Scheme for Accreditation of EIA Consultant Organizations QUALITY COUNCIL OF INDIA

Transcription

1 Scheme for Accreditation of EIA Consultant Organizations QUALITY COUNCIL OF INDIA

2 TECHNICAL SESSION 1

3 Quality Council of India Objectives 1. Establish and maintain accreditation structure in the country 2. Provide right and unbiased information on quality & related standards 3. Spread quality movement in India 4. Represent India s interest in international forums

4 Governance Council 38members with representation of Government, Industry, Technical institutions and Consumers. Governing Body 17 members out of the council Chairman - appointed by the Prime Minister on recommendation of the Government & Industry. Present Chairman: Shri. Arun Maira, Member, Planning Commission.

5 Structure of QCI Quality Council of India National Accreditation Board for Certification Bodies (NABCB) National Accreditation Board for Hospitals & Healthcare Providers (NABH) National Board for Quality Promotion (NBQP) National Accreditation Board for Testing and Calibration Laboratories (NABL) Quality Information and Enquiry Service National Accreditation Board for Education and Training (NABET)

6 Background of Scheme August 2007 Launched as voluntary Scheme December Made mandatory by MOEF August About 100 Organizations given full or provisional accreditation

7 Basic Features of Scheme 1. Human Resource EIA Coordinator : Key person. conceives and coordinates all activities. Clear concept of EIA and knowledge of relevant rules & regulations. Domain knowledge of the sector Broad understanding of the env. aspects of the sector Ability in planning, selecting and guiding the EIA team Maturity & leadership quality

8 Basic features of Scheme (contd.) Functional Area Experts : Specialists in knowledge areas like Water pollution, Air pollution, Ecology, Socio Economy etc. Identification and assessment of impacts Suggesting/ vetting mitigation measures 2. Systems & Procedures 3. Field Investigation & Data Integrity 4. Commitment of organization for quality of EIA

9 Qualification & Experience EIA COORDINATOR - Qualification Bachelor s (graduate) degree or equivalent in technical subjects such as Engineering/ Architecture/ Environmental Planning/ Town Planning and the like from a UGC /AICTE recognized University/ Institution or Master s (post-graduate) degree in Science and other subjects - Physical/ Environmental/ Life Sciences/ Social Sciences/ Economics/ Management from a UGC/AICTE recognized University/ Institution.

10 EIA Coordinator - Experience EIA related Minimum 7 years work experience related to EIA in one or more of the following: as an EIA Coordinator as a Functional Area Expert assisting the EIA team as a team member supporting the EIA Coordinator as a professional in the EHS or the concerned department of the project proponent getting EIAs conducted by external consultants in the role of appraisal of EIA reports as a regulator/ appraiser/ academician. EIA related experience during teaching and/or PhD work may be considered, if found relevant

11 EIA Coordinator Experience (contd.) Sector specific (for each Sector applied for) Any one of the following: 3 completed EIAs* in the Sector 3 Environmental Assignments (monitoring, auditing, performance evaluation etc) Minimum one month s time spent in the sector during assignment. Environmental monitoring for EIA cannot be separately shown 3 in combination of the first two. 2 years experience as employee in EHS/ Operations/ Maintenance/ Projects department

12 Completed EIA Report approved by concerned Regulatory Authority (EAC/SEAC) Report submitted to Regulatory authority for consideration (for those which do not require public consultation) Public consultation completed, awaiting consideration by EAC Report submitted to concerned agency for public consultation

13 Qualification & Experience FUNCTIONAL AREA EXPERT - Qualification Bachelor s (graduate) degree or equivalent in technical subjects such as Engineering/ Architecture/ Environmental Planning/ Town Planning and the like from an UGC / AICTE recognized University/ Institution in specific disciplines as mentioned against each functional area or Master s (post-graduate) degree in Physical/ Environmental/ Life Sciences/ Social Sciences/ Economics from an UGC/AICTE recognized University/ Institution in specific disciplines as mentioned against specific functional areas

14 Functional Area Expert - Experience Category B - Min. 3 yrs exp. in the FA/s 1 year out of above related to EIA Balance in consultancy/teaching/phd and the like. Category A Min. 5 yrs exp. in the FA/s 3yrsoutofaboverelatedtoEIA One assignment for Cat. A project Balance in consultancy/teaching/phd and the like.

15 Associate FAEs Persons with < 3 years overall experience Good knowledge of concerned functional area/s Must score > 60% marks in interaction with NABET Assessors May work as an FAE for Cat. B projects under guidance of an approved FAE Would need to go through normal assessment for up gradation of status

16 Functional Areas 1. Land Use LU 2. Air Pollution Monitoring, Prevention & Control AP* 3. Meteorology, Air Quality Modeling & prediction AQ 4. Water Pollution Monitoring, Prevention & Control WP * 5. Ecology & Biodiversity EB* 6. Noise &Vibration NV 7. Socio- Economic Aspects SE* 8. Hydrology, Ground Water & Water Conservation HG 9. Geology GEO 10. Soil Conservation SC 11. Risk & Hazards Management RH 12. Solid & Hazardous Waste Management SHW* (including Municipal solid wastes) (HW/SW/MSW) * Core functional Areas

17 Minimum Requirements Experts : Min 3 in-house (full time employees) 1 In Hse EC (approved) + 2 other In Hse FAEs (approved) Together, they should cover Core FAs Functional Areas : Min 3 FAs approved for provisional accreditation. May be given 3 months time to cover the balance FAs to get full accreditation

18 Field Investigation Quality primary baseline data is crucial for EIA reports. Primary data includes Physical environment like air, water, soil, noise etc Biotic environment Social environment including resettlement and rehabilitation (R&R) plan Having a detailed feel of the proposed site of the project is of utmost importance. Site visits by EC and relevant FAEs Location, type and collection of samples

19 Laboratory Arrangement (Internal or External Laboratories) Procedures to be in place for Guidelines of assigning the work to a particular laboratory Collection methodologies and preservation of such samples Should preferably be NABL accredited or MOEF recognized If laboratory is not accredited or MOEF recognized* Equipment and facilities to cover all parameters to meet EIA requirements Competence of Laboratory Staff Procedures for laboratory safety and env. Management Calibration of equipment and Sampling Details as per Annex III of Scheme *must have arrangement with NABL/MOEF recognized lab. prior to first SA Scope to include Ambient Air Quality Stack emissions Water & waste water quality Soil characteristics Noise monitoring

20 Quality Management System One of the Scheme s objectives is to bring a system based approach to EIA making in the country The content of the Quality Manual to reflect the following aspects: 1. Quality Policy 2. Control of records and documents 3. Performance Measurement and Review 4. Actions taken to address Non-Conformance 5. Identification, retention and assessment of performance of empanelled experts 6. Collection of primary data 7. Collation, synthesis and interpretation of secondary data 8. Work outsourced 9. Laboratory work including calibration of equipment and lab safety 10. Complaints and appeal

21 Important points to be considered while applying 1. Experts proposed must meet qualification and experience requirements 2. An EC - maximum of 5 Sectors 3. A FAE - maximum of 4 FAs 4. An expert may be proposed both as an EC and a FAE, provided s/he meets the Scheme s requirements 5. Min 3 eligible In Hse experts One EC and two FAEs. Together they should cover Core FAs 6. CVs in Formats IV, IV A and IV B. 7. IVA & IVB must mention specific exp details (main reason for delays) 8. All 12 FAs must be covered in application. In Hse experts for 5 core FAs 9. QMS to address the all procedures mentioned in Annexure VII 10. Laboratory details 11. Documents as per Checklist

22 Assessment Process Assessment for Initial Assessment for Accreditation Surveillance Assessment after 1 st & 2 nd years After 3 rd year, Re-accreditation based on Initial Assessment process Stages of Assessment For both, Initial & Surveillance Assessments Stage I checking the completeness of the application/documents by the NABET secretariat. Stage II technical assessment of documents by the PA Stage III office assessment including the interaction with experts by the PA & AA

23 Marking Criteria Initial Assessment S.No. Item Marks 1 Quality of personnel based on interaction i. EIA Coordinator/ s 20 ii. Functional Area Expert/ s 20 2 Development of and conformance to Quality Manual 15 3 Field investigation and laboratory work 20 4 Completeness of EIA prepared by Applicant 10 5 Organizational Evaluation (including office facilities) 15 Total 100

24 Basis of Marking EC FAE Knowledge of Sector/s Concept of EIA Knowledge of legislations Selecting EIA team Coordinating overall work Subject knowledge of functional area/s Ability to correlate env. aspects Assessment of impacts Suggest/vet mitigation measures

25 Basis of Marking (contd.) Quality Management System Whether all procedures mentioned Quality of contents of procedures Organizational awareness/knowledge about QMS

26 Basis of Marking (contd.) Field Investigation Familiarization with ground conditions Selecting EIA team, sampling location, type etc Methodology adopted for Biotic & Socio-economic surveys Laboratory Work Coverage of testing/analysis, laboratory procedures, knowledge of lab technicians, calibration of equipment & instruments, laboratory safety and env. management

27 Basis of Marking (contd.) Completeness of EIAs - TOR and its compliance Structure of EIA report Adequacy of information provided about site Quality & relevance of base line data Impact assessment & Management plans Organizational Evaluation Efforts made towards capacity building of ECs, FAEs & Lab Technicians Office facilities provided Commitment towards making quality EIAs Innovative approach adopted for improving the quality of EIAs

28 Accreditation Process Accreditation for 3 years subject to yearly surveillance assessment Accreditation given for two categories Category A Those scoring > 60% marks Can carry out EIAs for both, Category A & B projects as defined in MOEF Notification dated Sep 14, 2006 Category B - Those scoring 40% and more but < 60% Can carry out EIAs for Category B projects as defined in MOEF Notification Dated Sep 14, 2006 Individual Experts will also be categorized as A or B depending on their experience & assessment Those scoring < 40% marks can not be given accreditation

29 Some Addl points on Accreditation Movement of EC from one Accredited Consultant to another If an approved EC moves from one accredited Consultant A to another accredited Consultant B, the Sector/(s) approved for the Coordinator will not automatically add up to the scope of Consultant B The Consultant B needs to inform NABET of joining of the new EC NABET will issue a letter or a revised certificate confirming acceptance of the new EC only for Sectors originally approved for Consultant B. For incorporation of additional sectors (if any) with newly inducted EC, the Consultant needs to apply to NABET and join the queue.

30 Some Addl points on Accreditation (contd.) Movement of FAE from one Accredited Consultant to another In case an approved FAE moves from an accredited Consultant A to another accredited Consultant B, the functional area/(s) approved for her/him for the accredited consultant A may be utilized by Consultant B. The Consultant B must inform NABET of such arrangement within one month of the FAE joining them.

31 Modification of Scope 1. Prior to Initial Accreditation a. Sectors mentioned in Original application can not be changed. b. Any change/modification proposed will be considered as fresh application c. The Applicant will join the Q for consideration of such changes/modifications d. Processing charges shall be applicable as for initial assessment 2. After Accreditation a. An accredited consultant may submit requests for changes/modifications in scope or propose new experts b. A separate Q will be made for such requests c. These cases will be taken up as their turn comes in the Q or during the next Surveillance assessment, which ever is earlier d. Assessment for changes/modification in the scope shall follow the Initial Assessment process

32 Closure of Applications An application may be closed at any stage due to incompleteness/non-compliance with the Scheme 1. Stage I Minimum 3 In Hse experts (1 EC + 2 FAEs) Together, they should cover the 5 core FAs for being eligible for Stage II assessment* *As an interim measure AP, WP, SHW in-house expert SE & EB empanelled expert for 1 year To be in-house by 1 st SA.

33 Closure of Applications (contd.) 2. Stage II Closure of NCs/ Observations raised during Stage II Assessment within the specified time NCs/Obs may relate to experts, QMS, Laboratory arrangements etc Incomplete or vague replies can not be considered as those do not help in closing the NCs/Obs 3. Stage III Doc evidence/clarifications asked for, if any, must be submitted within the specified time (2 weeks). In case not recd, application will be sent to pending list Minimum 3 In-Hse approved experts and minimum 3 approved FAs Submission of false or misleading information may lead to closure of application at any Stage of assessment process.

34 Request for Review of Decisions The following procedure will be applicable 1. May be made by an Applicant or an Accredited Consultant for review of any decision taken by NABET. 2. To send request in writing to NABET accompanied by a DD of Rs 25,000/- to partially cover the costs to be incurred by NABET for arranging the hearing. 3. Requests should be specific in nature supported by documentary evidence. Requests of generic nature can not be considered. 4. Requests received will be recorded in the same serial as date of receipt and put up on the QCI website

35 Request for Review of Decisions (contd.) 5. Anonymous/ pseudonymous requests will not be entertained. 6. One special AC meeting is proposed to be organized every month to consider such cases. 7. Agenda of such meetings along with cases to be put up shallbepostedonqciwebsite. 8. Organizations making the request may present their case in person to the AC, if so desired by them. 9 Decision of the AC shall be intimated to the concerned organizations as well as posted on QCI website.

36 TECHNICAL SESSION 2 How to expedite the Assessment and Accreditation process

37 What are the bottlenecks where NABET gets stuck? 1. Incomplete Application (eg, In Hse EC not there, Core FAs not covered) Form 2. Lack of understanding of the Scheme (eg, an expert could be both, EC & FAE) 3. Delay/ Not submitting the specific details asked for (eg, QMS, Laboratory arrangement) 4. Incomplete or vague CVs (Annexure IV, IVA, IVB) 5. Giving partial information/clarification in response to queries raised by NABET 6. Repeating inadequate/vague response 7. Proposing ineligible experts in original application as well as in response to NABET queries in Stage I and F2 after Stage II 8. Delay in responding to NABET s queries

38 How to expedite the process 1. AO must study the updated version of the Scheme carefully 2. In case of doubts on any issue, AO to contact NABET before submitting documents 3. AO must submit complete information in its Initial Application as per Checklist (Annexure VI of the Scheme) 4. AO should ensure eligibility of proposed experts as per Scheme s requirement. 5. AO to submit specific information asked for against NABET queries at various stages 6. Sometimes a maximum of three months time is given to reply to NABET queries involving proposing new experts meeting Scheme s requirements. Replying before time to such queries will obviously expedite the process 7. Avoid postponing the dates of office assessment

39 Information with Application & Clarifications at various Stages 1. Stage I Completed application as mentioned earlier Experts proposed must meet qualification & exp. requirements Must meet minimum number of In Hse experts Point wise & complete reply to NABET queries 2. Stage II Specific response to NCs/Obs. raised by Assessor in F2 Special care in meeting requirements of experts Nos, Qual, Exp. May propose new experts to address NC/Obs in F2 Minimize redistribution of Sectors/FAs amongst experts

40 Information with Application & Clarifications at various Stages 2. Stage II (contd.) Clarity of employment status of experts to be clearly given Declaration as per Annex V (Rev 1) for all empanelled experts to be given NOCs for empanelled experts from University/Institutions/Societies to be clearly supplemented Due care in preparing Quality Manual Details as per Annex III for non-accredited lab and scope for NABL accredited/moef recognized labs 3. Stage III Clarifications & documentary evidence asked for during Stage III assessment All documents also to be furnished in soft copy as well

41 Details required in Annexures 1. Annexure IV (Resume) Experience of expert in chronological order giving years/ months Clearly specifying the general and EIA related experience 2. Annexure IV A Providing specific sectoral experience in terms of Industry/ Assignments/ EIAs Complete name/ category/ capacity of project, if applicable. To also specify if associated with EIA Role in project (EC/Team Member/FAE) 3. Annexure IV B Providing nature of experience for each FA for every project specifying the role in project Complete name/ category/ capacity of project, if applicable. To also specify if associated with EIA 4. Annexure V Rev. 1 Giving complete status of projects handled/ in process for applicant/ other organizations Clear status in terms of Association with other Organizations for NABET Scheme or other activities

42 TECHNICAL SESSION - 3 Surveillance Assessment

43 Issues to be considered for Surveillance Assessment 1. Compliance with conditions of accreditation 2. Field investigation and laboratory analysis implementation of systems and procedures to ensure data integrity 3. Quality Management Systems 4. Content & Quality of EIAs 5. Public Consultation 6. Performance of approved experts 7. Organizational Evaluation

44 Compliance to conditions of accreditation Timely information to NABET of changes in approved experts and their timely replacement Timely information to NABET of changes QMS, address, laboratory arrangement Inclusion of names of EC & FAEs involved, in EIA reports, in prescribed format Keeping records of attendance of employees and time involvement of empanelled experts Timely payments to NABET

45 Format Including names of EC and FAEs in EIA Reports

46 Field Investigations & Laboratory Work Involvement of experts in the field-work Sampling protocols followed Quality assurance and documentation of laboratory work Scope of coverage if the laboratory is NABL accredited or MOEF recognized Documentation on lab work for each EIA

47 Quality Management System More stress on implementation of & compliance to procedures developed To cover all the 10 procedures mentioned in Appendix 2 of Scheme Compliance to EIA related procedures shall be specially checked Identification, retention and assessment of performance of empanelled experts Field Investigation & collection of primary data Collation, synthesis and interpretation of secondary data Laboratory work including calibration of equipment and lab safety

48 Contents & Quality of EIAs No of times the Report was discussed by EAC/SEAC Observations by EAC/SEAC (to be assessed from their minutes) Comments related to covering the TOR Comments on identification & assessment of impacts Comments on completeness of EMP Comments on EMP monitoring plans Assessment by PA & AA of two identified EIAs Description of the project site Completeness & authenticity of baseline data Depth of treatment of social & ecological issues Soundness of EMP and monitoring plan Inclusion of risk assessment & disaster management plan Green belt plan (with a time frame & budget)

49 Public Consultation To be assessed from the Report & minutes of PC Description of activities Environmental & social impacts Any factual omissions Feedback on social and R & R issues Time bound Action Plan

50 Performance of approved experts EC Timely completion of EIA project/s Familiarization with ground conditions Completeness of Application Forms meeting requirements of MOEF/SEACs Completeness of TOR prepared Soundness of Environment Management Plan FAE Familiarization with ground conditions Due diligence in collecting primary data Identification of impacts Mitigative measures suggested

51 Organizational Evaluation Capacity building of experts, lab technicians & other staff Commitments for preparing quality EIAs Awards received, if any Innovative approach adopted

52 Stage of Surveillance Assessment Stage I: Checking Completeness of Documents by NABET Secretariat List of EIAs carried out during the year with names of the experts involved List of new experts joined/ proposed, Proposed re-distribution/ changes in sectors/ FAs amongst approved experts Copy of the Quality Management System manual, Details about laboratory arrangements, Copies of two EIAs (to be identified by NABET) Copies of the minutes of public consultation and EAC/SEAC meetings for the identified EIAs Information to be submitted in specific formats

53 Stage of Surveillance Assessment (contd.) Stage II: Technical review of documents by Principal Assessor PA to study documents and raise NCs/Obs Accredited consultant (AC) to respond NCs/ Obs. to be closed by Assessor based on AC s response Stage III: Office Assessment including interaction with experts by PA & AA TobecarriedoutatAC spremise Checking documentary evidences, Visit to the laboratory, Interaction with the CEO and experts involved in preparation of EIAs including laboratory and field personnel

54 Assessment Criteria Surveillance Assessment S. No. Item Marks 1 Compliance with conditions of Accreditation 10 2 Field investigation and laboratory analysis implementation of systems and procedures to ensure data integrity 15 3 Quality assurance organizational systems & procedures to meet Scheme s requirements 20 4 Content & quality of EIAs 20 5 Public consultation and due diligence on the outcome giving action plan 10 6 Performance of approved experts 10 7 Organizational evaluation 15 Total 100

55 Assessment Criteria Surveillance Assessment (contd.) 1. The AC must score minimum of 50 % in each of the above 7 items (1 to 7) for continuation of accreditation 2. If < 40% - accreditation will be withdrawn. 3. If 40% & above but < than 50% - alert letter to improve its performance in the concerned area/(s) before the next SA 4. If < 50% in the 2 nd SA, the accreditation will be withdrawn. 5. For approved experts, similar criteria as above 6. At the end of 2 nd year, the AC is expected to score 60% or above

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