EIA Manual Activity 3.C

Transcription

1 The European Union s IPA 2010 programme for Albania Technical Assistance for Strengthening the Capacity of the Ministry of Environment in Albania for Law Drafting and Enforcement of National Environmental (EuropeAid/130987/C/SER/AL) EIA Manual Activity 3.C Final Document This project is funded by the European Union

2 Project title: Technical Assistance for Strengthening the Capacity of the Ministry of Environment in Albania for Law Drafting and Enforcement of National Environmental Project number: Europe Aid/130987/C/SER/AL; Contract no. 2011/ Country: Republic of Albania Beneficiary Contractor Name: Ministry of Environment Grontmij A/S Address: Durresi Str, Nr 27, Tirana, Albania Granskoven 8 DK-2600 Glostrup Contact Person: Ardiana Sokoli Paolo Bacca Phone: Ardiana.Sokoli@moe.gov.al Paolo.Bacca@selea.al Date of Report: June 2014 Title: EIA Manual Authors: QA/QC Breda Howard, Alma Bako, Erjola Muka & Kurt Terpgaard-Jensen Paolo Bacca Acknowledgement The project team wishes to express its gratitude to all resource persons and experts from all institutions and stakeholders involved in the collection of data and information and to all persons and bodies that have supported the development of this Working Paper. Special thanks are extended to the directors of the Ministry of Environment and the National Environment Agency. This report has been prepared by a project team working for Grontmij. The findings, conclusions and interpretations expressed in this document are those of Grontmij alone and should not in any way be taken to reflect the opinions and policies of the European Commission. 2

3 TABLE OF CONTENT 1 INTRODUCTION PURPOSE AND USE OF THE MANUAL 4 2 ENVIRONMENTAL IMPACT ASSESSMENT WHAT IS EIA? SCOPE OF EIA EIA PROCEDURE AND DOCUMENTS NEA DECISIONS ON EIA (EIA DECLARATION) 6 3 LEGAL REQUIREMENTS 8 4 ROLES AND RESPONSIBILITIES KEY PUBLIC STAKEHOLDERS OTHER PARTIES IN THE EIA PROCESS 11 5 NEA s ADMINISTRATION OF THE EIA PROCESS NEA`S ROLES & RESPONSIBILITIES TRANSBOUNDARY ISSUES 15 6 EIA PROCESS PRELIMINARY EIA PROCESS PROFOUND EIA PROCESS 23 7 EIA REGISTRATION FORMAT 38 REFERENCES 40 ANNEX 1 PROJECTS SUBJECT TO PROFOUND EIA PROCEDURES 41 Annex 2 - PROJECTS SUBJECT TO PRELIMINARY EIA PROCEDURES 44 Annex 3 CONSIDERATION OF ALTERNATIVES AND APPLICATION OF MULTI-CRITERIA ANALYSIS IN EIA 47 Annex 4 - ECONOMIC VALUATION OF COSTS AND BENEFITS IN EIA 65 Annex 5 - DEALING WITH MITIGATION AND BEST AVAILABLE TECHNIQUES IN EIA 73 Annex 6 - DEALING WITH HAZARDS AND OTHER ABNORMAL EVENTS IN EIA 90 Annex 7 - MANAGING UNCERTAINTY IN EIA 98 Annex 8 EIA APPLICATION FORMAT 99 ANNEX 9 FORMATS OF ENVIRONMENTAL DECISION AND DECLARATION 110 ANNEX 10 - TERMINOLOGY 117 3

4 1 INTRODUCTION The present EIA Manual is designed to provide practical and detailed technical management tools to environmental impact assessment (EIA) NEA practitioners and external experts on technical issues arising from the requirement to review and make decisions on EIA applications. The Manual is based on Law No , dated On Environmental Impact Assessment. After the entry into force of the new Law on EIA, which in June 2014 is in process of approval in Parliament, National Licensing Center (NLC) will not be part of the EIA process any more. The Manual contains technical information and explains the roles and responsibilities of the different stakeholders. The Manual have a number of annexes with detailed technical information for specific challenges in the EIA process PURPOSE AND USE OF THE MANUAL The purpose of the Manual is to provide a management tool for the Environmental Impact Assessment process in Albania and to facilitate an efficient EIA application process for each project submitted for approval. The ultimate goal is to provide a high level of environmental protection, through prevention, minimization and compensation of the damages to environment from the project proposals, prior to their development consent and to guarantee an open decision making process during identification, description and assessment of the adverse significant environmental impacts in an appropriate time and the involvement of all interested parties. Stages of the preliminary EIA application process and stages of the profound EIA application process are described in details step by step supported with Tables and Checklists from start to completion. A Register Format is provided to show at a glance key data to make available the current status and numbers of all EIA Applications, preliminary and profound in the system. Utilising the Manual will allow the officials and managers in the EIA system to quickly assess progress and effectively manage the complex multiple deadlines, information, and consultation required to manage EIA applications at all stages in the process. The Manual can be used in hard copy format. However, the format has been designed to facilitate an electronic format to allow official users in the system to assess information on the status of application(s) in real time. The Manual is part of efforts to improve the environmental impact assessment procedures to ensure the environmental assessment process takes comprehensively place in the most efficient manner. The use of the Manual: The Manual sets out step by step Tables and checklists which show exactly what is required from each of the parties responsible for administration of the preliminary and profound EIA process. This is done through clear definition of roles and responsibilities and how each party can fulfil its obligations and meet strict deadlines set out in the legislation from the start to the conclusion of the process. Annexes supplement the main text of the Manual. 4

5 2 ENVIRONMENTAL IMPACT ASSESSMENT EIA is the environmental assessment in a process of assessments (environment, spatial planning, construction, etc.) that will eventual lead to a Development Consent. The purpose of an EIA is to provide information for decision-makers and the public on the environmental consequences of a proposed development activity WHAT IS EIA? Impact Assessment is essentially about answering key questions: A. What will the environment be like without the project? (i.e. Baseline Studies). This will identify and describe the current condition of resources and features present in the environment that could be affected by the project and how these will develop in the absence of the project. B. What will happen to the environment as the consequence of a project? (i.e. Prediction). This will describe the environment as it is without the project and how it will change as a consequence of the project in terms of the environmental resources or people (the receptors) that are affected, the nature and the scale of change, its geographical extent and timeframe. C. Does this matter? (i.e. Evaluation). Predicting an impact is not enough. Most decision-makers (and certainly the majority of competent authority staff and external stakeholders) do not have the expertise to understand what the technical findings of impact predictions really mean. They also need information to allow them to judge how important (significant) the impact is, so that this can be weighed up against the other costs and benefits of the project in making a decision on whether it should be allowed to proceed. D. If it matters can we do anything about it? (i.e. Mitigation). Finally it is important to understand whether, if an impact is significant, anything can be done to avoid, reduce, remedy or compensate for it. The project developer can then include these measures in the project proposals and the competent authority can include the related requirements in the conditions on the grant of consent. E. In order for competent authorities and external stakeholders to decide if a projectshould go ahead, it is essential that the environmental information provided by the developer in the EIA report (1) clearly answers these questions. The aim of EIA studies is therefore to generate and present this information in a clear, coherent and accurate manner SCOPE OF EIA The idea about EIA is to provide information for decision-makers and the public on the environmental consequences of proposed developments. Moreover the idea is to promote environmentally sound development through the identification of appropriate enhancement and mitigation measures. The principle objective of the EIA is to identify potentially significant environmental impacts of new individual development projects. Within this aim, the EIA process seeks to: consider alternatives for location and their associated environmental impacts improve the environmental design of the proposal; ensure that resources are used appropriately and efficiently; 5

6 identify appropriate measures for mitigating the potential impacts of the proposal; and setting environmental conditions for construction; and facilitate informed decision making, including setting the environmental terms and conditions for implementing the proposal EIA PROCEDURE AND DOCUMENTS An important distinction is made between: The legislative EIA Procedure: this is the sequence of actions, which must be undertaken by developers, competent authorities and consultees to meet the requirements of the EIA Directive and of the domestic legislation in Albania. The EIA report: the EIA report is the document, which must be submitted by the developer with the development consent application and which describes the project, its environmental impacts and the mitigation measures to be implemented in order to minimise the impacts. The EIA Studies: these are the surveys, investigations and analyses carried out byor on behalf of the developer to prepare the information that must be included inthe EIA report. The EIA studies will involve baseline studies, prediction and evaluation of impacts and development of mitigation DECISION ON EIA National Environmental Agency (NEA) reviews and assesses the EIA applications and at the end of each EIA procedure, preliminary or profound, issues a Decision for preliminary EIA, and regarding profound EIA issues an Environmental Declaration with respective recommendations and sends it to the Ministry. At the end of process, the decision consists in: Decision issued by NEA at the end of preliminary EIA Environmental Declaration Endorsed by the Minister at the end of profound EIA Decision The Decision of NEA at the end of preliminary EIA procedure defines if a project listed in the Annex II of the EIA Law is subject to profound EIA. Otherwise such Decision defines the reasons and considerations where this opinion is based, the opinion of the consulted institutions and the description, case by case, of the proposed measures to eliminate or mitigate potential adverse environmental impacts. Environmental Declaration The final result of the profound EIA assessment process is the Environmental Declaration that may contain a rejection or approval with recommendations for the Planning Authority to continue the process on the specified environmental conditions. Annex 9 hereto contains the Decision and Environmental Declaration Formats. The Environmental Declaration serves as an orienting document for the planning authoritiesand/or any other responsible decision making authority for a development permit or any other permit included in the category III.1 of the Annex to Permits and licenses in the Republic of Albania Law. Decision of the Planning and Licensing Authority 6

7 The Planning Authority or the responsible authority for licensing, when decides to grant or not the development consent/license, or to define conditions for the developer, takes into consideration the Decision and the Environmental Declaration for the environmental impacts of a proposed project. 7

8 3 LEGAL REQUIREMENTS The scope of the EIA Law is to define requirements, responsibilities, rules and procedures for the assessment of the adverse significant environmental impacts of the proposed projects, private or public. According to Envronmental Protection Law, the environmental impact assessment for a proposed development project is the assessment of potential significant environmental effects of this project on environment. During the EIA process there are identified, described and proper assessed the effects on the environment of a project, defining potential direct and indirect impacts on soil, water, the sea, air, forests, climate, health, flora and fauna, natural landscape, cultural heritage, taking into consideration the interaction between impacts. Environmental impact assessment implies the preventative principle since the initial phase of the project design, aiming the elimination or minimization of the negative impacts on environment, through harmonization with environmental carrying capacity. An environmental impact assessment is also carried out and reported by the developer, as part of the preparations for the development of the project design before applying for the development consent. The Albanian EIA Law, transposing the EIA Directive, aims to provide a high level of environmental protection through prevention, minimization and compensation of the environmental damages from the proposed projects before the development consent and guarantee an open decision making process during identification, description and assessment of the significant environmental effects, at the right way and timeand involvement of all interested parties. This law is intended to be applied for the proposed public or private projects, which may cause direct or indirect negative significant effects on the environment by virtue of their size, nature or location. General legal Requirements of Environmental Impact Assessment of a Project: The environmental impact assessment includes the definition, description and assessment of the expected direct and indirect environmental impacts in case of implementing or not implementing the project. The environmental impacts of project shall be assessed in relation to the state of the environment in the affected territory at the time of submitting the relevant environmental impact assessment report of the project. The environmental impact assessment includes the preparation, implementation, operation and its decommissioning including the results of liquidation thereof, as appropriate, and also decontamination or reclaiming of the area, if the obligation of decontamination or reclaiming (clean up) or return into its previous state, if it is laid down by the special regulation. Both normal operations and the possibility of accidents shall be assessed, as appropriate. Assessment of the project also includes the proposal of necessary measures to prevent, reduce, mitigate or minimize such impacts, or to increase the positive impacts on environment during the project implemention, including the assessment of the expected effects of the proposed measures. The projects that are subject to EIA are listed in the Annexes to the EIA Law (Annex I and Annex II). In order to decide if the proposed project is subject to any of these annexes or to which of the Annexes it falls, this depends on the nature of the proposed project, its scale, location and if it is likely to have 8

9 adverse impacts on the environment. To this end help the criteria set for assisting in deciding first whether EIA is required and if yes to which annex it belongs, while competent authorities such as environmental authorities or line ministries and institutions consulted during the process, decide on the significance of the environmental impacts. 9

10 4 ROLES AND RESPONSIBILITIES 4.1. KEY PUBLIC STAKEHOLDERS NLC 1 NLC is the National Licensing Center. The NLC receives applications, forward them to the relevant Competent Authority and submit the response to the developer. NLC checks the administrative requirements are met and the Service fee is paid for. Ministry of Environment MoE drafts, reviews, issues legislation and regulations regarding EIA as well as guidance documents, guidelines on best EIA practices, sectoral guidelines, etc. During the EIA procedure, NEA and Ministry, according to their competences, consult the relevant institutions defined in the Environmental Impact Assessment Law. MoE publishes an annual report on the implementation of the EIA Law. NEA NEA is a national public institution under the Minister s of Environment authority and has under its jurisdiction the whole Albanian territory, through the central office and regional branches, the regional environmental agencies (REA s). Being responsible for the decision making process, NEA: decides whether projects would be likely to have significant effects; decides if EIA is required, preliminary EIA/profound EIA; defines the issues to be considered in the EIA report; reviews the applications; provides consultations with necessary institutions; defines the environmental permit conditions (requirements). Regional Environmental Agencies (REA s) Regional Environmental Agency (REA) located in the district (Qark) where the project is proposed to be implemented seeks the opinion from the government and local institutions in the Qark. REA where the project is proposed to be implemented sends a copy to the representative of the relevant institutions in the Qark and to the local government unit that administers the territory of the proposed project. REA forwards to NEA the outcomes of the consultation process. REA is present on the day of the public hearing and has a supervisory role, by recording independently the opinions and the requests from the public meeting and parties present. Within five days from the end of the hearing, REA convey the information to NEA about how the procedure is implemented and the opinions and requirements of the public and the parties present. The information from the REA is immediately published on the website of NEA. State Environment, Forests and Waters Inspectorate The Planning Authority and other institutions licensing the activities subject to the EIA Law, inform immediately the Ministry of Environment regarding the decision taken on the approval/refusal of 1 Should be considered until the entry into force of the new Law on EIA 10

11 the development consent, in order to enable the monitoring and implementation of the environmental requirements during project implementation, as well as drafting of the report on EIA Law implementation. The State Environment, Forests and Waters Inspectorate is responsible for undertaking necessary actions according to the EIA Law, for the provision of compliance with the requirements defined in the constructions legislation provisions, for planned activities which are subject to the EIA Law. Planning & Licensing Authorities The relevant planning ministry and licensing authorities take into account Declaration issued and the relevant environmental conditions. Other revelant Ministries and Public Institutions the Environmental Ministries with responsibility for planning, protection of public health, agriculture, economic development and public infrastructure development submit their views/opinions on the application. Planning authorities and other institutions issuing permits for the projects which are subject to EIA, inform immediately the MoE for the approval of development permit/consent or not. The Public institutions provide necessary environmental information needed, requested expertise, opinions, comments etc. assisting the competent authorities in the decision making process. The institutions, depending on the type of the project which are responsible for permitting/licensing or responsible for natural and civil emergencies provide expertise, opinions and comments as well. Planning authorities and other institutions issuing permits for the projects which are subject of EIA, inform immediately the MoE for the approval of development permit or not, aiming the monitoring of environmental requirements as result of project development and the preparation of the law implementation report. The Ministries of the respective countries cooperate in case of transboundary EIA s OTHER PARTIES IN THE EIA PROCESS Developer Responsible on behalf of the developer of the project is the person or public authority that applies for development consent for a private or public project. The developer submits the application and accompanying documentation at the National Licensing Center (NLC) in compliance with legislation in force. The developer: notifies NEA in the early stages of project development (project idea stage) accompanied by the necessary information; despite the EIA Law provisions, may seek preliminary opinion from NEA, if the proposed project is subject to the EIA Law; submits to the NLC the application and accompanying documentation; prepares the necessary documentation; in case of profound EIA, informs the public and carries out consultations with interested public on environmental impact assessment of the proposed activity; submits the information on public information and consultation as part of the application for Environmental Declaration; having prepared the profound EIA report, notifies NEA for the organisation of public hearing; having conducted public hearing and developed the profound EIA report submits the necessary documents to the NLC. 11

12 The developer is responsible to implement all the requirements set in the Environmental Declaration. The developer is responsible during project implementation to carry out monitoring of the environmental impacts of the project, in accordance with the definitions of the Environmental Declaration and the applicable legislation. In case the project developer has changed during the EIA procedure, the new developer applies for a new EIA procedure. In case the developer has changed after the finalization of EIA procedure, the new developer, requests to QKL the respective change in the issued Environmental Decision/Declaration, depositing the requested documents according to the legislation in force. Certified EIA Expert The developer assigns a Certified EIA Expert licensed by the National Licensing Centre for EIA and environmental auditing or/and individuals certified by the Ministry for EIA and environmental auditing, for the preparation of the EIA report. Only the EIA report which has been signed by a certified private expert (EIA expert) shall be accepted as such report. However, such signature shall not remove any responsibility or liability of the developer as regards that report. The developer who intends to implement a project that is subject of proceedings of the profound EIA, reports since the initial stages of the project (project idea) accompanied by the information defined in the respective legislation. The preparation of the EIA report is the responsibility of the developer. The EIA expert assesses on behalf of the developer the significance of the environmental impacts, mitigating measures, preparation and submition of EIA report in compliance with legislation, guarantee the reliability of the information and compliance with conditions set in the consent. Public in general and NGO s The Public has the meaning given in the Environmental Protection Law No , dated which states that Public means one or more natural or legal persons, their associations, organisations or groups. The Public includes directly and indirectly affected people, public sector agencies, developers and others at local regional and international levels that may have an interest in the activity. Public concerned Article 5 of the EIA Law defines the Public concerned" as the public affected or likely to be affected, or the public who is interested environmental decision making, including environmental NGOs expressing interest. The Public concerned are all the people with an interest in environmental decision making based on a development project's location and/or type, all those affected or likely to be affected by the development project, and environmental Non Governmental organisations (NGOS). The concerned Public includes all the people who may be directly or indirectly affected by the proposed development. They will include all the residents around the proposed site, any people within range of pollution or nuisances from the site, and others whose livelihoods may be affected such as landowners, business operators and owners, clubs and societies. NGOs that have an interest in an issue that may arise during the EIA may also request to be considered to be part of the affected public. The EIA process is structured to identify and involve the affected public as early as is reasonably practical. 12

13 5 NEA S ADMINISTRATION OF THE EIA PROCESS 5.1. NEA`S ROLES & RESPONSIBILITIES NEA is the overall coordination body for the whole EIA process and for the provision of compliance with legislation in force. NEAs key Roles NEA checks the information submitted by the developer and consider if it is unsufficient. NEA communicates with NLC and requires the completion of missing information with related legal and technical reasons for a request. NEA reviews the EIA in accordance with EIA Law and the criteria of the DCM No. 13 dated "On the rules, responsibilities and deadlines for the development of environment impact assessment procedure", as well as best EU practices. NEA recommends conditions that are binding on the developer and will provide the basis for a legal contract that sets out the responsibilities of the developer and any contractors or partners who may later be involved in construction and operation. At the end of profound EIA process, NEA prepares the Environmental Declaration and submits it at the Ministry. NEAs detailed Roles: Assesses the applications and decides whether the proposed project should or should not be subject to the profound EIA procedure. NEA carries out consultations and makes a decision on the preliminary EIA. Following the respective procedures and relevant deadlines, NEA s decision is notified to the NLC, the Ministry and institutions consulted and a copy is published in the National Register of Permits and Licenses; Assesses the application and determines whether the proposed project, due to the potential significant impact on the environment, should be subject to a profound EIA procedure. If the information provided by the developer is not in accordance with requirements the NEA communicates this to the NLC and requires the completion of the missing information;requests opinions on the application from other institutions, consultations with other Institutions (other institutions depending on the type of the project are responsible for permitting/licensing or responsible for natural and civil emergencies), Regional Environmental Agency (REA) in the qark where the project is proposed to be implemented and which are instructed to seek the opinion from the government institutions in the Qark where the project is proposed. These institutions provide necessary environmental information needed, requested expertise, opinion, comments etc. assisting the competent authorities in the decision making process; Publishes the application. In order to inform the public and NGOs, NEA publishes the preliminary EIA application on its website. The publication outlines the procedure and the expected timing of the publication of the NEA decision in the National Registry of Permit and Licenses; Takes decisions and notifies the NLC, MoE and institutions consulted. Publishes the decision in the National Registry of Permits and Licenses; In case of profound EIA, communicates with the developer on the issues to be included in the profound EIA report. Publishes the communication with the developer at NEA s website and a copy is submitted to the consulted institutions; 13

14 Carries out public hearing with public and interested NGO-s during profound EIA procedure, seeking their opinion during the decision making process. Public hearing is carried out in cooperation with local government unit (LGU) and the developer. NEA, after the developer s notification for the organization of public hearing, requests REA s collaboration with LGU and project developer for the realization of public hearing; Reviews the documentation delivered by NLC for granting the Environmental Declaration which is issued by the minister. The Environmental Declaration is submitted to the NLC, consulted institutions, and a copy is immediately published in the National Register of Permits and Licenses. NEA is responsible for: Consultations with other institutions, the public and NGO s on the issues to be addressed in the profound EIA report; Communication with the developer on the requests of the consulted parties for the issues to be addressed in the profound EIA report, determining the Content of the profound EIA. In this regard, NEA is responsible for consultations with other institutions and the publication of the application. NEA requests an opinion on the application; Consultations with MoE (departments/sectors) aiming to ensure compliance with overall environmental strategy, environmental plans/programmes, concerns of specially protected areas etc; Consultations with MoE departments/sectors before finalization of the Environmental Declaration. Special Concerns Deadlines NEA coordinates with parties involved in the EIA process in compliance with the set timeframe/deadlines. The consulted parties, line ministries and their dependent structures, local government units, and instititions with responsibilities in the EIA process have to provide comments/opinions within the deadlines and their relevant functions and responsibilities. In case the above mentioned institutions do not reply within the deadlines, it means that they agree with the project proposal. No additional time is foreseen for the provision of comments from these institutions. The deadlines should be respected but proceeding with limited information may result in approval with later implications to environment. Potential non-compliances with approved strategic documents, plans or programmes may also result in later implications. To meet the deadlines of this procedure, the institutions with a responsibility or a role in the procedure, share to the extent possible the information for the project through electronic communications. If no request for additional information, the timeframe for the preliminary EIA procedure from the moment of application at NLC until the final decision is given in the Chapter 6 (Table 1 of 6.1.2). Details on deadlines are given in the tables of Chapter 6 EIA process. In case the project which has been subject to EIA, does not start the implementation within a twoyear period from the approval date, all submitted documentation will be considered not valid and the EIA process should start from the beginning. Sanctions 14

15 The developer is in charge of legal responsibilities, according to legislation in force, in case of unproved facts, data presented and the documentations accompanying his application and when submits false documents or falsify the documents. In case of non professional and weak EIA reports, the minister applies sanctions for the EIA expert, temporary retrieval up to retrieval of the certificate, informing the NLC for the respective decission taken. Confidentiality If a developer considers that certain data in the documentation requested by the EIA procedure are confidential, this is communicated to NEA and NLC at the moment of documentation s submission which contains the confidential information. If the NEA and NLC are notified in advance by the developer for the preservation of confidential data then they are obliged to implement the requirements of the relevant legislation under the provisions of Law No. 9901, dated "On commercial companies", Law no dated "On protection of personal data", Law no. 9380, dated "On copyright and related rights", as well as Law no. 9947, dated "On Industrial Property. Deadlines related to the confidential data protection and administration, there are not counted (added) in terms of the EIA procedures implementation under this Decision. Exclusions The projects of the national defence, where it is identified that the EIA for these projects is against the national defence aims, are excluded from the EIA procedure. The Ministry of Defenece in cooperation with the MoE sets up a working group, which case by case approves these projects and recommends the necessary measures to mitigate and prevent adverse environmental impacts. Public Hearings NEA, after receiving the notification of developer, requires REA to cooperate with the local government unit and the developer to realise the public information requirements. In case of profound EIA, NEA: Carries out public hearing with public and NGO s in cooperation with LGU s and developer;reviews the profound EIA; Publishes the Non-Technical Summary on its website aiming the public, NGOs and other interested parties, give their opinions before the Environment Declaration is issued. Appeal Each party has the right to an administrative appeal, by request in the NLC, against acts, actions or non-actions during the development of EIA procedure in accordance with the requirements of article 25 of Law no , dated "On environmental impact assessment" and according to article 30 of Law No , dated "On licenses, authorizations and permits in the Republic of Albania" TRANSBOUNDARY ISSUES In case NEA identifies potential environmental transboundary impacts from a proposed project, or in case of such notification is done by a neighbor country, immediately notifies the NLC and MoE. In case NEA is notified, or has received an EIA report from a neighbor country, for a project proposal that my have potential impacts in the Albanian environment, immediately notifies the MoE for 15

16 starting discussions with this neighbor country, procedures and timeframe for submitting opinions on the proposed project. 6 EIA PROCESS The private or public projects listed in the Annex I and II of the EIA law are subject to the environmental impact assessment, in compliance with the EIA law before the respective permit is issued by the responsible authority for the development of the project or not. The EIA procedure includes: a) Preliminary environmental impact assessment process; b) Profound environmental impact assessment process. Application The application should bes done according to the EIA Application Format, Annex 8 attached to this Manual, which should be completed by the developer for obtaining an Environmental Decision or Declaration. Preliminary EIA process Stage 1 Submission of application and accompanying documentation by the developer to the National Licensing Centre (NLC), initial administrative compliance check by NLC and transfer from NLC to the National Environment Agency (NEA); Stage 2 Initial technical check by NEA and consultation with other institutions and publication of the application; Stage 3 NEA notifies for the decision taken the, Ministry of Environment (MoE), the NLC, the relevant involved parties and publishes the decision at NEA s website. Profound EIA process There are five phases to profound EIA as follows: Stage 1 Notification by the developer of intention to submit a profound EIA; Stage 2 NEA consultation with other institutions, the public and NGOs on the issues they would like to be addressed in the profound EIA report; Stage 3 NEA communication with the developer on the issues the consulted parties require to be addressed in the profound EIA report; Stage 4 Development of the profound EIA report by the developer, and public hearings; Stage 5NEA prepares the Environmental Declaration and submits to the Ministry. The Minister signs the Environmental Declaration for approval or a refusal. The Environmental Declaration is submitted to the NLC and parties involved in the EIA process and is published at NEA s website. The basic document of the EIA proces is the environmental impact assessment report, which based on the potential significant impacts of the project, is: a) Preliminary environmental impact assessment for the projects of Annex II; b) Profound environmental impact assessment for the projects of Annex I. The most important aspects of the preliminary EIA process are the consultations with other parties and the decision if a profound EIA is needed. 16

17 Aiming better decisions on the need for EIA (preliminary or profound EIA), on the necessary information to be included in the EIA report for the provision of high quality EIA reports and better decision making it is necessary first to go through the Screening Checklist The Screening Checklist should be used to decide whether EIA is required based on the characteristics of the project, environmental sensitivity of the location and characteristics of the potential impact, while the Guidelines for the Assessment of Indirect and Cumulative Impacts as well as Impact Interaction should be used when defining and deciding oncumulative impacts and impact interactions. At the final stage of the preliminary EIA process, it is decided by NEA if a profound EIA Procedure is needed. In case a profound EIA Procedure is needed, a notification is submitted by the developer on the intention to submit a profound EIA. A very important aspect is again the consultation of NEA with other institutions, the public and NGOs on the issues that they wish to have addressed in the profound EIA report. While all above issues there are tackled in this Manual and EIA Guidance Manual, the technical issues arising from the requirement to review and make decisions on EIA applications are considered in this document and are focused on those issues which are important in EIA review and decision making but not covered elsewhere in a single guidance document. The aim is to form a starting point for development of a full suite of technical guidance on EIA which needs to be developed in Albania.The Annexes (Annex 3, 4, 5, 6, 7)contain the following technical aspects of EIA: Dealing with Alternatives and Multi-Criteria Decisions (Annex 3); Application of Cost Benefit Analysis (Annex 4); Consideration of Mitigation and Best Available Techniques (BAT), (Annex 5); Dealing with Risk in EIA (Annex 6); Managing Uncertainty (Annex 7). Before dealing with alternatives, cost benefit analyses, BAT etc., which are necessary for providing a context for such technical aspects, some general principles underpinning the EIA process there are introduced here: Baseline studies: The purpose of baseline studies is to identify and describe aspects of the environment that could be affected by the project. Once relevant aspects have been identified as much information as possible should be collected from existing sources. These may include government bodies, research institutes, non-governmental organisations, private companies and the general public. It is also important in characterising the baseline environment to think about how it will change in the absence of the project. The environment will change as a consequence of general trends and other developments the moving baseline and this must be taken into account in the assessment. This may require predictions (see below) to be made of the without-project (or noproject) situation. Predicting magnitude of impacts: Prediction is the activity of determining the nature and size of the impacts of a project on the environment (commonly referred to as impact magnitude). The impact of the project is the difference between with and without project situations and may need to be described. Many different types of methods can be used to predict these characteristics of the magnitude of impacts, including simple observations, e.g. counting, modelling by using simple and complex mathematical methods, physical representations etc. 17

18 In general rule predictions should provide quantitative information as far as possible, but it is usually also important to provide a qualitative description of what will happen as numbers only provide part of the information needed. Finally the predictions should also be accompanied by an assessment of the uncertainty attached to them so that the reader can judge how confident they can be about what will happen. Evaluating the significance of impacts: Prediction provides factual information about what will happen to the environment. Evaluation is the activity of placing those effects in context by explaining their importance or significance for decision-making. An impact can be identified as significant if, in the view of those undertaking the evaluation, it is important enough to be taken into account in the development consent decision, including the identification of conditions to be attached to the consent. The weight to be attached to the impact in reaching a decision will depend on the degree of significance of the impact. The evaluation made by the developer/eia expert on the significance of impacts, is reviewed by NEA. While developer/eia expert decides if an effect is significant and how significant it is, it is therefore important to explain the basis for this evaluation. Significance of the effects can be evaluated by reference to accepted criteria such as legal standards, policy guidance or good industry practice where these are available. The views of NEA, REAs, ministries and their structures, institutions and the public will also be relevant to the evaluation of significance. Where there are no accepted criteria, it is still important to provide a context for judging the importance of an impact and this can be done by cross-referencing the importance or value of the affected receptors with the magnitude of change expected as a result of the development. It is important that the basis for defining the magnitude of impact and the importance of the receptor be clearly explained in the EIA report. The magnitude of change is obtained from the predictions. Mitigating impacts: Once the impact has been identified as significant, the developer/eia expert should consider whether there are ways of mitigating the impact which would make the project more acceptable to NEA and other stakeholders. This will involve considering the feasibility and cost of different measures and deciding whether they are practical in the context of the specific proposal. This does not mean that all significant impacts must be mitigated, but where residual impacts remain after mitigation these will have to be weighed against the other costs and benefits of the project in deciding whether or not it should be given consent. According to the Albanian EIA Law, information to be provided by the developer in the Description of the proposed project includes information about the alternatives taken into consideration in terms of the project sites and technology to be used. The Annex 3 attached discusses the types of alternatives that may be relevant in the context of EIA, and sets out a framework for appraisal, comparison and choice between alternatives using Multi- Criteria Analysis techniques. Annex 3 provides further discussion of a particular subset of MCA methods, which use economic analysis to compare alternatives. NEA, being responsible for evaluating the applications, has to ensure that it addresses all the relevant environmental issues. During consultationswith other institutions on issues to be addressed in the profound EIA, NEA has to provide an effective consultation process. NEA has to clearly identify the parties and public to be consulted and seek their opinions and consult relevant institutions and identify any other important body which may be relevant for any specific project, whose opinion may be of great importance at this stage. Effective consultation means proper identification of bodies which really may influence in 18

19 the final decision, whose information/opinion may be necessary and important, institutions other than those mandatory to be consulted (ministries etc.). These institutions provide necessary environmental information needed, requested expertise, opinions, comments etc. assisting NEA in the decision making process. Important is the consultation with institutions which may give opinions on compliance of the proposed project with any approved plan or program in that area. Open dialogue improves the understanding of the project, the provision of any necessary information since the early stages of the EIA process, the consideration of the proper environmental issues, increases the effectiveness of the EIA process and better decision making. 6.1 PRELIMINARY EIA PROCESS The preliminary EIA is the first stage of the EIA process. According to Article 8 of the EIA Law the purpose of preliminary EIA is to identify the proposals that require a profound EIA. The preliminary EIA excludes from the process those proposals (the majority) that have no significant impacts, or a few well understood, readily controllable impacts, and for which EIA is unnecessary. The following Tables and Checklists will assist in the process which decides whether EIA is required for a particular project or type of project. The projects that are subject to preliminary EIA are: a) projects listed in the Annex II of the EIA law; b) any change or extension of a project listed in Annex I or Annex II already authorized, executed or in the process of being executed, which may have significant negative effects on the environment, and where that change or extension is not listed in Annex I; c) projects listed in Annex I which are undertaken exclusively or mainly for the development and testing of new methods or products and not used for more than two years; d) any project, whether listed in Annex I or II or not, which is not directly connected with or necessary to the management of a Special Protected Areas, but which is likely to have significant effects on that site either on its own or in combination with other plans or projects. In such a case the preliminary environmental impact assessment report shall additionally assess the implications of that project on that site taking account of the conservation objectives of that site. The preliminary EIA process is explained in the Flowchart below. 19

20 Phases Figure 1 Flowchart of the preliminary EIA process There are three phases to preliminary EIA as follows: Stage 1 Submission of application and accompanying documentation by the developer to the National Licensing Centre (NLC), initial administrative compliance check by NLC and transfer from NLC to the National Environment Agency (NEA); Stage 2 Initial technical check by NEA and consultation with other institutions and publication of the application; Stage 3 NEA notifies for the decision taken the, Ministry of Environment (MoE), the NLC, the relevant involved parties and publishes the decision at NEA s website Method The Tables and Checklists below need to be completed to conclude on the preliminary EIA Process. The Tables and Stages can be colour shaded to indicate work progress. 20

21 Table 1 Detailed responsibilities of NEA during preliminary EIA process Stage 1 Submission of preliminary EIA application and accompanying documentation Activities NLC within 4 days from the date of application receipt has to submit the valid application to NEA NEA assesses the application NEA s assessment and decision on the proposed project,if due to the potential significant impact on the environment, the proposed project should be subject to a profound EIA procedure or not Comments Deadline Met? Yes/No If No note reasons from NLC NEA defines if the project is listed in the Annex II of the EIA Law (Annex 2 attached to the Manual) or: Listed in a), b) or c) below? See Annex I of the EIA Law (Annex 1 of the Manual ), check against a), b) and c) below Yes, next check EIA application in accordance with requirements (see below) a)any change or addition to the projects listed in Annex I or II Check & confirm EIA approval under the EIA Law b)annex I projects undertaken exclusively or mainly for testing and development of new methods or products not been used for more than two years Check EIA Law Annex I Check project status accords with requirements Yes, next check EIA application in accordance with requirements (see below) Yes, next check EIA application in accordance with requirements (see below) c)projects listed or not in Appendix I or II, who have no direct impact or are not necessary for the administration of special protection areas, but that, singly or in conjunction with other plans and projects, can cause significant adverse effects in these areas, cumulative impacts Check against Guidelines for the Assessment of Indirect and Cumulative Impacts as well as Impact Interactions Yes, next check EIA application in accordance with requirements (see below) Stage 2 NEA consultations with Other Institutions & Publication of the Application NEA defines if the application is in accordance with requirements of the DCM No. 13 dated "On the rules, responsibilities and deadlines for the development of environment impact assessment procedure" Check against information to be provided for the preliminary EIA, Checklist below (Checklist 6.1.3) NEA within 5 days of EIA applicatiodn receipt from NLC, submits the application for consultations with: Ministry of Planning, Protection of Public Health, Yes, proceed to Stage 2 below No. Missing information? Communicate with NLC to request missing information. Answers received: Yes/No If No provide reasons 21

22 Agriculture Economic Development Public Infrastructure Development NEA consultations within 5 days of EIA application receipt from NLC, consultations with; other institutions which are responsible for permitting/licensing or responsible for natural and civil emergencies NEA consultations within 5 days of EIA application receipt from NLC with: Regional Environmental Agency (REA) in the district/qark where the project is proposed Publication of the preliminary EIA Application NEA within 5 days of EIA application receipt from NLC publishes on its website for 20 consecutive days the preliminary EIA application Answers received: Yes/No If No provide reasons Answers received: Yes/No If No provide reasons Yes/No If No provide reasons Stage 3 Decision taken by the NEA Check based on the auxiliary criteria of the Annex l of the DCM No. 13 dated "On the rules, responsibilities and deadlines for the development of environment impact assessment procedure" (Stage 3, Appendix I below), based on the following components:characteristics of the Project Environmental features of the project area (Environmental Sensitivity of the Location) Characteristics of the Potential Impact Opinions and requirements of the consulted institutions Reference, Annex l of the DCM No. 13 dated "On the rules, responsibilities and deadlines for the development of environment impact assessment procedure" (Annex I below) NEA s Decision Cumulation with other projects NEA s Decision: Project subject to profound EIA? No/ Yes Within 5 Daysfrom the deadline NEA s decision on the preliminary EIA will be notified to the NLC, the MoE, relevant involved parties and publication of the decision at NEA s website Reference Guidelines for the Assessment of Indirect and Cumulative Impacts as well as Impact Interactions No, end of procedure Yes, proceed with profound EIA procedure below 22