negative environmental impacts resulting after plan implementation. Countermeasures and steps to prevent or mitigate negative environmental impacts. Conclusion of EIA

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Management of EIA in China: Case Studies

Comparison

Integrated Plans / Guiding Plans

Solicitation of comments on draft EIS from associated units, specialists and the general public

The Same to Plan

Review of EIS

Not required

Special Plans In case a plan may cause unfavorable environmental impacts or directly involve the environmental interests of the general public, the organ that works out the special plans shall, prior to submitting the draft of the plans for examination and approval, seek the opinions of the relevant entities, experts and the general public about the draft of the environmental impact statement by holding demonstration meetings or hearings or by any other means.（except it is provided by the state that it shall be kept confidential） Forum to solicit comments on draft EIS from associated work units, specialists and the public prior to submitting draft plans for review and approval. However, classified plans under national security regulations are excluded. Written comments should be provided by EIS review team.

6.2.3 Relevant Organizations in PEIA The relevant organizations involved in responsibilities are listed in the following table.

PEIA and

their

Management of EIA in China: Case Studies

67

Table 6-2 Organizations and their Functions in PEIA Organizations Responsibilities in PEIA Comply plans; organize the assessment or assign apprising The Compiling entities to carry out EIA work; take charge of submit the draft of plan and EIA documents; organize the conduction Organization of Plan of the follow-up evaluation. It may be the compiling organization itself, and may also The Appraising be the entities or expert groups upon entrustment. The main responsibilities are to carry out EIA and work out Institute EIA documents. It is a higher administrative organization compared to the Approval Authority Compiling Organization, and is responsible for designating the institutes that call in the review team and reviewing the of Plan plans. The institutes are determined by the approval authority. Generally, the institutes are the competent administrative department for environment protection or other The Institutes That departments designated by the government. They mainly Call In The Review take charge of calling together the representatives and Team specialists of the departments concerned for forming the review team of EIS, and deliver the written review comments to approval authority. Review the EIS and its related recommendations from the Review Team of EIS general public, and then submit a written report. The “Public” refers the associated work units, experts and General Public the general public. They put forward recommendations and opinions of plans and EIA documents.

6.2.4 Case study PEIA for Master Plan of Sino-Singapore Tianjin Eco-City (1) Background of the Master Plan and PEIA On November 18th, 2007, Premier Wen Jiabao (China) and Prime Minister Lee Hsien-Loong (Singapore) signed the “Framework Agreement of Building an Eco-City in Tianjin, People’s Republic of China.” While building Sino-Singapore Tianjin Eco-City, Singaporean advanced experience would be consulted to deploy extensive cooperation in urban planning, environmental protection, resource conservation, circular economy, ecological construction, renewable energy utilization, reclaimed water usage, sustainable development and promoting social harmony, etc. It’s another important international cooperation project between China and Singapore, after the successful development of the Suzhou Eco Industrial Park, to build a new kind of eco-city in Tianjin Binhai New Area (TBNA) featured with scientific

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Management of EIA in China: Case Studies

development, ecological culture, resource conservation and environmental protection. Sino-Singapore Tianjin Eco-City will be located at north of TBNA with an area of 34.2 km2. In order to provide guidance for the construction and development of Sino-Singapore Tianjin Eco-City, Tianjin Municipal Planning Bureau and the Administrative Committee of Sino-Singapore Tianjin Eco-City, established by Tianjin Municipal People’s Government in January, 2008, appointed China Academy of Urban Planning and Design, Tianjin Research Institute of Urban Planning & Design and Urban Redevelopment Authority of Singapore to form the design group for compiling the Master Plan of Sino-Singapore Tianjin Eco-City (2008-2020). The master plan is a special plan related to urban construction. So, PEIA Statement should be compiled. (2) Organizations involved in PEIA y Plan Compiling Institution: Tianjin Municipal Planning Bureau and the Administrative Committee of Sino-Singapore Tianjin Eco-City y Technical Support to Plan Compilation: China Urban Planning And Design Institute, Tianjin Urban Planning And Design Institute, and Singapore Design Group y PEIA Agencies: Tianjin Academy of Environmental Science and Nankai University y The Approval Department: Tianjin Municipal People’s Government y Competent Authority of Environmental Protection: Tianjin Environment Protection Bureau. (3) Basic Procedures of PEIA The master plan is a special plan related to urban construction subject to compile PEIA Statement. Nankai University and Tianjin Academy of Environmental Science were appointed as PEIA agencies to carry out environmental impact assessment for the plan. After preliminary scheme of the plan completed, EIA was initiated. The draft of environmental impact statement was completed through survey, expert consultation and etc. Public participation was then carried out. Information was sent back to the Plan compiling institution at the same time. After that, the final version of draft plan was completed. The final draft plan and the EIA statement were submitted to Tianjin Municipal People’s Government for approval. Tianjin

Management of EIA in China: Case Studies

69

Environment Protection Bureau was then in charge of convening review meeting on PEIA Statement. Review comments were submitted to Tianjin Municipal People’s Government in written. According to draft plan, PEIA Statement, and review comments on PEIA Statement, Tianjin Municipal People’s Government finally approved this master plan.

Figure 6-4 Procedure of PEIA for Master Plan of Sino-Singapore Tianjin Eco-City

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Characteristics and Prospects of EIA in China

7. CHARACTERISTICS AND PROSPECTS OF EIA IN CHINA

7.1 Characteristics of EIA in China According to the EIA Law and the practice of EIA for the past several decades, the main characteristics of EIA system in China are summarized as follows: (1) EIA has undergone a long period of reflection, adjustment and continuous improvement China is one of the earliest countries to implement an EIA system. From the EP Law (on trial) (1979) to the EIA Law (2003), Project EIA and Plan were regulated in law. The requirements gradually established the legal foundation for SEA and promoted the legalization, institutionalization, and systemization of the development of SEA. In about 30 years since the first EIA study, the Chinese EIA system has developed from Project EIA to REIA and PEIA, from individual Project EIA to integrated Project EIA and PEIA, from pollution impact assessment to ecological effect assessment to progressively construct a comprehensive EIA system of Project EIA, REIA and PEIA. (2) The EIA system is established according to comprehensive legal statutes The Chinese EIA system is a legal system explicitly stipulated by the EP Law. The EIA Law is the first special law concentrating on EIA, to not only elevate the legal status of EIA, but also establish Chinese SEA legal system. (3) Classification management and strict pre-approval and approval processes are implemented for EIA For projects, EIA Statement, EIA Form, or Environmental Impacts Registration Form should be compiled depending on the extent of environmental impacts. For the special plans, EIA Statement is required, and Chapter/Explanation of Environmental Impacts is required for integrated plans and guiding plans of the special plans. A chapter of Environmental Impacts is applicable to plans with higher importance and more significant environmental impacts. Explanation of Environmental Impacts is then applicable for plans with less environmental impacts. Detailed provisions are stipulated in the EIA

Characteristics and Prospects of EIA in China

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Law. For construction projects, construction units should submit EIA documents (EIA Statement, EIA Form, or Environmental Impacts Registration Form) to the competent department for pre-approval and then to competent authorities of environmental protection for approval. The Chapter/Explanation of Environmental Impacts is reviewed for approval, with the draft plan, by the approval department. PEIA Statement is reviewed for pre-approval, prior to draft plan review, by competent authorities of environmental protection. (4) Public participation in EIA has been enshrined in the system First, The EIA Law explicitly encourages relevant entities, experts and the general public to participate in EIA in appropriate ways. Second, it stipulates the time and means of public participation. For any construction projects or plans with potential adverse impact on the environment and directly involving public environmental rights and interests, construction unit or plan compiling institution should hold demonstration meetings, public hearing or take other approaches to solicit opinions on EIA documents from relevant institutions, entities, experts and the public before submitting. Third, the submission should enclose a justification to explain whether public opinions on EIA documents have been adopted or not. (5) Certification management of EIA has enhanced the quality of EIA There are two parts of certification management, certified EIA agencies and certified EIA practitioners. The agencies engaged in EIA should be certified with appropriate certification, including grade, assessment scope, and term. EIA practitioners are also required to have license to perform EIA tasks. In addition, EIA practitioners are required to have Vocational Certification of EIA Engineer and are monitored through registration system.

7.2 Prospects of EIA in China In order to improve the effectiveness of EIA and to accumulate experiences and lessons from practices, the Chinese EIA system is still evolving with fine-tuning, adjustment and improvement in the following ways. (1) To expand the target and scope of SEA, exploring to put policies and plan of national economic and social development into the scope of assessment Many environmental problems are caused by ignoring

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Characteristics and Prospects of EIA in China

environmental factors during policy making and plan compiling. Among integrated plans, the national economic and social development plans are the most important ones to generate great influences on the environment. Therefore, SEA should be applied to the national economic and social development plan to fulfill the win-win situation of economic development and environmental protection, as well as to build a resource conservation and environmental friendly society. (2) To strengthen the supervision and management of EIA Construction units and certified EIA agencies and practitioners are mainly responsible for the authenticity of EIA documents. It is important to supervise the quality of EIA documents, regularly, to prevent any misleading conclusions. In addition, it would be necessary to further clarify and regulate legal liabilities of construction units, certified EIA agencies and practitioners, approval department, and relevant personnel. (3) To enhance public participation, especially for NGOs It’s necessary to encourage and summon more social organizations and general public to participate in the management of EIA, to exercise the “Right To Know,” the “Right To Participate,” and the “Right To Supervise,” as ensures and guaranteed by laws, and to play active and aggressive roles in all pubic participation activities, such as demonstration meetings, public hearings, seminars and other forms. Non-governmental organizations (NGOs), such as business associations and academic associations, should also play active role in EIA supervision and management. (4) To build a platform of EIA information through integration of data and information from all relevant institutions Catalogue of disclosure EIA information was published by MEP to actively disclose the information regarding the status of EIA documents, the final decisions on EIA documents, completion and acceptance of construction projects, and etc. In order to promote public participation in EIA, the disclosed information should be wider and in-depth, such as reviewing comments, reviewing time, project sites, construction methods, key indices in EIA, mitigating measures, etc. In addition, several coordinating agencies should be established to build and strengthen the mechanisms for cooperation among departments, to share the macro basic data of all types of businesses and departments, and to set up the sound basic database.

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References

REFERENCES ⑴ The Congress authorizes and directs that, to the fullest extent possible: (1) the policies, regulations, and public laws of the United States shall be interpreted and administered in accordance with the policies set forth in this Act, and (2) all agencies of the Federal Government shall (A) utilize a systematic, interdisciplinary approach which will insure the integrated use of the natural and social sciences and the environmental design arts in planning and in decision-making which may have an impact on man's environment; (B) identify and develop methods and procedures, in consultation with the Council on Environmental Quality established by title II of this Act, which will insure that presently unquantified environmental amenities and values may be given appropriate consideration in decision-making along with economic and technical considerations; (C) include in every recommendation or report on proposals for legislation and other major Federal actions significantly affecting the quality of the human environment, a detailed statement by the responsible official on: (i) the environmental impact of the proposed action, (ii) any adverse environmental effects which cannot be avoided should the proposal be implemented, (iii) alternatives to the proposed action, (iv) the relationship between local short-term uses of man's environment and the maintenance and enhancement of long-term productivity, and (v) any irreversible and irretrievable commitments of resources which would be involved in the proposed action should it be implemented. Prior to making any detailed statement, the responsible Federal official shall consult with and obtain the comments of any Federal agency which has jurisdiction by law or special expertise with respect to any environmental impact involved. Copies of such statement and the comments and views of the appropriate Federal, State, and local agencies, which are authorized to develop and enforce environmental standards, shall be made available to the President, the Council on Environmental Quality and to the public as provided by section 552 of title 5, United States Code, and shall accompany the proposal through the existing agency review processes; (D) Any detailed statement required under subparagraph (C) after January 1, 1970, for any major Federal action funded under a program of grants to States shall not be deemed to be legally insufficient solely by reason of having been prepared by a State agency or official, if: (i) the State agency or official has statewide jurisdiction and has the responsibility for such action, (ii) the responsible Federal official furnishes guidance and participates in such preparation, (iii) the responsible Federal official independently evaluates such statement prior to its approval and adoption, and (iv) after January 1, 1976, the responsible Federal official provides early notification to, and solicits the views of, any other State or any Federal land management

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entity of any action or any alternative thereto which may have significant impacts upon such State or affected Federal land management entity and, if there is any disagreement on such impacts, prepares a written assessment of such impacts and views for incorporation into such detailed statement. The procedures in this subparagraph shall not relieve the Federal official of his responsibilities for the scope, objectivity, and content of the entire statement or of any other responsibility under this Act; and further, this subparagraph does not affect the legal sufficiency of statements prepared by State agencies with less than statewide jurisdiction. (E) study, develop, and describe appropriate alternatives to recommended courses of action in any proposal which involves unresolved conflicts concerning alternative uses of available resources; (F) recognize the worldwide and long-range character of environmental problems and, where consistent with the foreign policy of the United States, lend appropriate support to initiatives, resolutions, and programs designed to maximize international cooperation in anticipating and preventing a decline in the quality of mankind's world environment; (G) make available to States, counties, municipalities, institutions, and individuals, advice and information useful in restoring, maintaining, and enhancing the quality of the environment; (H) initiate and utilize ecological information in the planning and development of resource-oriented projects; and (I) assist the Council on Environmental Quality established by title II of this Act.

⑵ Environmental Management: by Zhu Gengshen, China Environmental Science Press, 2007, pp. 215-216

⑶ In October 1974, the State Council Leading Group for Environmental Protection was formally established. Its main duty is to formulate principles and policies of environmental protection, approve the state environmental protection planning, as well as to organize, coordinate, supervise and inspect environmental protection of all regions and relevant departments. Environmental Protection Office was in charge of daily work. Meanwhile, some places formed the local leading environmental protection agencies, in accordance with the model of the central government

⑷ The big or middle cities are the main south-eastern suburbs of Beijing, Shenyang, Hedong District of Tianjin, Wusong District of Shanghai, Baoding, Urumqi, etc. Important waters are the Songhua River, Tumen River, Baiyangdian, Xiangjiang River and Hangzhou West Lake etc. (EIA Training Course, by the Department of Environmental Impact Assessment Administration, the State Environmental Protection Administration (SEPA), Chemical Industry Press, 2006, page 3).

⑸ EIA Training Course, by the Department of Environmental Impact Assessment Administration, the State Environmental Protection Administration (SEPA), Chemical Industry Press, 2006, page 7.

⑹ Relevant laws and regulations on EIA, by Environmental Engineering Assessment

References

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Center of State Environmental Protection Administration, China Environmental Science Press, 2008, page 5.

⑺ Environmental Protection Law of the People's Republic of China (on trial)(1979), Article 6: “All enterprises and institutions shall pay adequate attention to the prevention of pollution and damage to the environment when selecting their sites, designing, constructing and production. In planning new construction, reconstruction and extension projects, a report on the potential environmental effects shall be submitted to the environmental protection department and other relevant departments for examination and confirmation before setting about designing.”

⑻ The State Environmental Protection Commission (SEPC) was established by the State Council in May 1984.

⑼ The Ministry of Environmental Protection for Urban and Rural Construction was established by the Sate Council in 1982. The Environment Protection Leading Group was repealed and merged into the Ministry of Environmental Protection for Urban and Rural Construction as the Environmental Protection Agency (EPA). In late 1984, EPA was promoted as the National Environmental Protection Agency (NEPA) to serve as an administrative institution for the Environmental Protection Committee of the State Council. In 1998, NEPA was reorganized to form the State Environmental Protection Agency (SEPA). In March 2008, SEPA was promoted as the Ministry of Environmental Protection (MEP).

⑽ Environmental Protection Law of the People's Republic of China (1989), Article 13: “Units constructing projects that cause pollution to the environment must observe the state provisions concerning environmental protection for such construction projects. The environmental impact statement on a construction project must assess the pollution the project is likely to produce and its impact on the environment and stipulate the preventive and curative measures. The statement shall, after initial examination by the authorities in charge of the construction project, be submitted by specified procedure to the competent department of environmental protection administration for approval. The department of planning shall not ratify the design plan descriptions of the construction project until after the environmental impact statement on the construction project is approved.” ⑾ Zhang, Mingshun, Environmental Management, Chinese Environmental Science Press, 2005, pp. 99~100. ⑿ The Ministry of Environmental Protection for Urban and Rural Construction was established by the Sate Council in 1982. The Environment Protection Leading Group was repealed and merged into the Ministry of Environmental Protection for Urban and Rural Construction as the Environmental Protection Agency (EPA). In late 1984, EPA was promoted as the National Environmental Protection Agency (NEPA) to serve as an administrative institution for the Environmental Protection Committee of the State Council. In 1998, NEPA was reorganized to form the State Environmental Protection Agency (SEPA). In March 2008, SEPA was elevated to become the Ministry of Environmental Protection (MEP).