Evaluation and future development of the EIA system in Albania

Transcription

1 MEDITERRANEAN ENVIRONMENTAL TECHNICAL ASSISTANCE PROGRAM Evaluation and future development of the EIA system in Albania A report prepared under the METAP EIA Institutional Strengthening Project February 2001 Prepared by Manchester University EIA Centre in cooperation and collaboration with the Rural Development, Water and Environment Department of the (Middle East and North Africa Region) and the METAP Regional Facility, Cairo.

2 Contents Executive Summary 1. METAP EIA project activities 2. Summary of the Albanian EIA system in relation to international norms 3. Legal and administrative framework for EIA 4. Operational and institutional implementation of EIA 5. Amendment of the Albanian EIA system for compatibility with international norms Annex. Summary of the Albanian EIA system and comparison with and European Union requirements A 2

3 EXECUTIVE SUMMARY An evaluation study was conducted to assess the current status of environmental impact assessment (EIA) in Albania and develop an action plan for institutional strengthening. The study was based on interviews and discussions with national and local government departments, industrial organizations, NGOs, universities and technical institutes. A questionnaire was also completed and relevant documentation studied. The legal basis for EIA in Albania is the 1993 Law on Environmental Protection which defines basic provisions and empowers the National Environmental Agency to specify those activities subject to assessment. The law covers pollution control and full EIA. To date, the provisions of the law have not been systematically implemented. An EIA Directorate was established in the National Environmental Agency (NEA). As well as being responsible for EIA, this directorate undertakes environmental licensing, inspection, and enforcement of environmental laws and standards. A small number of full EIA studies have been carried out for internationally-funded projects, but the directorate s main tasks relate to its other responsibilities. The principal need is to develop and implement effective EIA regulations. Other specific aspects of the EIA system requiring further attention include: Responsibilities of developers and regulatory authorities Pollution control Establishing expertise for conducting EIA studies Consultation with other government departments Strategic Environmental Assessment Awareness raising Screening and scoping Delegation of responsibility to the local level Compatibility with and other international environmental regulations. Recommended actions include developing and issuing detailed legislation for EIA, including appropriate mechanisms for screening; public participation; access to EIA reports; scoping; environmental management plans; implementation monitoring; content of EIA reports; pollution control; transboundary and global impacts; review of EIA reports; and the development of guidelines. A 3

4 1. METAP EIA PROJECT ACTIVITIES This report is based on work carried out under the METAP EIA Institutional Strengthening project. A one-week assessment took place March 15-21, This was followed by a training workshop with the National Environmental Agency June 28 to July 2,1999. Further details are given in METAP (2000), Institutional Strengthening of EIA Systems in METAP Countries: Pilot Project, Final Report, April The content of this report was derived from the final project report and updated from more recent information provided by the National Environmental Agency. 2. SUMMARY OF THE ALABANIAN EIA SYSTEM IN RELATION TO INTERNATIONAL NORMS The Albanian EIA system is summarized in the annex and compared with the World Bank s Environmental Assessment policy OP 4.01 and the European Union s Environmental Impact Assessment procedures detailed in Council Directive 97/11/EC. The annex also indicates possible changes to the Albanian EIA system that would be necessary to achieve compatibility with Bank procedures and consistency with the EU directive. These are discussed more fully in Section LEGAL AND ADMINISTRATIVE FRAMEWORK FOR EIA Legal provisions EIA in Albania is enabled by the 1993 Law on Environmental Protection which defines basic provisions and empowers the National Environmental Agency to specify those activities subject to assessment. These provisions have not until now been systematically implemented. No detailed legislation has been enacted, but draft EIA regulations were prepared in 1994, and are currently being revised in a PHARE assisted project. Under the 1993 Law, EIA is a pollution control instrument as well as a development planning instrument. Assessments have to be carried out periodically for existing activities as well as for development proposals, not less than once every five years. Administrative Framework The EIA system is administered by the EIA Directorate of the National Environmental Agency. This directorate is also responsible for environmental licensing, inspection, and the enforcement of environmental laws and standards. The agency has some 15 national staff in Tirana, of whom 5 are inspectors in the EIA Directorate. The NEA also has about 30 local staff in 13 prefectures. A 4

5 A small number of full EIA studies have been carried out for internationally-funded projects, generally under the procedures of the funding agencies and using foreign consultants. Apart from these, the EIA Directorate s efforts have been devoted primarily to its other responsibilities. Although Albanian scientific and technical institutions have been weakened by the upheavals of the past decade, considerable expertise exists in the fundamental disciplines required for thorough EIA studies. This expertise is located primarily in universities and scientific institutes, rather than in consulting firms. The National Environmental Agency has established a core of expertise appropriate to the administration of the EIA system. This expertise should be further developed, though its direction will depend upon the goals of the organization. Few NEA staff have had any environmental management education or training. Full implementation of EIA in Albania has become highly desirable to ensure sound environmental management of internationally-financed projects and of key Albanianfunded developments (e.g. coastal tourism). The action plan developed within this METAP institutional strengthening project is intended to contribute to this, alongside the development of detailed legislation being supported by PHARE. Guidelines and Procedures No guidelines or procedures for EIA have been developed. This is a priority need and initial work on developing guidelines was carried out during the training workshop associated with this study. 4. OPERATIONAL AND INSTITUTIONAL IMPLEMENTATION OF EIA During the assessment visit and to a lesser extent in the workshop, many observations regarding implementation of EIA in Albania were made by participants. Along with direct observations made by project staff, these form the basis of the following commentary. Status and Structure of the EIA System There is an apparent inconsistency between Articles 13 and 14 of the 1993 Law on Environmental Protection. Article 13 says that EIAs must not be carried out by the developer or their contracted consultants. However, Article 14 requires developers to submit information which, in general international terminology, amounts to an Environmental Impact Statement (EIS) similar to an EIA report. These two articles guide implementation of two distinct approaches to EIA, the first is based on procedures commonly used in the command economies of Central and Eastern Europe and the second on those of international funding agencies and most western countries. In the Commonwealth of Independent States (CIS, the countries of the former Soviet Union), the main part of the EIA process (State Ecological Expertise) is conducted A 5

6 by state appointed experts independent of the developer. In most western countries a market economy approach is followed in which developers are responsible for carrying out an EIA. This is then reviewed for suitability by state authorities and returned for revision if the assessment is insufficiently thorough. As part of Albania s transition toward a more market-based economy, the second of these two approaches will become increasingly appropriate. Articles 13 and 14 tend to be interpreted differently for different types of projects. For those funded by international agencies with their own EIA procedures, Article 14 is applied in full, requiring a full EIS, and Article 13 is applied as a review of that EIS. For other projects, more limited information is called for under Article 14, and the NEA conducts an EIA under Article 13, although its thoroughness has been restricted by a lack of adequate resources. In implementing EIA more fully in Albania, the NEA could, in principle, continue this dual interpretation by building up its own expertise to conduct and manage EIA studies. However, as described in the action group s report to the regional workshop, the NEA has decided to follow the route more commonly adopted in most countries outside the CIS. This entails calling for a full EIS regardless of a project s funding source and interpreting Articles 13 and 14 in the same manner for locally and internationally funded projects. This will require the NEA to build up its expertise for reviewing EIA studies, but not for managing or undertaking them. It will also require expertise for conducting EIA to be established elsewhere, in consulting firms and other organizations accessible to developers. This will necessitate an awareness raising and training program which encourages developers and consultants to obtain the necessary expertise for managing EIA studies and alerting them to the fact that their submissions will be rejected if they do not. Article 16 of the law makes some provision for developers to pay the cost of assessment by independent experts that would have been undertaken by NEA under the previous approach. This could be used to fund the NEA s review, monitoring and enforcement systems that need to be strengthened. However, this article is ambiguously worded and may not be enforceable. EIA and Pollution Control Under the 1993 Law on Environmental Protection, EIA covers both new projects and existing installations (including industrial pollution control). The regulatory and technical methods needed for these two aspects of environmental management tend to be quite different, although there are overlaps. Consideration should be given to defining these two aspects separately within NEA procedures, and also within future changes to the law. Drawing a clear distinction between EIA and pollution control would have advantages if Albania moves towards accession to the European Union whose Industrial Pollution Prevention and Control Directive is distinct from its EIA Directive and requires a complex set of additional processes to be put in place. While these are more A 6

7 comprehensive than those likely to be required in Albania in the immediate future, it may be advantageous to structure Albania s evolving pollution control system around this approach. Expertise for Conducting EIA Studies No established EIA consultancies exist in Albania, but a significant amount of technical expertise exists in the country s technical and academic institutions for providing individual specialist contributions to EIA studies. Some of these institutions may themselves be able to build the necessary skills for managing EIA studies, and/or provide specialist support to developers managing their own EIAs or newly established consultancies. The few EIAs that have been produced to date within Albania (i.e. not for international funding agencies) tended to be weak in the rigorousness of their impact prediction methods and justification of the conclusions drawn regarding impact significance. This may be addressed through the review process with a checklist of review criteria. Simple EIA procedures and guidance are needed for NEA staff, developers, consultants and other experts, stating who does what. These should cover management of the EIA system, and review of EISs submitted. Further guidelines should include guidance on the expected content and quality of Environmental Impact Statements (a review checklist and supporting guidance). This may be supported by sector-specific guidelines for particular types of projects, as experience with them builds up, starting with forestry as discussed below. An additional difficulty is that environmental data needed for EIA studies are lacking. However, if developers are given full responsibility for conducting EIA, this will ease the burden on the NEA for obtaining baseline data. A -funded forestry management project for the Ministry of Agriculture and Food is an example of an Albanian developer acquiring EIA management expertise. The Environmental Management Unit attached to the project, in cooperation with the NEA, is in the process of developing the necessary expertise, calling on specialist institutions for specific technical contributions. This project can serve as a valuable model for other sectors, including the development of sector-specific guidelines for EIA studies. Consultation with Other Government Departments Coordination between NEA and other relevant government bodies and institutes is widely regarded as weak. The concept of statutory consultees used in Western Europe also applies in the Albanian system but tends to be a formal exchange of official documents. A clear definition of the form of coordination expected, its purpose, and its timing, may help to make this more effective. In view of the relative strength of line ministries, the power of the NEA to reject unsatisfactory EIA reports is an issue. The non-confrontational approach of requesting A 7

8 additional information, rather than outright rejection of the report, may help to overcome this. Strategic Environmental Assessment Small scale developments such as coastal tourism, forest tourism, and small scale industry are important issues. These are all likely to play important roles in Albania s economic development. They cannot be handled efficiently by project EIA and are strongly dependent on the enforcement of planning controls ( illegal construction is a major problem). Coastal Zone Management and NEAP projects may be able to address the enforcement issue. And, provided that enforcement can be made more effective, a form of SEA may be applied in order to help establish appropriate norms for planning approval. A defined mechanism for close cooperation between NEA and planning bodies at national and local levels, during the plan-making process, may allow a form of SEA to be embedded in the planning process. Awareness Raising It was suggested that awareness raising at the highest levels of government is needed. The NEAP project should contribute to this. Key environmental issues include potable water quality, wastewater, interactions between the two due to defective sewers and water pipes, solid waste disposal, and hazardous and medical waste disposal. Some environmental improvement projects (e.g. solid waste disposal) have been rejected on economic grounds. The use of environmental economics in the EIA and economic appraisal of such projects may make a valuable contribution to the decision making process. Environmental economics expertise needs to be strengthened in Albanian academic institutions, as part of an overall awareness raising program. Other Issues The draft EIA law requires scoping to be conducted by the NEA. This is not currently being done and it is not required by the existing law. Consideration should be given to redrafting this part of the draft law to give the NEA the power to require extra items to be added to the scope, but placing the prime responsibility on the developer. The 1993 law does not define in detail which projects require EIA and which do not (screening). The draft EIA law includes screening requirements. To provide clarity until the new law comes into force, the NEA should consider issuing guidelines which define its approach to screening. This can be similar to the draft law which is based on the EU Directive but the screening lists and thresholds must be reviewed to reflect Albanian circumstances. The 1993 law allows the EIA authority to be divided between NEA at the national level and regional environmental authorities. The divisions specified in the draft EIA law will A 8

9 provide a sound basis for this but will require further review when the screening lists are reviewed. This review should ensure that, as far as possible, the division of EIA authority matches corresponding divisions of planning authority between national and local planning bodies. 5. AMENDMENT OF THE ALBANIAN EIA SYSTEM FOR COMPATIBILITY WITH INTERNATIONAL NORMS Many of the features of the Albanian EIA system are generally compatible with the corresponding features of Environmental Assessment policy OP 4.01 and are also consistent with European Union Council Directive 97/11/EC. However, there are differences in some requirements that still need to be addressed. These are summarized in Annex 1. Table 1 indicates the most significant differences and the actions that might be taken to address them. Except where stated otherwise, these recommendations apply only to full EIA studies. A 9

10 Table 1. Suggested Amendments to the Albanian EIA System Requirement Suggested action 1 Detailed legislation for Detailed regulations for EIA should be finalized and enacted EIA 2 Screening Screening lists should be included in regulations, defining project types which require full EIA and those subject only to a license. Screening procedures and criteria should be defined (this is consistent with the Bank s indicative lists). This may be achieved by adopting a similar approach to the EU s screening procedures. 3 Public participation The regulations should specify consultation with affected groups and NGOs 1) before the minimum scope has been finalized and 2) at the review stage. 4 Access to EIA reports Public access to EIA reports and means of commenting to influence project design should be specified in the regulations. 5 Scoping The general scope specified in OP 4.01 should be specified in the regulations. Requirements should be defined for reviewing and/or advising on ToR, including, where appropriate, a field visit by NEA staff and specific requirements for public consultation. 6 Environmental management plans Regulations should specify the submission of an Environmental Management Plan satisfying the requirements of OP Implementation monitoring Regulations should specify monitoring reports to be submitted to NEA after project implementation. There should also be provisions for NEA to undertake supervision visits similar to those conducted by the Bank. 8 Content of EIA report The regulations should specify the full report content given in the WB procedures. 9 Non-technical summary Regulations should specify that the EIA report includes a comprehensive executive summary 10 Alternatives The regulations should include requirements to consider alternatives. 11 Review of EIA reports Review criteria should be defined in official guidance for developers, covering all types of development. 12 Pollution control Pollution control measures should be specified in greater detail, for example by reference to the s Pollution Prevention and Abatement Handbook. Use of relevant measures should apply to all projects for which they are applicable, as well as to those requiring full EIA. 13 Guidelines General guidelines on EIA implementation should be developed in accordance with the regulations. Pending development of comprehensive sectoral guidelines, reference should be made to internationally recognized guidelines such as those of the World Bank. 14 Transboundary and global impacts Transboundary and global impacts should be included in EIA procedures and relevant regulations and enforceable procedures should be written, as in OP A 10

11 Annex. Summary of the Albanian EIA system and comparison with and European Union requirements Albanian EIA System EIA LEGISLATION AND PROCEDURES 1 Enabling legislation for EIA Law on Environmental Protection No.7664, Detailed legislation for EIA none (draft). Provisions defined below are as per the existing law. 3 Formal provisions for SEA discretionary (Article 8a of law) Operational Policy OP 4.01, 1999 EA is the process that is specific to each operation, both category A and category B projects. Any report resulting from the process is an EA report. BP/GP 4.01, 1999 Definitions of sectoral and regional EA are provided. Sectoral and/or regional EA is required when the project is likely to have cumulative or regional impacts. 4 Local government EIA none - Optional legislation or procedures 5 Sectoral authority EIA none - Optional legislation or procedures 6 General and specific guidelines none EA sourcebook and updates, Pollution Prevention and Abatement Handbook, EU Council Directive Directive 97/11/EC 1997 Defined by each member state None Compatibility with Finalize and enact EIA regulations Optional Develop guidelines Consistency with EU As A 11

12 ADMINISTRATION OF EIA 7 Main administrative body for EIA Albanian EIA System National Environmental Agency. Provision for regional environmental authorities. National Environmental 8 Competent authority for environmental acceptability 9 Review body for EIA Ad hoc panel of independent experts 10 Sectoral authority responsibilities 11 Local government responsibilities 12 Other bodies responsible for planning approval 13 Method of coordination with other planning approval bodies Operational Policy Regional Environment Unit EU Council Directive Defined by each member state Agency Director, Regional Environment Unit Defined by each member state WB regional environment Not defined unit (Article 13) (BP 4.01) none N/A N/A none yet N/A N/A Council of Ministers, various ministries, local authorities (Article 19) N/A N/A Informal - Internally with Statutory consultation environment (Article 6) department anchor - Externally with national environmental agencies and relevant ministries/entities - For risky projects Quality assurance and Compliance Unit (QACU) of the Bank s environment anchor Compatibility with It would be advantageous to specify consultation with other government bodies. Consistency with EU Add formal definition of consultation. A 12

13 14 Method of coordination with pollution control approval and regulation Albanian EIA System Pollution control is part of EIA. EIA to be repeated every 5 years (Article 10) STAGES OF EIA Screening 15 Screening categories One category for full EIA. Overlapping but unclear category for environmental license. Operational Policy Use of Pollution Prevention and Abatement Handbook Available as guidance. The EA may recommend alternative emission levels and approaches to pollution prevention and abatement of the project. Exceptions should be rare. EA is the process that is specific to each operation, both category A and category B projects. Any report resulting from the process is an EA report. - Screening categories : A, B, C and FI EU Council Directive Separate EU Directive, but procedure may be integrated (Article 2a). One category for full EIA: Annex I full EIA mandatory; Annex II screening for full EIA Compatibility with For pollutants or processes for which national standards have not yet been developed, make use of the World Bank s Pollution Prevention and Abatement Handbook Define project types which require a license but not a full EIA Consistency with EU Define lists for to be compatibile with EU Annexes I and II 16 Screening method Discretionary (Articles 8b,c,d) Individual screening for significant impacts. Illustrative lists in BP/GP 4.01 and sourcebooks provide guidance. Annex I mandatory Annex II individual screening for significance, or standard significance criteria, based on criteria in Annex III Define screening criteria and procedures As. Implement EU Annexes I, II and III. A 13

14 Albanian EIA System Operational Policy Scoping 17 Scoping method undefined - Based on EA TOR for category A projects - Approval of World Bank - EA TOR after scoping Content of EIA study 18 Content of EIA report - project description - baseline data - analysis of impacts - mitigation measures - environment and people that could be affected - other data as required by NEA - conclusions (Article 14) - executive summary - policy, legal and administrative framework - project description - baseline data - prediction and assessment of environmental impacts and mitigation - analysis of alternatives - environmental management plan - list of EIA report preparers - record of consultations - references and supporting data (Annex B) EU Council Directive General list, individual scoping by proponent (Article 3), optional scoping opinion of competent authority and statutory consultees (Article 5), no scoping restriction by ToR (Article 5) - project description - outline of alternatives - baseline data - prediction and assessment of environmental impacts - mitigation measures - non-technical summary - indication of difficulties in assessment (Article 5, Annex 4) Compatibility with Define method of scoping, as Define content to include all components. Consistency with EU ToR must not preclude subsequent requests for further information. As. Add requirement for indication of difficulties in assessment. 19 Requirements for non-technical summary none Executive summary (Annex B) Non-technical summary (Article 5) Add requirement for NTS As A 14

15 20 Requirements for considering alternatives 21 Requirements for environmental management plans 22 Requirements for transboundary impacts Albanian EIA System none none none Operational Policy Is a policy requirement as EA evaluates a project s potential environmental risks and impacts in its area of influence, examines project alternatives. Specifically required in the OP and also included as Annex C. OP strengthens and clarifies the role of the EMP by specifically listing EMP as a component of the category A project EA report, and specifically citing EMP provisions related to the implementation of the EA. Compliance with all international treaties specified. The Bank does not finance project activities that contravene country obligations under relevant international environmental treaties and agreements. EU Council Directive Study required (Article 5) None Assessment and consultation required (Article 7) Compatibility with Add requirement for analysis of alternatives Add requirement for full EMP, with details as per requirements Add requirement for transboundary impacts, as. Consistency with EU As As. Also include consultation. A 15

16 Albanian EIA System Operational Policy 23 Requirements for global impacts none Compliance with all international treaties specified. The Bank does not finance project activities that contravene country obligations under relevant international environmental treaties and agreements. Review, public participation and decision-making 24 Method for review of content and substance of EA reports submitted not defined Comparison with ToR (BP) Consistency with TOR as specified in the guide for preparation and review of EA reports for MENA region EU Council Directive Unclear - cumulative impacts to be assessed, but not specifically global (Annex 4). Relevance to the specific characteristics of the project, the environmental features likely to be affected, and current knowledge and methods of assessment (Article 5). Compatibility with Add requirement for global impacts, as World Bank. Define review method, including use of ToR and sectoral guidance for review purposes. Consistency with EU Include study of cumulative effects. Provision for specific checks. If ToR submitted, this must not preclude subsequent requests for further information. A 16

17 25 Requirements for public participation Albanian EIA System Operational Policy none For all category A and B projects the borrower consults project-affected groups and local NGOs. For category A projects, consultation occurs twice: - shortly after screening and before EA TORs are finalized (scoping) - once a draft EA report has been prepared EU Council Directive Public access to EIA report, and opportunity to comment (Article 6). Compatibility with Add requirements for public participation, as. Consistency with EU As A 17

18 26 Arrangements for access to EIA reports Albanian EIA System Operational Policy none Disclosure Policy : Mandatory for A and B projects. The borrower provides relevant materials in a form and language that are understandable prior to consultation...: EU Council Directive Detailed arrangements must be specified by member states (Article 6) Compatibility with Add requirements for access to EIA reports, as. Consistency with EU As. Arrangements must be specified. Whenever an EA report is required: EA made available at a convenient public location near project-affected people and their comments must be taken into consideration. EA must be accepted by the Bank and disclosed at the Bank s Infoshop prior to project appraisal. 27 Decision-making authority No adverse impact on the environment (Art 15) 28 Provisions for appeal none Follow-up 29 Requirements for follow-up and monitoring none Integrated with appraisal of project design and economic analysis (BP) Regional Environment Unit Reports submitted to by borrower, supervision visits by (BP) Competent authority consults statutory consultees (Articles 6, 8), publication of reasons for decision (Article 9). None Clarify decision-making criterion, to allow some degree of adverse impact Monitoring reports submitted to NEA. Supervision visits by NEA Include statutory consultation and publication of reasons for decision A 18

19 Albanian EIA System EIA CAPACITY 30 Expertise for conducting EIA No constraint for preparation/submission of documents (Article 14); review by independent competent professionals (Article 13). 31 No. of EIAs conducted Less than 10 total (for funding agencies) 32 Approximate. number of EIA none (except for specific firms and individuals technical expertise) Operational Policy Independent EA experts retained by proponent, independent international panel for major issues (BP) for category A. EA is responsibility of borrower EU Council Directive Proponent responsible for the assessment (Article 5 and Annex 4) Compatibility with International panel for major issues. Strengthen review system for independent review. Consistency with EU 33 Foreign consultants used? mainly Universities and institutes with EA technical expertise Scientific institutes (urban planning, biological research, agricultural and geographical studies, soil Universities and institutes with EIA systems expertise science) none Training provisions limited Other EIA capacity-building programs UNEP Mediterranean Action Plan workshop 1997; PHARE program, current - - A 19