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Guidelines for Transboundary Environmental Impact Assessment in the
Lower Mekong Basin 2017-08 Version (Draft/Preliminary/Tentative, by MRC CEO)
Vientiane, 10 August 2017
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Contents A. Procedural Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin .......................................................................................................................................... 3
I Statement of intent ......................................................................................................... 3
II Definition of Terms ......................................................................................................... 4
III Aim and field of application of this Guidance ................................................................. 5
IV. Early informal consultations ........................................................................................... 5
V. Information on transboundary environmental impacts in NATIONAL EIA Report ......... 5
VI Notification and consultation of Potentially Affected Countries .................................... 6
VII Arrangements for decision-making, implementation and monitoring ........................... 6
VIII Strategic environmental assessment .............................................................................. 7
X Mechanism for resolving disagreements ........................................................................ 8
XI Roles and Functions of the MRC ..................................................................................... 8
XII Implementation Arrangements ...................................................................................... 9
XIII Revision and amendments .............................................................................................. 9
Annex A.1: Format of TbEIA Notification ...................................................................................... 10
Annex A.2: Format of TbEIA Response ......................................................................................... 11
B. Technical Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin ...................................................................................................................................................... 12
Introduction .................................................................................................................................. 12
Purpose 12
1. Identification of Potential transboundary environmental impacts and Need for TbEIA 13
2. Notification and formal consultation of Potentially Affected Countries on the EIA Report 17
3. Public Participation, Disclosure, Hearing, and Feedback .............................................. 18
4. Decision Making on Proposed Project/Activity ............................................................ 18
5. Implementation of Environmental Management Plan (EMP) and Monitoring ............ 19
6. Guide to institutional arrangement and support mechanisms .................................... 22
Annex B.1: MRC’s Procedures, Tools and Technical Papers.................................................... 24
Annex B.2: Checklist of Potential Transboundary Impacts of Specific Projects ...................... 29
Annex B.3: Mitigation Measures Work Plan ........................................................................... 39
Annex B.4: Monitoring Work Plan ........................................................................................... 40
A. PROCEDURAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN
I STATEMENT OF INTENT
In recognition of the co-operation stipulated within the 1995 Mekong Agreement to promote the sustainable development, utilisation, conservation and management of the Mekong River Basin water and related resources, in response to the MRC Council [Decision/Resolution] of 1998, and the Joint Committee’s decision of 2003, the MRC Member Countries hereby decide to implement a Procedural Guidance for conducting Transboundary Environmental Impact Assessment (TbEIA) where needed. This Procedural Guidance is based on draft TbEIA Framework that was elaborated from 2004 to 2010 through a series of workshops, seminars, national and regional consultations and pilot studies involving Government officials from the four Member Countries. This Procedural Guidance recognises that economic development projects/activities in the Lower Mekong Basin are already causing concern amongst the Member Countries about their potential transboundary environmental impacts. It aims to facilitate MRC cooperation and support the protection of the environment, natural resources, aquatic life and conditions, and the ecological balance of the Lower Mekong River Basin and prevention and cessation of harmful effects resulting from development projects/activities in accordance with the 1995 Mekong Agreement. In recognition of already agreed MRC mechanisms, this Procedural Guidance builds on and supplements the MRC Procedure for Notification, Prior Consultation and Agreement (PNPCA), and uses and takes into account MRC Procedures such as (i) Procedures for Data and Information Exchange and Sharing (PDIES), (ii) Procedures for Water Use Monitoring (PWUM), (iii) Procedures for Maintenance of Flows on the Mainstream (PMFM), and (iv) Procedures for Water Quality (PWQ) in addressing potential transboundary environmental impacts of development projects/activities. In addition, the evolving policies and practices on public participation of the MRC are also recognised and the MRC member states are encouraged to apply them in EIA processes addressed by this guidance. The implementation of this Procedural Guidance by the Member Countries shall support the Mekong cooperation and the implementation of the 1995 Mekong Agreement while observing the EIA legislation of the Member Countries within which the proposed project/activity is to be located. This Guidance is not an International Treaty and does not contain rights and obligations regulated by International Law.
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Contents A. Procedural Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin .......................................................................................................................................... 3
I Statement of intent ......................................................................................................... 3
II Definition of Terms ......................................................................................................... 4
III Aim and field of application of this Guidance ................................................................. 5
IV. Early informal consultations ........................................................................................... 5
V. Information on transboundary environmental impacts in NATIONAL EIA Report ......... 5
VI Notification and consultation of Potentially Affected Countries .................................... 6
VII Arrangements for decision-making, implementation and monitoring ........................... 6
VIII Strategic environmental assessment .............................................................................. 7
X Mechanism for resolving disagreements ........................................................................ 8
XI Roles and Functions of the MRC ..................................................................................... 8
XII Implementation Arrangements ...................................................................................... 9
XIII Revision and amendments .............................................................................................. 9
Annex A.1: Format of TbEIA Notification ...................................................................................... 10
Annex A.2: Format of TbEIA Response ......................................................................................... 11
B. Technical Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin ...................................................................................................................................................... 12
Introduction .................................................................................................................................. 12
Purpose 12
1. Identification of Potential transboundary environmental impacts and Need for TbEIA 13
2. Notification and formal consultation of Potentially Affected Countries on the EIA Report 17
3. Public Participation, Disclosure, Hearing, and Feedback .............................................. 18
4. Decision Making on Proposed Project/Activity ............................................................ 18
5. Implementation of Environmental Management Plan (EMP) and Monitoring ............ 19
6. Guide to institutional arrangement and support mechanisms .................................... 22
Annex B.1: MRC’s Procedures, Tools and Technical Papers.................................................... 24
Annex B.2: Checklist of Potential Transboundary Impacts of Specific Projects ...................... 29
Annex B.3: Mitigation Measures Work Plan ........................................................................... 39
Annex B.4: Monitoring Work Plan ........................................................................................... 40
A. PROCEDURAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN
I STATEMENT OF INTENT
In recognition of the co-operation stipulated within the 1995 Mekong Agreement to promote the sustainable development, utilisation, conservation and management of the Mekong River Basin water and related resources, in response to the MRC Council [Decision/Resolution] of 1998, and the Joint Committee’s decision of 2003, the MRC Member Countries hereby decide to implement a Procedural Guidance for conducting Transboundary Environmental Impact Assessment (TbEIA) where needed. This Procedural Guidance is based on draft TbEIA Framework that was elaborated from 2004 to 2010 through a series of workshops, seminars, national and regional consultations and pilot studies involving Government officials from the four Member Countries. This Procedural Guidance recognises that economic development projects/activities in the Lower Mekong Basin are already causing concern amongst the Member Countries about their potential transboundary environmental impacts. It aims to facilitate MRC cooperation and support the protection of the environment, natural resources, aquatic life and conditions, and the ecological balance of the Lower Mekong River Basin and prevention and cessation of harmful effects resulting from development projects/activities in accordance with the 1995 Mekong Agreement. In recognition of already agreed MRC mechanisms, this Procedural Guidance builds on and supplements the MRC Procedure for Notification, Prior Consultation and Agreement (PNPCA), and uses and takes into account MRC Procedures such as (i) Procedures for Data and Information Exchange and Sharing (PDIES), (ii) Procedures for Water Use Monitoring (PWUM), (iii) Procedures for Maintenance of Flows on the Mainstream (PMFM), and (iv) Procedures for Water Quality (PWQ) in addressing potential transboundary environmental impacts of development projects/activities. In addition, the evolving policies and practices on public participation of the MRC are also recognised and the MRC member states are encouraged to apply them in EIA processes addressed by this guidance. The implementation of this Procedural Guidance by the Member Countries shall support the Mekong cooperation and the implementation of the 1995 Mekong Agreement while observing the EIA legislation of the Member Countries within which the proposed project/activity is to be located. This Guidance is not an International Treaty and does not contain rights and obligations regulated by International Law.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
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II DEFINITION OF TERMS
“Member Country(ies)” means the signatory country(ies) to the 1995 Mekong Agreement on the Cooperation for the Sustainable Development of the Mekong River Basin. “Country of Origin” means the Member Country under whose jurisdiction a proposed project/activity is intended to take place. “Potentially Affected Country(ies)” means the Member Country(ies) likely to be affected by potential transboundary environmental impact of a proposed project/activity. “Concerned Member Countries” mean either the Country of Origin or the Potentially Affected Country(ies) or both. Proponent” means a physical or legal person who proposes a project/activity for consideration or acceptance or physical or legal person who implements or operates such project/activity. “Proposed project/activity” means any project or activity proposed by the proponent in the Country of Origin which is subject to national environmental impact assessment (EIA) of the Country of Origin. “Environmental Impact Assessment (EIA)” means a national procedure for assessing the likely impacts on biophysical, social and economic aspects of a proposed project/activity. “PNCPA Procedure” (or Mekong River Commission [MRC] “Procedures for Notification, Prior Consultation and Agreement”) means the prior consultation process, in which the countries will jointly review any development project proposed for the mainstream, with an aim to reach a consensus on whether or not it should proceed, and if so, under what conditions. Prior consultation is neither a right to veto the use nor a unilateral right to use water by any riparian without taking into consideration other riparian’s rights. “Transboundary environmental impact” means significant environmental impacts/changes originating within the territory of one Member Country which potentially affect other Member Countries. The environmental impacts/changes include effects on water quality and quantity, flow regimes, river morphology, biodiversity, aquatic ecology or further consequent impacts to people’s livelihoods depending on the Mekong River and its tributaries. “TbEIA Report” means an EIA report prepared in compliance with national EIA legislation in the Country of Origin for a project/activity where potential transboundary environmental impacts were considered, and where the EIA report is a subject of transboundary consultation. “Public” means one or more natural or legal persons. “Public Participation” means a process through which stakeholders gain influence and take part in decision making in the planning, implementation, monitoring and evaluation of development projects/activities.
“Stakeholder” means any person, group or institution that has an interest in an activity, project or program. This includes both intended beneficiaries and intermediaries, those positively affected, and those involved and/or those who are generally excluded from the decision-making process. III AIM AND FIELD OF APPLICATION OF THIS GUIDANCE
1. This Guidance aims to promote good cooperation for preventing, minimising, mitigating and managing of transboundary environmental impacts of projects/activities on Mekong mainstream pursuant to Article 5 of the 1995 Mekong Agreement. The Guidance is designed as a flexible non-binding document of advisory nature that can be amended based on experience gained from its practical application. If the Member Countries decide that they wish to enhance mutual benefits of provisions contained herein, this Guidance can be further developed to apply to other projects/activities other than those referred to in Article 5 of the Mekong Agreement. The Member Countries will also inform MRC Dialogue Countries about existence of these guidelines and will encourage them to engage in collaborative efforts on their potential future wider application with aim to enhance international collaboration on protection of Mekong River.
2. Each Member Country will ensure that national EIA processes for projects/activities that
may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts.
3. If a proposed project/activity listed in Paragraph 2 above does not require a national EIA
within the Country of Origin, the Country of Origin will [ensure that assessment of environmental impacts is undertaken for such activity] [inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts].
IV. EARLY INFORMAL CONSULTATIONS
4. Each Member Country will encourage the proponents of the projects/activities specified in Paragraph 2 to identify potential transboundary environmental impacts as early as possible in order to allow for their proper consideration during the planning of the respective project/activity and the EIA process.
5. When the proponent so requests, the Country of Origin will invite the Potentially Affected
Country(ies) to consultations on identification of transboundary environmental impacts that should be assessed. Such consultations may address also arrangements for exchanges of information, conducting surveys and consultations with relevant authorities and public in the potentially affected Country(ies) as well as any other practical arrangements for assessment of transboundary environmental impacts.
V. INFORMATION ON TRANSBOUNDARY ENVIRONMENTAL IMPACTS IN NATIONAL EIA REPORT
6. The national EIA Report shall describe potential environmental transboundary environmental impacts, their character, likelihood, significance and proposed measures
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
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“Stakeholder” means any person, group or institution that has an interest in an activity, project or program. This includes both intended beneficiaries and intermediaries, those positively affected, and those involved and/or those who are generally excluded from the decision-making process. III AIM AND FIELD OF APPLICATION OF THIS GUIDANCE
1. This Guidance aims to promote good cooperation for preventing, minimising, mitigating and managing of transboundary environmental impacts of projects/activities on Mekong mainstream pursuant to Article 5 of the 1995 Mekong Agreement. The Guidance is designed as a flexible non-binding document of advisory nature that can be amended based on experience gained from its practical application. If the Member Countries decide that they wish to enhance mutual benefits of provisions contained herein, this Guidance can be further developed to apply to other projects/activities other than those referred to in Article 5 of the Mekong Agreement. The Member Countries will also inform MRC Dialogue Countries about existence of these guidelines and will encourage them to engage in collaborative efforts on their potential future wider application with aim to enhance international collaboration on protection of Mekong River.
2. Each Member Country will ensure that national EIA processes for projects/activities that
may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts.
3. If a proposed project/activity listed in Paragraph 2 above does not require a national EIA
within the Country of Origin, the Country of Origin will [ensure that assessment of environmental impacts is undertaken for such activity] [inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts].
IV. EARLY INFORMAL CONSULTATIONS
4. Each Member Country will encourage the proponents of the projects/activities specified in Paragraph 2 to identify potential transboundary environmental impacts as early as possible in order to allow for their proper consideration during the planning of the respective project/activity and the EIA process.
5. When the proponent so requests, the Country of Origin will invite the Potentially Affected
Country(ies) to consultations on identification of transboundary environmental impacts that should be assessed. Such consultations may address also arrangements for exchanges of information, conducting surveys and consultations with relevant authorities and public in the potentially affected Country(ies) as well as any other practical arrangements for assessment of transboundary environmental impacts.
V. INFORMATION ON TRANSBOUNDARY ENVIRONMENTAL IMPACTS IN NATIONAL EIA REPORT
6. The national EIA Report shall describe potential environmental transboundary environmental impacts, their character, likelihood, significance and proposed measures
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
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for their prevention, minimization, mitigation/offsetting, monitoring and management. The potential environmental transboundary environmental impacts that will be considered include direct, indirect, cumulative and synergistic impacts.
7. When doing so, the proponent can ask the Country of Origin to request the Potentially
Affected Country to: a. provide the proponent with access to information on the relevant aspects of the
potentially affected environment on its territory, b. allow the proponent to conduct surveys on its territory, and c. assist the proponent in organizing consultations with potentially affected public and
relevant authorities on its territory – as long as they are properly planned and conducted within reasonable timeframes.
VI NOTIFICATION AND CONSULTATION OF POTENTIALLY AFFECTED COUNTRIES
8. Where the (draft) national EIA report submitted in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where [any other Member Country] [Potentially Affected Country(ies)] so requests, the Country of Origin forwards the (draft) EIA report to [the other Member Country(ies)] [Potentially Affected Country(ies)] at the same time as it makes it available to its own public.
9. The Country of Origin shall send the (draft) national EIA Report along with other
information on the proposed project/activity to potentially Affected Country(ies) using PNPCA procedure. The formal transboundary consultations on the proposed project/activity and its accompanying (draft) national EIA Report between the concerned Member Countries will be undertaken using the mechanism established by the PNPCA procedure. Public consultations on the (draft) EIA Report in the Potentially Affected Country(ies) will be organized in accordance with applicable provisions specified in their domestic regulatory frameworks [and will provide inputs into the PNPCA procedure].
VII ARRANGEMENTS FOR DECISION-MAKING, IMPLEMENTATION AND MONITORING
10. The Country of Origin will make the decision on whether to implement the proposed project/activity, by taking into account the views raised through formal transboundary consultations [and applicable consultations with the public] conducted in accordance with the Paragraph 9.
11. The Country of Origin shall ensure that the Potentially Affected Countries consulted
through the PNPCA procedure are provided with the final decision and a statement containing:
a) Responses to the comments received through the formal transboundary consultations; b) Explanation how were reasonable alternatives and practical measures for preventing,
minimizing or offsetting/mitigating the adverse transboundary environmental impacts considered in the final decision on the proposed project/activity;
c) Description of measures for monitoring and management of any residual transboundary environmental impacts and risks.
12. The Country of Origin shall ensure that proponents comply with the conditions stipulated in the decision on the proposed project/activity and implement the agreed measures for preventing, minimizing or offsetting/mitigating the adverse transboundary environmental impacts, and ii) conduct monitoring in order to identify any unforeseen adverse transboundary environmental impact at an early stage and to be able to undertake appropriate remedial action at their expense.
13. The results of monitoring undertaken in accordance in Paragraph 12 shall be made
available to the Potentially Affected Country(ies) in formats and time intervals prescribed in Paragraph 11(c) or otherwise mutually agreed between the Concerned Member Country(ies).
14. If any Potentially Affected Country regards the arrangements for monitoring as
insufficient, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then consult and reach consensus on necessary measures to improve the monitoring. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
15. If as a result of the monitoring, or based on its own investigations, any Potentially Affected
Country has reasonable grounds for concluding that there is significant transboundary environmental impact in accordance with objectives of the 1995 Mekong Agreement, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then immediately consult on measures that need to be taken to prevent, minimize or offset/mitigate the impact. Such measures may include an immediate ceasing of activities that cause significant adverse transboundary environmental impact. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
16. The costs associated with the assessment of the transboundary environmental impacts
and implementation of measures for their prevention, minimizing or offsetting/mitigation as well as costs associated with monitoring and management of transboundary environmental impacts and the translation of relevant documents for informing and consulting the Potentially Affected Country(ies) will be born by the proponent. The costs related to consultations (e.g. direct costs of meetings in the concerned member states) will be jointly covered by the proponent and the respective Concerned Member States based on their agreements reached on case-by-case basis.
VIII STRATEGIC ENVIRONMENTAL ASSESSMENT
17. Each Member Country shall ensure that SEA processes for strategies, plans and programs that may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts. Strategic environmental assessment shall consider information that is either available or can be reasonably acquired given the current knowledge and the contents and the decision-making purpose of the proposed strategy, plan or program.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
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for their prevention, minimization, mitigation/offsetting, monitoring and management. The potential environmental transboundary environmental impacts that will be considered include direct, indirect, cumulative and synergistic impacts.
7. When doing so, the proponent can ask the Country of Origin to request the Potentially
Affected Country to: a. provide the proponent with access to information on the relevant aspects of the
potentially affected environment on its territory, b. allow the proponent to conduct surveys on its territory, and c. assist the proponent in organizing consultations with potentially affected public and
relevant authorities on its territory – as long as they are properly planned and conducted within reasonable timeframes.
VI NOTIFICATION AND CONSULTATION OF POTENTIALLY AFFECTED COUNTRIES
8. Where the (draft) national EIA report submitted in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where [any other Member Country] [Potentially Affected Country(ies)] so requests, the Country of Origin forwards the (draft) EIA report to [the other Member Country(ies)] [Potentially Affected Country(ies)] at the same time as it makes it available to its own public.
9. The Country of Origin shall send the (draft) national EIA Report along with other
information on the proposed project/activity to potentially Affected Country(ies) using PNPCA procedure. The formal transboundary consultations on the proposed project/activity and its accompanying (draft) national EIA Report between the concerned Member Countries will be undertaken using the mechanism established by the PNPCA procedure. Public consultations on the (draft) EIA Report in the Potentially Affected Country(ies) will be organized in accordance with applicable provisions specified in their domestic regulatory frameworks [and will provide inputs into the PNPCA procedure].
VII ARRANGEMENTS FOR DECISION-MAKING, IMPLEMENTATION AND MONITORING
10. The Country of Origin will make the decision on whether to implement the proposed project/activity, by taking into account the views raised through formal transboundary consultations [and applicable consultations with the public] conducted in accordance with the Paragraph 9.
11. The Country of Origin shall ensure that the Potentially Affected Countries consulted
through the PNPCA procedure are provided with the final decision and a statement containing:
a) Responses to the comments received through the formal transboundary consultations; b) Explanation how were reasonable alternatives and practical measures for preventing,
minimizing or offsetting/mitigating the adverse transboundary environmental impacts considered in the final decision on the proposed project/activity;
c) Description of measures for monitoring and management of any residual transboundary environmental impacts and risks.
12. The Country of Origin shall ensure that proponents comply with the conditions stipulated in the decision on the proposed project/activity and implement the agreed measures for preventing, minimizing or offsetting/mitigating the adverse transboundary environmental impacts, and ii) conduct monitoring in order to identify any unforeseen adverse transboundary environmental impact at an early stage and to be able to undertake appropriate remedial action at their expense.
13. The results of monitoring undertaken in accordance in Paragraph 12 shall be made
available to the Potentially Affected Country(ies) in formats and time intervals prescribed in Paragraph 11(c) or otherwise mutually agreed between the Concerned Member Country(ies).
14. If any Potentially Affected Country regards the arrangements for monitoring as
insufficient, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then consult and reach consensus on necessary measures to improve the monitoring. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
15. If as a result of the monitoring, or based on its own investigations, any Potentially Affected
Country has reasonable grounds for concluding that there is significant transboundary environmental impact in accordance with objectives of the 1995 Mekong Agreement, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then immediately consult on measures that need to be taken to prevent, minimize or offset/mitigate the impact. Such measures may include an immediate ceasing of activities that cause significant adverse transboundary environmental impact. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
16. The costs associated with the assessment of the transboundary environmental impacts
and implementation of measures for their prevention, minimizing or offsetting/mitigation as well as costs associated with monitoring and management of transboundary environmental impacts and the translation of relevant documents for informing and consulting the Potentially Affected Country(ies) will be born by the proponent. The costs related to consultations (e.g. direct costs of meetings in the concerned member states) will be jointly covered by the proponent and the respective Concerned Member States based on their agreements reached on case-by-case basis.
VIII STRATEGIC ENVIRONMENTAL ASSESSMENT
17. Each Member Country shall ensure that SEA processes for strategies, plans and programs that may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts. Strategic environmental assessment shall consider information that is either available or can be reasonably acquired given the current knowledge and the contents and the decision-making purpose of the proposed strategy, plan or program.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
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18. The Country of Origin will take potential transboundary environmental impacts of strategies, plans and programs referred to in Paragraph 16 into due account during decision-making and shall request their implementing entities to execute measures for prevention, minimizing or offsetting/mitigationtheir significant transboundary environmental impacts in accordance with objectives of the 1995 Mekong Agreement.
X MECHANISM FOR RESOLVING DISAGREEMENTS
XI ROLES AND FUNCTIONS OF THE MRC
20. Roles and functions of the MRC institutions in the context of this Procedural Guidance are as follows:
21. The roles/functions/responsibilities of the NMCs under this Procedural Guidance are to:
• Supervise, advise, oversee and monitor the implementation of this Procedural Guidance within their respective Member Countries;
• Promote and actively encourage the implementation of this Procedural Guidance within their respective Member Countries; and
• Assist in any consultations, dialogues and agreements under this Procedural Guidance involving their respective Member Countries.
• Facilitate and collaborate with related line agencies for the implementation of this Procedural Guidance within their respective Member Countries;
• Inform their relevant line agencies about the scope, content and form/format required for Notification and Responses and about the TbEIA process for development projects/activities covered by this Procedural Guidance;
• Submit to respective line agencies any Notification, Responses, EIA report received from the other NMCS; and
• Log, file and follow up on the progress of Notification, Responses, TbEIA process results and any subsequent monitoring results received or issued by their respective Member Countries.
22. The roles/functions/responsibilities of the MRC Secretariat under the Procedural Guidance are
to: • Facilitate consultations and resolution of disagreements when requested; • Provide, in an open and transparent manner, impartial technical advice to Member
Countries and the Joint Committee on any element of the implementation of this Procedural Guidance if requested to do so;
• Assist Member Countries, when requested, in seeking sources of funds to support the implementation of this Procedural Guidance, and equitably manage the use of these sources of funds;
• Monitor and report to the Joint Committee the implementation of the Procedural Guidance and submit any proposal for change/amendment of the Procedural Guidance to the Joint Committee for consideration or endorsement; and
• Update Technical Guidance and provide support mechanisms and necessary training for the Member Countries to strengthen their capacity in the implementation of the Procedural Guidance.
23. The roles/functions/responsibilities of the MRC Joint Committee under the Procedural
Guidance are: • Consideration of any change/amendment to the Procedural Guidance for submission
to the MRC Council; and • Resolution of any disagreements in line with Article 34 of the 1995 Mekong
Agreement that cannot be resolved by the Member Countries supported by MRC Secretariat.
24. The roles/functions/responsibilities of the MRC Council under the Procedural Guidance are:
• Consideration of any change/amendment to the Procedural Guidance; and • Resolution of any disagreements that cannot be resolved by the MRC Joint Committee
in line with Article 34 of the 1995 Mekong Agreement.
XII IMPLEMENTATION ARRANGEMENTS
25. Implementation of this Procedural Guidance is to be facilitated by: (a) Technical Guidance; (b) Support mechanisms detailed in Technical Guidance.
26. Based on this Procedural Guidance and if required, the Member Countries may enter into
bilateral and/or multi-lateral agreements to elaborate more detailed arrangements. XIII REVISION AND AMENDMENTS
27. Each Member Country will report on annual basis to the MRC Secretariat and other Member States on its arrangements for implementation of this Guidance into national regulatory and institutional frameworks and on experience with its practical application. The MRC Secretariat will facilitate exchange of experience with the application of this Guidance.
28. The Guidance shall be treated as a flexible document that can be gradually amended and developed to reflect the accumulated experience and new aspirations of the Member Countries for advancing sustainable development in the Lower Mekong Region.
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23. The roles/functions/responsibilities of the MRC Joint Committee under the Procedural
Guidance are: • Consideration of any change/amendment to the Procedural Guidance for submission
to the MRC Council; and • Resolution of any disagreements in line with Article 34 of the 1995 Mekong
Agreement that cannot be resolved by the Member Countries supported by MRC Secretariat.
24. The roles/functions/responsibilities of the MRC Council under the Procedural Guidance are:
• Consideration of any change/amendment to the Procedural Guidance; and • Resolution of any disagreements that cannot be resolved by the MRC Joint Committee
in line with Article 34 of the 1995 Mekong Agreement.
XII IMPLEMENTATION ARRANGEMENTS
25. Implementation of this Procedural Guidance is to be facilitated by: (a) Technical Guidance; (b) Support mechanisms detailed in Technical Guidance.
26. Based on this Procedural Guidance and if required, the Member Countries may enter into
bilateral and/or multi-lateral agreements to elaborate more detailed arrangements. XIII REVISION AND AMENDMENTS
27. Each Member Country will report on annual basis to the MRC Secretariat and other Member States on its arrangements for implementation of this Guidance into national regulatory and institutional frameworks and on experience with its practical application. The MRC Secretariat will facilitate exchange of experience with the application of this Guidance.
28. The Guidance shall be treated as a flexible document that can be gradually amended and developed to reflect the accumulated experience and new aspirations of the Member Countries for advancing sustainable development in the Lower Mekong Region.
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ANNEX A.1: FORMAT OF TBEIA NOTIFICATION
Notifying Country: Date of submission: Notifying Ministry/Agency (name, address, telephone, fax, e-mail): Contact person/address (name, address, telephone/fax/e-mail): Types of projects/activities triggering the use of TbEIA Procedural Guidance
(a) Hydropower Projects □ (b) Irrigation schemes □ (c) Ports and riverworks □ (d) Industrial and mining projects □ (e) Aquaculture projects □ (f) Navigation projects; and □ (g) Water abstraction project for water supply □
Name of the project/activity: Description of the project/activity
a) Project/activity location (map of exact location – village, district, province, and country); b) Proponent, purpose, scope, scale, activities of the project/activity; c) Implementation arrangement of the project/activity; d) Project/activity implementation schedule (Date for starting, date for completion of
construction, and date for the operation); 8. The rationale for triggering TbEIA Procedural Guidance:
Summary description of transboundary environmental impacts identified in the national full or in-depth EIA report and proposed measures to address them (avoidance, mitigation, compensation and monitoring)
The nature of the intended decision on the proposed activity. Attached documents:
10. national full or in-depth EIA Report 11. other supporting documentation
ANNEX A.2: FORMAT OF TBEIA RESPONSE
Name of the project/activity: Date of reply: Replying NMC (Name, mail/e-mail address, telephone, fax): Contact person/facilitator (Name, mail/e-mail address, telephone, fax): Date of receipt of the documents:
Reply to the Country Origin of the proposed project/activity wishing to: (a) Be involved in a formal transboundary consultations (please state reasons) or (b) Not be involved in any TbEIA process, but be kept informed about the project/activity/any
assessment, (please state reasons) or (c) Have not further involvement related to the project/activity, (please state reasons)
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ANNEX A.2: FORMAT OF TBEIA RESPONSE
Name of the project/activity: Date of reply: Replying NMC (Name, mail/e-mail address, telephone, fax): Contact person/facilitator (Name, mail/e-mail address, telephone, fax): Date of receipt of the documents:
Reply to the Country Origin of the proposed project/activity wishing to: (a) Be involved in a formal transboundary consultations (please state reasons) or (b) Not be involved in any TbEIA process, but be kept informed about the project/activity/any
assessment, (please state reasons) or (c) Have not further involvement related to the project/activity, (please state reasons)
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B. TECHNICAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN
INTRODUCTION
In recognition of the co-operation stipulated within the 1995 Mekong Agreement to promote the sustainable development, utilization, conservation and management of the Mekong River Basin water and related resources, in response to the MRC Council [Decision/Resolution] of 1998, and the Joint Committee’s decision of 2003, and in the spirit of cooperation confirmed by the Member Countries in the Hua Hin Declaration from the 1st MRC Summit in 2010, the MRC Member Countries have developed Technical Guidance as a tool for conducting Transboundary Environmental Impact Assessment (TbEIA) of proposed development projects/activities within the Lower Mekong Basin. This Technical Guidance is based on the 1st draft of Technical Guidance prepared in 2010 and additional advice generated through legal and institutional reviews undertaken in 2015-2017 and a series of national and regional consultations in 2016-2017 that involved Government officials from the four Member Countries. This Technical Guidance outlines steps and provides suggestions for practical implementation of aims and principles set forth in the TbEIA Procedural Guidance. It shall be used along with other MRC procedures, tools and related technical papers (see Annex 1) in order to facilitate an effective cooperation and support the protection of the environment, natural resources, aquatic life and conditions, and the ecological balance of the Lower Mekong River Basin and prevention and cessation of harmful effects resulting from development projects/activities in accordance with the 1995 Mekong Agreement. This Guidance is not an International Treaty and does not contain rights and obligations regulated by International Law. In its practical application, the principle is that the TbEIA process follows the national EIA legislation of the Member Countries within which the proposed project/activity is to be located shall be respected. The Technical Guidance is offered as a structured text providing comments and suggestions for practical implementation of key selected provisions from the Procedural Guidance (Procedural Guidance´s paragraphs with original numbering are presented in boxes throughout the text below). PURPOSE
1. This Guidance aims to promote good cooperation for preventing, minimising, mitigating and managing of transboundary environmental impacts of projects/activities on Mekong mainstream pursuant to Article 5 of the 1995 Mekong Agreement. The Guidance is designed as a flexible non-binding document of advisory nature that can be amended based on experience gained from its practical application. If the Member Countries decide that they wish to enhance mutual benefits of provisions contained herein, this Guidance can be further developed to apply to other projects/activities other than those referred to in Article 5 of the Mekong Agreement. The Member Countries will also inform MRC Dialogue Countries about existence of these guidelines and will encourage them to engage in collaborative efforts on their potential future wider application with aim to enhance international collaboration on protection of Mekong River.
This Technical Guidance is put forth to assist implementation of the Procedural Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin (hereafter Procedural Guidance). The Procedural Guidance assists in effective and transparent consideration of potential transboundary environmental impacts of proposed projects/activities covered by 1995 Mekong Agreement in EIA processes. The implementation of the Procedural Guidance by the Member Countries will support the Mekong cooperation and the implementation of the 1995 Mekong Agreement while observing the EIA legislation of the Member Countries within which the proposed project/activity is to be located. This Technical Guidance can be used as a tool for the Country of Origin for assisting consideration of relevant transboundary environmental impacts on Mekong River within the national EIA process. It guides the identification of potential significant transboundary impacts of a proposed project /activity and helps to consider such risks so that it ensures that the EIA study prepared in the Country of Origin shall not exclude such potential transboundary impacts and does not ignore the importance of communicating with and involving Concerned Member Countries and their public. This Technical Guidance respects the sovereignty of participating countries, autonomy of their national EIA systems and differences among them, as well as their authority to adopt final decisions on implementation of considered project/activities within their territory. Concerns on transboundary environmental impacts perceived as resulting from existing projects/activities can be raised through the MRC cooperation practices and mechanisms under the 1995 Mekong Agreement.
1. IDENTIFICATION OF POTENTIAL TRANSBOUNDARY ENVIRONMENTAL IMPACTS AND NEED FOR TBEIA
2. Each Member Country will ensure that national EIA processes for projects/activities that may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts.
This might be ensured by adopting a practice that all projects/activities that may affect water use pursuant to Article 5 of the Mekong Agreement shall consider potential transboundary environmental impacts. These proposed projects include: (a) Hydropower projects; (b) Irrigation schemes; (c) Ports and riverworks; (d) Industrial & mining projects; (e) Aquaculture projects; (f) Navigation projects; and (g) Water abstraction projects for water supply
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B. TECHNICAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN
INTRODUCTION
In recognition of the co-operation stipulated within the 1995 Mekong Agreement to promote the sustainable development, utilization, conservation and management of the Mekong River Basin water and related resources, in response to the MRC Council [Decision/Resolution] of 1998, and the Joint Committee’s decision of 2003, and in the spirit of cooperation confirmed by the Member Countries in the Hua Hin Declaration from the 1st MRC Summit in 2010, the MRC Member Countries have developed Technical Guidance as a tool for conducting Transboundary Environmental Impact Assessment (TbEIA) of proposed development projects/activities within the Lower Mekong Basin. This Technical Guidance is based on the 1st draft of Technical Guidance prepared in 2010 and additional advice generated through legal and institutional reviews undertaken in 2015-2017 and a series of national and regional consultations in 2016-2017 that involved Government officials from the four Member Countries. This Technical Guidance outlines steps and provides suggestions for practical implementation of aims and principles set forth in the TbEIA Procedural Guidance. It shall be used along with other MRC procedures, tools and related technical papers (see Annex 1) in order to facilitate an effective cooperation and support the protection of the environment, natural resources, aquatic life and conditions, and the ecological balance of the Lower Mekong River Basin and prevention and cessation of harmful effects resulting from development projects/activities in accordance with the 1995 Mekong Agreement. This Guidance is not an International Treaty and does not contain rights and obligations regulated by International Law. In its practical application, the principle is that the TbEIA process follows the national EIA legislation of the Member Countries within which the proposed project/activity is to be located shall be respected. The Technical Guidance is offered as a structured text providing comments and suggestions for practical implementation of key selected provisions from the Procedural Guidance (Procedural Guidance´s paragraphs with original numbering are presented in boxes throughout the text below). PURPOSE
1. This Guidance aims to promote good cooperation for preventing, minimising, mitigating and managing of transboundary environmental impacts of projects/activities on Mekong mainstream pursuant to Article 5 of the 1995 Mekong Agreement. The Guidance is designed as a flexible non-binding document of advisory nature that can be amended based on experience gained from its practical application. If the Member Countries decide that they wish to enhance mutual benefits of provisions contained herein, this Guidance can be further developed to apply to other projects/activities other than those referred to in Article 5 of the Mekong Agreement. The Member Countries will also inform MRC Dialogue Countries about existence of these guidelines and will encourage them to engage in collaborative efforts on their potential future wider application with aim to enhance international collaboration on protection of Mekong River.
This Technical Guidance is put forth to assist implementation of the Procedural Guidance for Transboundary Environmental Impact Assessment for the Lower Mekong Basin (hereafter Procedural Guidance). The Procedural Guidance assists in effective and transparent consideration of potential transboundary environmental impacts of proposed projects/activities covered by 1995 Mekong Agreement in EIA processes. The implementation of the Procedural Guidance by the Member Countries will support the Mekong cooperation and the implementation of the 1995 Mekong Agreement while observing the EIA legislation of the Member Countries within which the proposed project/activity is to be located. This Technical Guidance can be used as a tool for the Country of Origin for assisting consideration of relevant transboundary environmental impacts on Mekong River within the national EIA process. It guides the identification of potential significant transboundary impacts of a proposed project /activity and helps to consider such risks so that it ensures that the EIA study prepared in the Country of Origin shall not exclude such potential transboundary impacts and does not ignore the importance of communicating with and involving Concerned Member Countries and their public. This Technical Guidance respects the sovereignty of participating countries, autonomy of their national EIA systems and differences among them, as well as their authority to adopt final decisions on implementation of considered project/activities within their territory. Concerns on transboundary environmental impacts perceived as resulting from existing projects/activities can be raised through the MRC cooperation practices and mechanisms under the 1995 Mekong Agreement.
1. IDENTIFICATION OF POTENTIAL TRANSBOUNDARY ENVIRONMENTAL IMPACTS AND NEED FOR TBEIA
2. Each Member Country will ensure that national EIA processes for projects/activities that may affect water use pursuant to Article 5 of the 1995 Mekong Agreement take into consideration their potential transboundary environmental impacts.
This might be ensured by adopting a practice that all projects/activities that may affect water use pursuant to Article 5 of the Mekong Agreement shall consider potential transboundary environmental impacts. These proposed projects include: (a) Hydropower projects; (b) Irrigation schemes; (c) Ports and riverworks; (d) Industrial & mining projects; (e) Aquaculture projects; (f) Navigation projects; and (g) Water abstraction projects for water supply
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3. If a proposed project/activity listed in Paragraph 2 above does not require a national EIA within the Country of Origin, the Country of Origin will inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts.
If a specific proposed project/activity falling in one of the categories listed above does not require an EIA within the Country of Origin, the Country of Origin will endeavor to inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts. If a proposed project/activity falling in one of the categories listed above does require an EIA within the Country of Origin, the EIA-responsible authority within the Country of Origin should instruct proponent (ideally during the screening or scoping phase) to consider potential transboundary impacts. Paragraph 4 of the Procedural Guidance therefore stipulates that:
4. Each Member Country will encourage the proponents of the projects/activities specified in Paragraph 2 to identify potential transboundary environmental impacts as early as possible in order to allow for their proper consideration during the planning of the respective project/activity and the EIA process.
Identification of potential transboundary environmental impacts can be assisted within help of Checklist of Potential Transboundary Impacts of Specific Projects (see Annex 2) For the efficiency of any identification of potential Tb impacts, it is necessary for Member Countries to encourage the proponents of the projects/activities to identify potential for occurrence of transboundary environmental impacts as early as possible and allow for initiation of dialogue between potentially Concerned Member Countries. Paragraph 5 of the Procedural Guidance therefore stipulates that:
5. When the proponent so requests, the Country of Origin will invite the Potentially Affected Country(ies) to consultations on identification of transboundary environmental impacts that should be assessed. Such consultations may address also arrangements for exchanges of information, conducting surveys and consultations with relevant authorities and public in the potentially affected Country(ies) as well as any other practical arrangements for assessment of transboundary environmental impacts.
As there are no universally accepted and applicable quantitative standards for determination of the significance of transboundary environmental impacts it always has to be judged on a case-by-case basis. In recognition of difference in national EIA requirements for proposed project/activities among the Member Countries, it is rather difficult to define common quantitative standards that could determine significant environmental impacts for a specific type of proposed project/activity. National EIA legislations of the Member Countries vary with regards to EIA requirements according to list, size, magnitude, nature and location of proposed projects/activities. In general, there are three main factors that can be taken into account to preliminary estimate the significance of transboundary environmental impacts of development projects/activities. These include: • Size: proposed projects/activities which are in large scale,
• Location: proposed projects/activities located in or close to sensitive areas of the Mekong mainstream and its major tributaries, and
• Effect: proposed projects/activities, which are complex and could generate adverse effects on
water quality and quantity, flow regimes, river morphology, and biodiversity and which may have implications on human health and livelihoods, and aquatic ecosystems in other concerned Member Countries.
This Technical Guidance offers some suggestions for judgement on whether and to what extent any proposed project/activity may cause significant transboundary concerns. An initial understanding to potential risks and nature of impacts can be developed with the help of detailed checklists of potential transboundary impacts of specific projects are provided in Annex 2. In practice, significant transboundary environmental impact could be considered based on: (i) its probability; and (ii) its extent. The below described approach can be used for the initial estimation of the level of probability and the extent of transboundary impacts of the proposed project/activities and lead to classification of the transboundary impact level. Significant transboundary environmental impacts may therefore be identified and defined through the combination between these two components as described in Tables 1, 2 and 3. Tables 1 and 2 below give examples of scales of the level of probability and level of extent of transboundary impacts. Table 1: Probability of transboundary impacts
Level Descriptor Description
1 Rare May occur only under very exceptional circumstances
2 Unlikely Could occur some times
3 Moderate Likely Might occur some times
4 Likely Will probably occur under most circumstances
5 Almost Certain Is expected to occur under most circumstances Table 2: Extent of transboundary impacts
Level Descriptor Description
1 Insignificant Very minor impact
2 Minor Minor impact, with moderate costs
3 Moderate Medium level impact requiring ongoing management or expensive corrective action
4 Major Major issue, high financial loss, and high and long-term costs
5 Catastrophic Serious issue, very high financial loss, and very high and long-term costs The significance of the transboundary impacts can be determined based on the relationship between the two components as illustrated in the matrix (Table 3) where impacts are classified into different levels or categories as low, medium, significant or very significant. Table 3: Significance of transboundary impacts
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3. If a proposed project/activity listed in Paragraph 2 above does not require a national EIA within the Country of Origin, the Country of Origin will inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts.
If a specific proposed project/activity falling in one of the categories listed above does not require an EIA within the Country of Origin, the Country of Origin will endeavor to inform the other Member Countries in accordance with the PNPCA procedure. The concerned Member Countries may then decide to develop a separate arrangement to address any potential transboundary environmental impacts. If a proposed project/activity falling in one of the categories listed above does require an EIA within the Country of Origin, the EIA-responsible authority within the Country of Origin should instruct proponent (ideally during the screening or scoping phase) to consider potential transboundary impacts. Paragraph 4 of the Procedural Guidance therefore stipulates that:
4. Each Member Country will encourage the proponents of the projects/activities specified in Paragraph 2 to identify potential transboundary environmental impacts as early as possible in order to allow for their proper consideration during the planning of the respective project/activity and the EIA process.
Identification of potential transboundary environmental impacts can be assisted within help of Checklist of Potential Transboundary Impacts of Specific Projects (see Annex 2) For the efficiency of any identification of potential Tb impacts, it is necessary for Member Countries to encourage the proponents of the projects/activities to identify potential for occurrence of transboundary environmental impacts as early as possible and allow for initiation of dialogue between potentially Concerned Member Countries. Paragraph 5 of the Procedural Guidance therefore stipulates that:
5. When the proponent so requests, the Country of Origin will invite the Potentially Affected Country(ies) to consultations on identification of transboundary environmental impacts that should be assessed. Such consultations may address also arrangements for exchanges of information, conducting surveys and consultations with relevant authorities and public in the potentially affected Country(ies) as well as any other practical arrangements for assessment of transboundary environmental impacts.
As there are no universally accepted and applicable quantitative standards for determination of the significance of transboundary environmental impacts it always has to be judged on a case-by-case basis. In recognition of difference in national EIA requirements for proposed project/activities among the Member Countries, it is rather difficult to define common quantitative standards that could determine significant environmental impacts for a specific type of proposed project/activity. National EIA legislations of the Member Countries vary with regards to EIA requirements according to list, size, magnitude, nature and location of proposed projects/activities. In general, there are three main factors that can be taken into account to preliminary estimate the significance of transboundary environmental impacts of development projects/activities. These include: • Size: proposed projects/activities which are in large scale,
• Location: proposed projects/activities located in or close to sensitive areas of the Mekong mainstream and its major tributaries, and
• Effect: proposed projects/activities, which are complex and could generate adverse effects on
water quality and quantity, flow regimes, river morphology, and biodiversity and which may have implications on human health and livelihoods, and aquatic ecosystems in other concerned Member Countries.
This Technical Guidance offers some suggestions for judgement on whether and to what extent any proposed project/activity may cause significant transboundary concerns. An initial understanding to potential risks and nature of impacts can be developed with the help of detailed checklists of potential transboundary impacts of specific projects are provided in Annex 2. In practice, significant transboundary environmental impact could be considered based on: (i) its probability; and (ii) its extent. The below described approach can be used for the initial estimation of the level of probability and the extent of transboundary impacts of the proposed project/activities and lead to classification of the transboundary impact level. Significant transboundary environmental impacts may therefore be identified and defined through the combination between these two components as described in Tables 1, 2 and 3. Tables 1 and 2 below give examples of scales of the level of probability and level of extent of transboundary impacts. Table 1: Probability of transboundary impacts
Level Descriptor Description
1 Rare May occur only under very exceptional circumstances
2 Unlikely Could occur some times
3 Moderate Likely Might occur some times
4 Likely Will probably occur under most circumstances
5 Almost Certain Is expected to occur under most circumstances Table 2: Extent of transboundary impacts
Level Descriptor Description
1 Insignificant Very minor impact
2 Minor Minor impact, with moderate costs
3 Moderate Medium level impact requiring ongoing management or expensive corrective action
4 Major Major issue, high financial loss, and high and long-term costs
5 Catastrophic Serious issue, very high financial loss, and very high and long-term costs The significance of the transboundary impacts can be determined based on the relationship between the two components as illustrated in the matrix (Table 3) where impacts are classified into different levels or categories as low, medium, significant or very significant. Table 3: Significance of transboundary impacts
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Probability Extent
Insignificant Minor Moderate Major Catastrophic
Level of Impact 1 2 3 4 5
1 Rare 1.0 1.5 2.0 2.5 3.0
2 Unlikely 1.5 2.0 2.5 3.0 3.5
3 Moderate 2.0 2.5 3.0 3.5 4.0
4 Likely 2.5 3.0 3.5 4.0 4.5
5 Almost Certain 3.0 3.5 4.0 4.5 5.0 Source: Modification from IHA protocol1 Level of transboundary impact classification:
1.0 – 2.0 Low 2.5 – 3.0 Medium 3.5 – 4.0 Significant 4.5 – 5.0 Very significant
It is worth repeating that the above approach is not intended to produce an “objective” decision on whether or not the potential transboundary impacts associated with a given project/activity are enough “significant” to trigger TbEIA. In the transboundary context where individual parties (Concerned Member States or other non-state stakeholders) often hold different views and display different levels of sensitivity to various issues it would be necessary to reach agreement through engaging in deliberative process trying to objectively assess significance of potential transboundary impacts. Such deliberative process should already start during EIA process that is managed by the proponent (developer). Paragraphs 6 and 7 of the Procedural Guidance therefore stipulate that:
6. The national EIA Report shall describe potential environmental transboundary environmental impacts, their character, likelihood, significance and proposed measures for their prevention, minimization, mitigation/offsetting, monitoring and management. The potential transboundary environmental impacts that will be considered include direct, indirect, cumulative and synergistic impacts. 7. When doing so, the proponent can ask the Country of Origin to request the Potentially Affected Country to: a) provide the proponent with access to information on the relevant aspects of the potentially affected
environment on its territory, b) allow the proponent to conduct surveys on its territory, and c) assist the proponent in organizing consultations with potentially affected public and relevant authorities
on its territory – as long as they are properly planned and conducted within reasonable timeframes.
1 International Hydropower Association. Sustainability Assessment Protocol, pp. 9-10, July 2006.
2. NOTIFICATION AND FORMAL CONSULTATION OF POTENTIALLY AFFECTED COUNTRIES ON THE EIA REPORT
8. Where the (draft) EIA report submitted in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where [any other Member Country] [Potentially Affected Country(ies)] so requests, the Country of Origin forwards the (draft) EIA report to [the other Member Country(ies)] [Potentially Affected Country(ies)] at the same time as it makes it available to its own public.
Once the EIA report submitted to the EIA-responsible national authority in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where Potentially Affected Country(ies) so requests, the Country of Origin forwards the EIA report to Potentially Affected Country(ies) no later than at the same time as it makes it available to its own public.
9. The Country of Origin shall send the EIA Report along with other information on the proposed project/activity to Potentially Affected Country(ies) using PNPCA process. The formal transboundary consultations on the proposed project/activity and its accompanying EIA Report between the concerned Member Countries will be undertaken using the mechanism established by the PNPCA.
The Potentially Affected Country(ies) are free to conduct a quality review exercise for the received EIA report based on their own national practice, e.g.: • Establishing an independent panel selected from the environmental authority, and related key
line agencies and recognized experts including affected people to review in order to avoid or reduce bias; and
• Carefully review and examine the project activities, transboundary environmental impacts and their proposed mitigation measures, and monitoring activities detailed in the EIA report if reflected the local context and requirements.
In contrast to the case of reviewing an EIA report prepared according to its own national legislation, the review conducted by the Potentially Affected Country(ies) in the context of TbEIA should focus on substantial and technical aspects of the EIA report, and refrain from commenting on formal and procedural differences resulting from the EIA report being prepared in compliance with legal framework and established practice of the Country of Origin. The comments resulting from the review or consultations conducted in the Potentially Affected Country(ies) shall be conveyed in a consolidated manner in previously agreed time frame to the Country of Origin. The EIA-responsible authority of the Country of Origin treats the comments received through transboundary consultations in a standard manner along with comments from domestic stakeholders. The final approval of the EIA report by the national EIA-responsible authority takes place in full compliance with the national legislation of the Country of Origin, after the proponent responsible for the conducting the EIA study fulfills all necessary steps of the EIA process, including adjusting or correcting the EIA report based on received comments when required.
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Probability Extent
Insignificant Minor Moderate Major Catastrophic
Level of Impact 1 2 3 4 5
1 Rare 1.0 1.5 2.0 2.5 3.0
2 Unlikely 1.5 2.0 2.5 3.0 3.5
3 Moderate 2.0 2.5 3.0 3.5 4.0
4 Likely 2.5 3.0 3.5 4.0 4.5
5 Almost Certain 3.0 3.5 4.0 4.5 5.0 Source: Modification from IHA protocol1 Level of transboundary impact classification:
1.0 – 2.0 Low 2.5 – 3.0 Medium 3.5 – 4.0 Significant 4.5 – 5.0 Very significant
It is worth repeating that the above approach is not intended to produce an “objective” decision on whether or not the potential transboundary impacts associated with a given project/activity are enough “significant” to trigger TbEIA. In the transboundary context where individual parties (Concerned Member States or other non-state stakeholders) often hold different views and display different levels of sensitivity to various issues it would be necessary to reach agreement through engaging in deliberative process trying to objectively assess significance of potential transboundary impacts. Such deliberative process should already start during EIA process that is managed by the proponent (developer). Paragraphs 6 and 7 of the Procedural Guidance therefore stipulate that:
6. The national EIA Report shall describe potential environmental transboundary environmental impacts, their character, likelihood, significance and proposed measures for their prevention, minimization, mitigation/offsetting, monitoring and management. The potential transboundary environmental impacts that will be considered include direct, indirect, cumulative and synergistic impacts. 7. When doing so, the proponent can ask the Country of Origin to request the Potentially Affected Country to: a) provide the proponent with access to information on the relevant aspects of the potentially affected
environment on its territory, b) allow the proponent to conduct surveys on its territory, and c) assist the proponent in organizing consultations with potentially affected public and relevant authorities
on its territory – as long as they are properly planned and conducted within reasonable timeframes.
1 International Hydropower Association. Sustainability Assessment Protocol, pp. 9-10, July 2006.
2. NOTIFICATION AND FORMAL CONSULTATION OF POTENTIALLY AFFECTED COUNTRIES ON THE EIA REPORT
8. Where the (draft) EIA report submitted in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where [any other Member Country] [Potentially Affected Country(ies)] so requests, the Country of Origin forwards the (draft) EIA report to [the other Member Country(ies)] [Potentially Affected Country(ies)] at the same time as it makes it available to its own public.
Once the EIA report submitted to the EIA-responsible national authority in the Country of Origin indicates that the proposed activity may have transboundary environmental impacts or where Potentially Affected Country(ies) so requests, the Country of Origin forwards the EIA report to Potentially Affected Country(ies) no later than at the same time as it makes it available to its own public.
9. The Country of Origin shall send the EIA Report along with other information on the proposed project/activity to Potentially Affected Country(ies) using PNPCA process. The formal transboundary consultations on the proposed project/activity and its accompanying EIA Report between the concerned Member Countries will be undertaken using the mechanism established by the PNPCA.
The Potentially Affected Country(ies) are free to conduct a quality review exercise for the received EIA report based on their own national practice, e.g.: • Establishing an independent panel selected from the environmental authority, and related key
line agencies and recognized experts including affected people to review in order to avoid or reduce bias; and
• Carefully review and examine the project activities, transboundary environmental impacts and their proposed mitigation measures, and monitoring activities detailed in the EIA report if reflected the local context and requirements.
In contrast to the case of reviewing an EIA report prepared according to its own national legislation, the review conducted by the Potentially Affected Country(ies) in the context of TbEIA should focus on substantial and technical aspects of the EIA report, and refrain from commenting on formal and procedural differences resulting from the EIA report being prepared in compliance with legal framework and established practice of the Country of Origin. The comments resulting from the review or consultations conducted in the Potentially Affected Country(ies) shall be conveyed in a consolidated manner in previously agreed time frame to the Country of Origin. The EIA-responsible authority of the Country of Origin treats the comments received through transboundary consultations in a standard manner along with comments from domestic stakeholders. The final approval of the EIA report by the national EIA-responsible authority takes place in full compliance with the national legislation of the Country of Origin, after the proponent responsible for the conducting the EIA study fulfills all necessary steps of the EIA process, including adjusting or correcting the EIA report based on received comments when required.
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3. PUBLIC PARTICIPATION, DISCLOSURE, HEARING, AND FEEDBACK
9. Public consultations on the (draft) EIA Report in the Potentially Affected Country(ies) will be organized in accordance with applicable provisions specified in their domestic regulatory frameworks [and will provide inputs into the PNPCA procedure].
The public participation is vitally important to effectively address the potential transboundary environmental impacts of development projects. In order to reflect the real context of public participation, the national public participation policies are vitally important to be considered and complied with. In addition, the Public Participation in the Context of MRC is equally crucial to be considered. Due to the complexity of the nature of TbEIA, it is necessary that initial consultations between Concerned Member Countries (see section 4) also address the practical aspects for conducting a public participation process and related events in the territory of the Potentially Affected Country(ies). That includes agreement on number, scope and nature of public participation events, participation of national and local authorities in the Potentially Affected Country(ies), as well as organizational and financial aspects. In principle, the proponent of the project/activity responsible for conducting the EIA is also responsible for covering all the costs for domestic and the transboundary consultations. In practice, it can be recommended that the Potentially Affected Country(ies) interested in maximizing the effectiveness of the public participation process within its jurisdiction can support the process through in kind contribution, e.g. providing space in public buildings for the meetings, assist with identification of invitees and other logistic arrangements and the like. The public participation process within the territory of the Potentially Affected Country shall be designed to meet standards and requirements of the national EIA legislation of the Country of Origin (which authority will judge the quality of the EIA as a whole). However, it is highly recommended to consult and observe established standards applicable in the Potentially Affected Country. Information disclosure, hearing and feedback are essential. The proposed project/activity documentation and the EIA report are needed to be made available and accessible to the potentially affected people, interested parties and the general public for review, comments and follow-up. Information disclosure should take place based on the national communication guidelines, and the MRC Communications Strategy and Disclosure Policy.
4. DECISION MAKING ON PROPOSED PROJECT/ACTIVITY
10. The Country of Origin will make the decision on whether to implement the proposed project/activity, by taking into account the views raised through formal transboundary consultations [and applicable consultations with the public] conducted in accordance with the Paragraph 9.
Decision on a proposed project/activity is taken by a designated authority of the Country of Origin, and the TbEIA cannot in any way limit the national authority´s decision-making freedom. The EIA in
general and TbEIA in particular aims at supplying the decision-making authority objective and scientifically sound information about potential risks and likely environmental consequences of a proposed project/activity. Any decision-making authority (i.e. authority approving the project or granting a development permission) must take into due account and respond to the findings of the EIA. Therefore paragraph 11 of the Procedural guidance states that:
11. The Country of Origin shall ensure that the Potentially Affected Countries consulted through the PNPCA procedure are provided with the final decision and a statement containing:
(a) Responses to the comments received through the formal transboundary consultations; (b) Explanation how were reasonable alternatives and practical measures for preventing, minimizing or
offsetting/mitigating the adverse transboundary environmental impacts considered in the final decision on the proposed project/activity;
(c) Description of measures for monitoring and management of any residual transboundary environmental impacts and risks.
5. IMPLEMENTATION OF ENVIRONMENTAL MANAGEMENT PLAN (EMP) AND MONITORING
12. The Country of Origin shall ensure that proponents comply with the conditions stipulated in the decision on the proposed project/activity and implement the agreed measures for preventing, minimizing or offsetting/mitigating the adverse transboundary environmental impacts, and ii) conduct monitoring in order to identify any unforeseen adverse transboundary environmental impact at an early stage and to be able to undertake appropriate remedial action at their expense.
The requirements related to contents of EMP may vary according across national jurisdictions, however, from substantive perspective it is important it contains following key components allowing Potentially Affected Countries to review and check for compliance and effectiveness during the project implementation.:
a. Mitigation measure work plan b. Monitoring work plan c. Public participation process of EMP formulation (if any) d. Staffing and training work plan e. Cost estimates for EMP implementation f. Time schedule of EMP implementation and reporting
a. Mitigation Measure Workplan: provides detailed information on how mitigation
measures will be implemented, where and who is going to implement including the timeframe for the implementation. It is proposed that detailed description of mitigation measures workplan in a table format is vitally important and useful to be able to see the whole linkages from project activities to timeframe for mitigating transboundary impacts (Annex 3).
b. Monitoring Workplan: detail the specific monitoring arrangements. The key activities of
monitoring should present: project stages/project activities, direct/indirect and irreversible/irretrievable transboundary impacts, the proposed mitigation measures,
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Page 19
3. PUBLIC PARTICIPATION, DISCLOSURE, HEARING, AND FEEDBACK
9. Public consultations on the (draft) EIA Report in the Potentially Affected Country(ies) will be organized in accordance with applicable provisions specified in their domestic regulatory frameworks [and will provide inputs into the PNPCA procedure].
The public participation is vitally important to effectively address the potential transboundary environmental impacts of development projects. In order to reflect the real context of public participation, the national public participation policies are vitally important to be considered and complied with. In addition, the Public Participation in the Context of MRC is equally crucial to be considered. Due to the complexity of the nature of TbEIA, it is necessary that initial consultations between Concerned Member Countries (see section 4) also address the practical aspects for conducting a public participation process and related events in the territory of the Potentially Affected Country(ies). That includes agreement on number, scope and nature of public participation events, participation of national and local authorities in the Potentially Affected Country(ies), as well as organizational and financial aspects. In principle, the proponent of the project/activity responsible for conducting the EIA is also responsible for covering all the costs for domestic and the transboundary consultations. In practice, it can be recommended that the Potentially Affected Country(ies) interested in maximizing the effectiveness of the public participation process within its jurisdiction can support the process through in kind contribution, e.g. providing space in public buildings for the meetings, assist with identification of invitees and other logistic arrangements and the like. The public participation process within the territory of the Potentially Affected Country shall be designed to meet standards and requirements of the national EIA legislation of the Country of Origin (which authority will judge the quality of the EIA as a whole). However, it is highly recommended to consult and observe established standards applicable in the Potentially Affected Country. Information disclosure, hearing and feedback are essential. The proposed project/activity documentation and the EIA report are needed to be made available and accessible to the potentially affected people, interested parties and the general public for review, comments and follow-up. Information disclosure should take place based on the national communication guidelines, and the MRC Communications Strategy and Disclosure Policy.
4. DECISION MAKING ON PROPOSED PROJECT/ACTIVITY
10. The Country of Origin will make the decision on whether to implement the proposed project/activity, by taking into account the views raised through formal transboundary consultations [and applicable consultations with the public] conducted in accordance with the Paragraph 9.
Decision on a proposed project/activity is taken by a designated authority of the Country of Origin, and the TbEIA cannot in any way limit the national authority´s decision-making freedom. The EIA in
general and TbEIA in particular aims at supplying the decision-making authority objective and scientifically sound information about potential risks and likely environmental consequences of a proposed project/activity. Any decision-making authority (i.e. authority approving the project or granting a development permission) must take into due account and respond to the findings of the EIA. Therefore paragraph 11 of the Procedural guidance states that:
11. The Country of Origin shall ensure that the Potentially Affected Countries consulted through the PNPCA procedure are provided with the final decision and a statement containing:
(a) Responses to the comments received through the formal transboundary consultations; (b) Explanation how were reasonable alternatives and practical measures for preventing, minimizing or
offsetting/mitigating the adverse transboundary environmental impacts considered in the final decision on the proposed project/activity;
(c) Description of measures for monitoring and management of any residual transboundary environmental impacts and risks.
5. IMPLEMENTATION OF ENVIRONMENTAL MANAGEMENT PLAN (EMP) AND MONITORING
12. The Country of Origin shall ensure that proponents comply with the conditions stipulated in the decision on the proposed project/activity and implement the agreed measures for preventing, minimizing or offsetting/mitigating the adverse transboundary environmental impacts, and ii) conduct monitoring in order to identify any unforeseen adverse transboundary environmental impact at an early stage and to be able to undertake appropriate remedial action at their expense.
The requirements related to contents of EMP may vary according across national jurisdictions, however, from substantive perspective it is important it contains following key components allowing Potentially Affected Countries to review and check for compliance and effectiveness during the project implementation.:
a. Mitigation measure work plan b. Monitoring work plan c. Public participation process of EMP formulation (if any) d. Staffing and training work plan e. Cost estimates for EMP implementation f. Time schedule of EMP implementation and reporting
a. Mitigation Measure Workplan: provides detailed information on how mitigation
measures will be implemented, where and who is going to implement including the timeframe for the implementation. It is proposed that detailed description of mitigation measures workplan in a table format is vitally important and useful to be able to see the whole linkages from project activities to timeframe for mitigating transboundary impacts (Annex 3).
b. Monitoring Workplan: detail the specific monitoring arrangements. The key activities of
monitoring should present: project stages/project activities, direct/indirect and irreversible/irretrievable transboundary impacts, the proposed mitigation measures,
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
Page 20
indicators/targets to be met, the location to be measured, means or methods of measuring, time framework (frequency) of measuring, and responsibilities of measuring and monitoring. See Annex 4 for detailed information. After the proceeding of monitoring, proposed corrective measures need to be proposed to address the transboundary impacts which have not been fully addressed.
c. Public Participation Process for EMP Formulation: describes: (i) the process undertaken
to involve the public in the EMP formulation, and (ii) summarizes the comments and feedback of affected people, community leaders, district, provincial and central officials, NGOs and other stakeholders and describes how comments and feedback have been taken into consideration during EPM formulation.
d. Staffing and Training Workplan: provide information on the composition of staff of the
project for implementing the EMP. Where relevant draft the TOR for each staff member. The TOR would include the duty station, background of the project, objectives and expected outputs of the assignment, working principles, responsibilities and tasks, and types of reports to be delivered during the EMP implementation. The staffing work plan needs also to include the cost estimates of each member of the Environment Management Section/Unit of the project. As far as training is concerned, it is needed to indicate and plan on what types of training (training courses) will be required for the staff to undertake to enhance their capacity in implementing the EMP.
e. Cost Estimates for EMP Implementation: This section provides cost estimates for the
entire EMP implementation which will include the cost for detailed planning, mitigation of impacts during project construction, operation and decommissioning, monitoring activities, staff and training cost requirements.
f. Time Schedule of EMP Implementation and Reporting: this section provides the detailed
timeframe for implementing EMP which includes detailed workplan preparation, mitigation measures, monitoring, staff and training cost requirements. The time schedule is needed to highlight the reporting requirements (monthly, quarterly, semi-annually, and annually) during the EMP implementation.
13. The results of monitoring undertaken in accordance in Paragraph 12 shall be made available to the Potentially Affected Country(ies) in formats and time intervals prescribed in Paragraph 11(c) or otherwise mutually agreed between the Concerned Member Country(ies).
Monitoring system in the context of the TbEIA should be designed with particular attention to its capacity to record the development of transboundary environmental impacts of the proposed project/activity, and to effectively assist to their management. Monitoring is undertaken during and after the project construction, during the project operation, and decommissioning. The results of monitoring are compared with corresponding environmental baseline data that was obtained before the start of the project construction, operation and decommissioning. For its effective execution it is crucial to ensure the transboundary cooperation between the responsible authorities allowing for exchange of data, and where relevant also agreeing on conditions for an access of experts commissioned by the proponent (developer) to the potentially affected territory to conduct sampling or other monitoring activities.
Monitoring results should be part of the normal progress report and conducted based on the monitoring workplan. An effective monitoring shall be able to provide answers to following simple questions (which can be also used for communication of the monitoring results to the public): • Does the project appear to be having any significant transboundary environmental impacts
other than those anticipated for the construction, operation and decommissioning phases? And what measures have been taken to deal with these additional impacts?
• Have all mitigation measures proposed for dealing with those transboundary environmental impacts been implemented? If so are they having the desired effect?
• Are implemented measures effective in preventing any significant negative impacts and in enhancing of any significant positive impacts?
• Are the stakeholders and communities affected by the project generally satisfied with the management of transboundary environmental impacts?
• Have adequate provisions been made for monitoring of impacts caused by the project related activities?
• Are there any challenges or additional steps required? Who is responsible for their management? What tools and techniques are in use? How are the results disseminated?
• Who is responsible for implementing the remaining steps/measures and in what time frame they should be implemented?
The Procedural Guidelines formulate following provisions concerning needs for resolution of potential problems concerned monitoring and its results:
14. If any Potentially Affected Country regards the arrangements for monitoring as insufficient, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then consult and reach consensus on necessary measures to improve the monitoring. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat. 15. If as a result of the monitoring, or based on its own investigations, any Potentially Affected Country has reasonable grounds for concluding that there is significant transboundary environmental impact in accordance with objectives of the 1995 Mekong Agreement, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then immediately consult on measures that need to be taken to prevent, minimize or offset/mitigate the impact. Such measures may include an immediate ceasing of activities that cause significant adverse transboundary environmental impact. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
The MRC Secretariat will provide support Concerned Member Countries in addressing these concerns e.g. through facilitation of mutual consultations and providing its expert opinion in technical matters.
16. The costs associated with the assessment of the transboundary environmental impacts and implementation of measures for their prevention, minimizing or offsetting/mitigation as well as costs associated with monitoring and management of transboundary environmental impacts and the translation of relevant documents for informing and consulting the Potentially Affected Country(ies) will be born by the proponent. The costs related to consultations (e.g. direct costs of meetings in the concerned member states) will be jointly covered by the proponent and the respective Concerned Member States based on their agreements reached on case-by-case basis.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
Page 21
indicators/targets to be met, the location to be measured, means or methods of measuring, time framework (frequency) of measuring, and responsibilities of measuring and monitoring. See Annex 4 for detailed information. After the proceeding of monitoring, proposed corrective measures need to be proposed to address the transboundary impacts which have not been fully addressed.
c. Public Participation Process for EMP Formulation: describes: (i) the process undertaken
to involve the public in the EMP formulation, and (ii) summarizes the comments and feedback of affected people, community leaders, district, provincial and central officials, NGOs and other stakeholders and describes how comments and feedback have been taken into consideration during EPM formulation.
d. Staffing and Training Workplan: provide information on the composition of staff of the
project for implementing the EMP. Where relevant draft the TOR for each staff member. The TOR would include the duty station, background of the project, objectives and expected outputs of the assignment, working principles, responsibilities and tasks, and types of reports to be delivered during the EMP implementation. The staffing work plan needs also to include the cost estimates of each member of the Environment Management Section/Unit of the project. As far as training is concerned, it is needed to indicate and plan on what types of training (training courses) will be required for the staff to undertake to enhance their capacity in implementing the EMP.
e. Cost Estimates for EMP Implementation: This section provides cost estimates for the
entire EMP implementation which will include the cost for detailed planning, mitigation of impacts during project construction, operation and decommissioning, monitoring activities, staff and training cost requirements.
f. Time Schedule of EMP Implementation and Reporting: this section provides the detailed
timeframe for implementing EMP which includes detailed workplan preparation, mitigation measures, monitoring, staff and training cost requirements. The time schedule is needed to highlight the reporting requirements (monthly, quarterly, semi-annually, and annually) during the EMP implementation.
13. The results of monitoring undertaken in accordance in Paragraph 12 shall be made available to the Potentially Affected Country(ies) in formats and time intervals prescribed in Paragraph 11(c) or otherwise mutually agreed between the Concerned Member Country(ies).
Monitoring system in the context of the TbEIA should be designed with particular attention to its capacity to record the development of transboundary environmental impacts of the proposed project/activity, and to effectively assist to their management. Monitoring is undertaken during and after the project construction, during the project operation, and decommissioning. The results of monitoring are compared with corresponding environmental baseline data that was obtained before the start of the project construction, operation and decommissioning. For its effective execution it is crucial to ensure the transboundary cooperation between the responsible authorities allowing for exchange of data, and where relevant also agreeing on conditions for an access of experts commissioned by the proponent (developer) to the potentially affected territory to conduct sampling or other monitoring activities.
Monitoring results should be part of the normal progress report and conducted based on the monitoring workplan. An effective monitoring shall be able to provide answers to following simple questions (which can be also used for communication of the monitoring results to the public): • Does the project appear to be having any significant transboundary environmental impacts
other than those anticipated for the construction, operation and decommissioning phases? And what measures have been taken to deal with these additional impacts?
• Have all mitigation measures proposed for dealing with those transboundary environmental impacts been implemented? If so are they having the desired effect?
• Are implemented measures effective in preventing any significant negative impacts and in enhancing of any significant positive impacts?
• Are the stakeholders and communities affected by the project generally satisfied with the management of transboundary environmental impacts?
• Have adequate provisions been made for monitoring of impacts caused by the project related activities?
• Are there any challenges or additional steps required? Who is responsible for their management? What tools and techniques are in use? How are the results disseminated?
• Who is responsible for implementing the remaining steps/measures and in what time frame they should be implemented?
The Procedural Guidelines formulate following provisions concerning needs for resolution of potential problems concerned monitoring and its results:
14. If any Potentially Affected Country regards the arrangements for monitoring as insufficient, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then consult and reach consensus on necessary measures to improve the monitoring. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat. 15. If as a result of the monitoring, or based on its own investigations, any Potentially Affected Country has reasonable grounds for concluding that there is significant transboundary environmental impact in accordance with objectives of the 1995 Mekong Agreement, it shall inform the concerned Member Country(ies). The concerned Member Country(ies) will then immediately consult on measures that need to be taken to prevent, minimize or offset/mitigate the impact. Such measures may include an immediate ceasing of activities that cause significant adverse transboundary environmental impact. At the request of concerned Member Country(ies), such consultation can be facilitated by the MRC Secretariat.
The MRC Secretariat will provide support Concerned Member Countries in addressing these concerns e.g. through facilitation of mutual consultations and providing its expert opinion in technical matters.
16. The costs associated with the assessment of the transboundary environmental impacts and implementation of measures for their prevention, minimizing or offsetting/mitigation as well as costs associated with monitoring and management of transboundary environmental impacts and the translation of relevant documents for informing and consulting the Potentially Affected Country(ies) will be born by the proponent. The costs related to consultations (e.g. direct costs of meetings in the concerned member states) will be jointly covered by the proponent and the respective Concerned Member States based on their agreements reached on case-by-case basis.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
Page 22
The formal meetings of Concerned Member States will be shared among participating parties and the proponent as agreed on case-by-case basis. In principle, the proponent of the project/activity responsible for conducting the EIA is also responsible for covering all the costs for domestic and the transboundary consultations. In practice, it can be recommended that the Potentially Affected Country(ies) interested in maximizing the effectiveness of the consultation process within its jurisdiction (including e.g. consultations with public) can support the process through in kind contribution, e.g. providing space in public buildings for the meetings, assist with identification of invitees and other logistic arrangements and the like.
6. GUIDE TO INSTITUTIONAL ARRANGEMENT AND SUPPORT MECHANISMS
To use the Procedural Guidance effectively through clear and stepwise communication among the Member Countries, an institutional arrangement and management is crucial and recommended to be established both at MRC governance and in the Member Countries. The most critical roles and functions within this entire process will be performed by NMCs.
21. The roles/functions/responsibilities of the NMCs under the Procedural Guidance are to: • Supervise, advise, oversee and monitor the implementation of this Procedural Guidance within their
respective Member Countries; • Promote and actively encourage the implementation of this Procedural Guidance within their respective
Member Countries; and • Assist in any consultations, dialogues and agreements under this Procedural Guidance involving their
respective Member Countries. The key task of the NMCs is to ensure that relevant authorities in charge of planning (permitting) activities and projects subject to EIA and authorities supervising EIA processes for proposed projects/activities specified in the Paragraph 1 of the Procedural Guidance become aware of their role in the process of assessment of potential transboundary impacts and that they ensure that EIA report dully provide information on any identified transboundary impacts. NMCs should also agree with these relevant authorities that they become notified whenever the EIA process indicates that the proposed project/activity may have transboundary environmental impacts. In such cases, NMCs should get proactively involved in the respective EIA process and assist – if requested by the proponent – with the following matters: • assist with consultations on identification of transboundary environmental impacts that should be
assessed (based on Paragraph 5 of the Procedural Guidance) • facilitating access to information on the relevant aspects of the potentially affected environment,
allowing surveys on its territory and assisting consultations with potentially affected public and relevant authorities on its territory (based on Paragraph 7 of the Procedural Guidance)
Where the (draft) EIA report submitted indicates that the proposed project/activity may have transboundary environmental impacts, NMCs should help to manage the PNPCA procedure and/or help to undertake public consultations on the EIA report in the Potentially Affected Country(ies) in
accordance with applicable provisions specified in their domestic regulatory frameworks based on Paragraph 9 of the Procedural Guidance. Based on Paragraph 10 of the Procedural Guidance the NMCs will arrange transmission of results of the PNPCA to decision-making authorities in the Country of Origin on the proposed project/activity. NMCs will arrange transmission of the final decisions and accompanying statements on the proposed projects/activities between the Concerned Member States in accordance with Paragraph 9 of the Procedural Guidance. Lastly, NMCs will arrange transmission of monitoring results and will facilitate any consultations on potential deficiencies in the monitoring systems, on existence of significant transboundary environmental impact and on measures that need to be taken to prevent, minimize or offset/mitigate such impact based on Paragraphs 13, 14, and 15 of the Procedural Guidance.
Guidelines for Transboundary Environmental Impact Assessment in the Lower Mekong Basin
Page 23
accordance with applicable provisions specified in their domestic regulatory frameworks based on Paragraph 9 of the Procedural Guidance. Based on Paragraph 10 of the Procedural Guidance the NMCs will arrange transmission of results of the PNPCA to decision-making authorities in the Country of Origin on the proposed project/activity. NMCs will arrange transmission of the final decisions and accompanying statements on the proposed projects/activities between the Concerned Member States in accordance with Paragraph 9 of the Procedural Guidance. Lastly, NMCs will arrange transmission of monitoring results and will facilitate any consultations on potential deficiencies in the monitoring systems, on existence of significant transboundary environmental impact and on measures that need to be taken to prevent, minimize or offset/mitigate such impact based on Paragraphs 13, 14, and 15 of the Procedural Guidance.
Page 24
ANN
EX B
.1:
MRC
’S PR
OCE
DU
RES,
TOO
LS A
ND
TEC
HN
ICAL
PAP
ERS
MRC
Pro
gram
mes
Co
re A
ctiv
ities
/Com
pone
nts
Proc
edur
es a
nd T
ools
/Te
chni
cal P
aper
s
Inte
rnat
iona
l Co
mm
unic
atio
n Se
ctio
n
1. D
onor
liai
son
2.
Fac
ilita
ting
the
orga
niza
tion
of
gove
rnan
ce m
eetin
gs
3. M
RC-w
ide
stra
tegy
and
pol
icy
deve
lopm
ent
4. M
edia
rela
tions
and
ext
erna
l co
mm
unica
tions
with
stak
ehol
ders
5.
Coo
pera
tion
with
oth
er in
tern
atio
nal a
nd
regi
onal
org
aniza
tions
6.
Com
mun
icat
ion
prod
ucts
dev
elop
men
t in
cludi
ng m
anag
emen
t of M
RC w
ebsit
e 7.
Lib
rary
serv
ices
1. 1
995
Mek
ong
Agre
emen
t 2.
Pro
cedu
res f
or D
ata
and
Info
rmat
ion
Exch
ange
and
Sha
ring
(PDE
IS) -
200
1 3.
Pro
cedu
res f
or N
otifi
catio
n, P
rior C
onsu
ltatio
n, a
nd A
gree
men
t (PN
PCA)
- 20
03
4. P
roce
dure
s for
Wat
er u
se M
onito
ring
- 200
3 5.
Pro
cedu
res M
aint
enan
ce o
f Flo
w o
n th
e M
ains
trea
m -
2006
6.
Pro
cedu
res f
or W
ater
Qua
lity
-201
1
Basin
Dev
elop
men
t Pla
n Pr
ogra
mm
e 1.
Bas
in-w
ide
deve
lopm
ent s
cena
rio
form
ulat
ion
and
asse
ssm
ent
2. F
orm
ulat
ion
of IW
RM-b
ased
bas
in
stra
tegy
3.
Sub
-are
a an
alys
is
Draf
t rep
ort (
2010
)“Ba
sin-w
ide
deve
lopm
ent s
cena
rio a
sses
smen
t – to
war
d co
nsen
sus o
n ac
cept
able
leve
l of w
ater
reso
urce
s in
LMB
Draf
t rep
ort (
2010
) “IW
RM-b
ased
bas
in d
evel
opm
ent s
trat
egy
for L
MB”
Dr
aft 1
0 su
b-ba
sin a
rea
prof
iles
Page 25
Envi
ronm
ent
Prog
ram
me
1.
Wat
er q
ualit
y m
onito
ring
and
asse
ssm
ent,
bio-
mon
itorin
g, so
cial
impa
ct
mon
itorin
g an
d vu
lner
abili
ty a
sses
smen
t 2.
Ass
essm
ent t
ools
form
ulat
ion
and
conf
lict p
reve
ntio
n an
d m
anag
emen
t 3.
Wet
land
val
uatio
n, m
appi
ng a
nd
clas
sific
atio
n 4.
Env
ironm
enta
l flo
w
5. D
issem
inat
ion
of e
nviro
nmen
tal
know
ledg
e 6.
Ada
ptat
ion
to c
limat
e ch
ange
MRC
Tec
hnica
l Pap
er N
o. 1
3 “B
io-m
onito
ring
of th
e lo
wer
Mek
ong
Rive
r and
se
lect
ed tr
ibut
arie
s” (D
ecem
ber,2
006)
M
RC T
echn
ical P
aper
No.
15
"Dia
gnos
tic S
tudy
of W
ater
in th
e Lo
wer
Mek
ong
Basin
"(M
arch
200
7).
MRC
Tec
hnica
l Pap
er N
o. 1
6 "D
iagn
ostic
Stu
dy o
f Wat
er in
the
Low
er M
ekon
g Ba
sin”
(Mar
ch 2
007)
. M
RC T
echn
ical P
aper
No.
19
"An
asse
ssm
ent o
f Wat
er Q
ualit
y in
the
Mek
ong
Basin
" (No
vem
ber 2
008)
. M
RC T
echn
ical P
aper
No.
20
"Bio
-mon
itorin
g of
the
low
er M
ekon
g riv
er a
nd
sele
cted
trib
utar
ies,
200
4-20
07"(
Dece
mbe
r 200
8).
The
Mek
ong
river
repo
rt c
ard
on w
ater
qua
lity
(200
0-20
06)
Iden
tific
atio
n of
Fre
sh w
ater
Inve
rteb
rate
s of t
he M
ekon
g Ri
ver a
nd it
s Tr
ibut
arie
s M
RC (2
009)
Rep
ort o
n th
e 20
06 b
io-m
onito
ring
surv
ey o
f the
low
er M
ekon
g Ri
ver a
nd se
lect
ed tr
ibut
arie
s, M
RC T
echn
ical
Pap
er N
o. 2
2.
MRC
(200
9) R
epor
t on
the
2007
bio
-mon
itorin
g su
rvey
of t
he lo
wer
Mek
ong
Rive
r and
sele
cted
trib
utar
ies,
MRC
Tec
hnic
al P
aper
No.
23.
M
RC (2
009)
The
Mek
ong
Rive
r rep
ort c
ard
on A
quat
ic E
colo
gica
l Hea
lth 2
008.
M
RC (2
009)
Rep
ort o
n th
e 20
08 b
io-m
onito
ring
surv
ey o
f the
low
er M
ekon
g Ri
ver a
nd se
lect
ed tr
ibut
arie
s, M
RC T
echn
ical
Pap
er N
o. 2
7
Page 26
MRC
Man
agem
ent B
ookl
et S
erie
s No.
2 Th
e Fl
ow o
f the
Mek
ong
( Nov
embe
r 20
09)
MRC
Man
agem
ent B
ookl
et S
erie
s No.
3 Th
e Fl
ow o
f the
Mek
ong
( Nov
embe
r 20
09)
2008
Dec
embe
r. Th
e M
ekon
g Ri
ver R
epor
t Car
d on
Aqu
atic
Eco
logi
cal H
ealth
(2
004-
2007
) Bi
o-m
onito
ring
Met
hods
for t
he Lo
wer
Mek
ong
Basin
(Apr
il 20
10) E
nglis
h Bi
o-m
onito
ring
Met
hods
for t
he Lo
wer
Mek
ong
Basin
(Apr
il 20
10),
Lao
MRC
Sta
te o
f bas
in re
port
201
0 M
RC T
echn
ical p
aper
No.
24
“Ada
ptat
ion
to c
limat
e ch
ange
in th
e co
untr
ies o
f th
e LM
B”
MRC
Tec
hnica
l pap
er N
o. 2
9 “I
mpa
cts o
f clim
ate
chan
ge a
nd d
evel
opm
ent o
n M
ekon
g flo
w re
gim
es fi
rst a
sses
smen
t – 2
009”
(Jun
e 20
10)
MRC
Tec
hnica
l pap
er N
o. 3
0 “S
ocia
l Im
pact
Mon
itorin
g an
d Vu
lner
abili
ty
Asse
ssm
ent:
Repo
rt o
n a
Regi
onal
Pilo
t Stu
dy fo
r the
Mek
ong
Corr
idor
” (D
ecem
ber 2
010)
Nav
igat
ion
Prog
ram
me
1. S
ocio
-eco
nom
ic ju
stifi
catio
n an
d tr
ansp
ort p
lann
ing
Rive
r sur
vey
repo
rt “t
opog
raph
ic d
ata
of L
uang
Pra
bang
– V
ient
iane
, and
Lua
ng
Prab
ang
– Ho
isay,
Lao
PDR
”
Fram
ewor
k on
Nav
igat
ion
Agre
emen
t bet
wee
n Ca
mbo
dia
and
Viet
Nam
Page 27
2. L
egal
fram
ewor
k fo
r cro
ss-b
orde
r na
viga
tion
3. T
raffi
c sa
fety
and
env
ironm
enta
l su
stai
nabi
lity
4.
Info
rmat
ion,
pro
mot
ion
and
coor
dina
tion
Fish
erie
s Pro
gram
me
1. P
ropa
gatio
n of
Mek
ong
Indi
geno
us fi
sh
spec
ies (
9 sp
ecie
s)
2. R
egio
nal F
ish a
bund
ance
and
div
ersit
y m
onito
ring
(Mek
ong
and
trib
utar
y in
four
co
untr
ies)
3.
Lee
trap
and
gill
net f
isher
ies m
onito
ring
in so
uthe
rn La
os
4. F
ish la
rvae
mon
itorin
g in
Luan
gpra
bang
, Xa
yabu
ry p
rovi
nces
and
Vie
ntia
ne c
apita
l 5.
Fish
erie
s Co-
man
agem
ent i
n Re
serv
oirs
an
d riv
ers
Fish
ery
stud
y re
port
s
Initi
ativ
e fo
r Sus
tain
able
Hy
drop
ower
1.
Ass
essm
ent o
f the
pot
entia
l and
impa
cts
of h
ydro
pow
er o
n th
e M
ekon
g Ri
ver
2. B
asin
-wid
e hy
drop
ower
sust
aina
bilit
y ra
pid
asse
ssm
ent t
ool
SEA
“im
pact
ass
essm
ent r
epor
t on
risks
and
opp
ortu
nitie
s of p
ropo
sed
LMB
mai
nstr
eam
dam
s”.
Ba
sin-w
ide
hydr
opow
er su
stai
nabi
lity
asse
ssm
ent t
ool.
Info
rmat
ion
and
Know
ledg
e 1.
Hyd
rolo
gica
l mod
elin
g
De
cisio
n Su
ppor
t Fra
mew
ork
(DSF
),
Page 28
Man
agem
ent
Prog
ram
me
(IKM
P)
2. D
atab
ase
man
agem
ent
3. M
appi
ng
4. D
roug
ht m
anag
emen
t pol
icy
5.
Dro
ught
impa
ct a
sses
smen
t 6.
Dro
ught
fore
cast
ing
Mas
ter c
atal
og (h
ydro
logy
, wat
er q
ualit
y, ir
rigat
ion)
La
nd co
ver,
topo
grap
hy, w
etla
nd, p
opul
atio
n, d
eep
pool
atla
s, hy
dro
atla
s,
navi
gatio
n sp
ots
Floo
d M
anag
emen
t and
M
itiga
tion
Prog
ram
me
(FM
MP)
1. F
lood
pre
dict
ion
and
early
war
ning
sy
stem
2.
Flo
od m
anag
emen
t adv
ice
and
plan
ning
3.
Dev
elop
men
t of f
lood
miti
gatio
n m
easu
res
Page 29
ANN
EX B
.2:
CHEC
KLI
ST O
F PO
TEN
TIAL
TRA
NSB
OU
ND
ARY
IMPA
CTS
OF
SPEC
IFIC
PRO
JECT
S
1.
Hyd
ropo
wer
Pr
ojec
ts
Ca
uses
Pote
ntia
l Tra
nsbo
unda
ry Im
pact
s Po
tent
ial M
itiga
tion
Mea
sure
s Pr
imar
y Im
pact
s (D
irect
Im
pact
) Se
cond
ary
Impa
cts
(Indi
rect
Impa
ct)
Tert
iary
Impa
cts (
Indi
rect
Im
pact
)
Proj
ect D
esig
n
1. P
roje
ct si
ting
2. D
am si
te (t
oo h
igh)
3.
Res
ervo
ir st
orag
e ca
paci
ty (t
oo la
rge)
Sitin
g to
crit
ical
fish
ha
bita
ts
La
rge
volu
me
of
wat
er st
orag
e du
ring
the
rete
ntio
n pe
riod
Larg
e st
orag
e of
w
ater
com
pare
d to
ba
sin /r
iver
flow
Loss
of c
ritic
al fi
sher
y
habi
tats
Fl
ow re
duce
d in
dow
n st
ream
Hi
gh fl
uctu
atio
n of
Redu
cing
the
abili
ty o
f fis
h br
eedi
ng
In
adeq
uate
wat
er fo
r na
viga
tion,
agr
icul
ture
pr
oduc
tion
and
use
Redu
ced
wat
er su
pply
do
wns
trea
m
Incr
ease
d riv
er b
ank
eros
ion/
bed
scou
ring
Fish
reso
urce
s red
uced
and
fo
od se
curit
y iss
ue
Inco
me
redu
ced
and
pove
rty
conc
ern
Impa
cts o
n qu
ality
of l
ife
Impa
cts o
n na
viga
tion
due
to c
hang
e in
rive
r bed
Lo
ss o
f lan
d an
d re
late
d in
fras
truc
ture
Sele
ct th
e sit
e w
here
ther
e is
no c
ritic
al fi
sher
y ha
bita
ts
Cons
ider
and
des
ign
dam
w
ith a
ppro
pria
te h
eigh
t to
min
imiz
e th
e im
pact
s
Opt
imize
/lim
it th
e ca
paci
ty
com
pare
d to
rive
r flo
w a
nd
basin
cap
acity
Proj
ect C
onst
ruct
ion
1. D
am a
nd a
cces
s ro
ad c
onst
ruct
ion
Rem
ovin
g to
p so
il al
ong
or c
lose
to th
e riv
er
Soil
eros
ion
W
ater
qua
lity
issue
in
the
dow
nstr
eam
Hum
an h
ealth
issu
e an
d po
vert
y co
ncer
n
Use
of a
ppro
pria
te e
rosio
n co
ntro
l dur
ing
the
cons
truc
tion,
avo
id re
mov
ing
top
soil
alon
g or
clo
se to
the
river
2.
Dam
site
and
fa
cilit
ies c
onst
ruct
ion
1. B
arrie
rs to
fish
m
igra
tion
2. B
arrie
rs to
na
viga
tion
activ
ities
- Red
uce
the
abili
ty fo
r fish
m
igra
tion
and
bree
ding
- I
ncom
e fr
om tr
ade
and
tour
ism re
duce
d
- Fish
reso
urce
s red
uced
- N
atio
nal/s
ub-n
atio
nal
GDP
redu
ced
- Fish
cat
ch, i
ncom
e an
d fo
od se
curit
y re
duce
d,
pove
rty
issu
e
- Lac
k of
fund
to su
ppor
t po
vert
y re
duct
ion
- App
ropr
iate
des
igni
ng o
f fis
h pa
ssag
e/ la
dder
s
- Put
in p
lace
ship
lock
s to
faci
litat
e na
viga
tion
activ
ities
Page 30
3. L
imita
tion
to
nutr
ient
tran
spor
t 4.
Sed
imen
t tra
ppin
g 5.
Invo
lunt
ary
rese
ttle
men
t of
peop
le
- Los
s of f
ertil
e so
il
- Red
uced
aqu
atic
food
ch
ain
- Wat
er q
ualit
y iss
ues a
nd
alga
e bl
oom
acc
eler
atio
n Li
velih
ood
conc
ern
- Red
uce
agric
ultu
ral
prod
uctio
n
- Red
uce
fish
prod
uctiv
ity
He
alth
issu
e In
com
e lo
sses
In
com
e re
duce
d
- Po
vert
y co
ncer
n - P
over
ty co
ncer
n - P
over
ty co
ncer
n - P
over
ty co
ncer
n
Prop
er d
esig
n of
dam
s to
flush
out
sedi
men
ts to
do
wns
trea
m
Dred
ging
whe
re a
ppro
pria
te
Prov
ide
fare
com
pens
atio
n to
af
fect
ed p
eopl
e
3. E
lect
ric tr
ansm
issio
n lin
es a
nd c
orrid
ors
The
line
s and
co
rrid
ors p
ass
thro
ugh
flora
and
fa
una
area
s
Loss
of t
erre
stria
l eco
logy
Biod
iver
sity
redu
ced
Recr
eatio
n/to
urism
af
fect
ed
Care
ful s
elec
tion
of c
orrid
ors
to m
inim
ize/c
ontr
ol th
e lo
ss
Proj
ect O
pera
tion
1.Re
serv
oir
impo
undm
ent
Bi
omas
s deg
rada
tion
Redu
ce d
owns
trea
m
flow
U
pstr
eam
are
a flo
oded
Wat
er q
ualit
y iss
ue
Wat
er sh
orta
ge is
sue
Lo
ss o
f ara
ble
land
and
fo
rest
are
as
Hum
an, a
quat
ic a
nd
anim
al h
ealth
issu
e W
ater
supp
ly c
onst
rain
ts
Inco
me
and
food
se
curit
y iss
ues
Aqua
tic re
sour
ces r
educ
ed
and
pove
rty
conc
ern
Aqua
tic e
cosy
stem
di
stur
bed,
and
live
lihoo
d im
pact
s
Pove
rty
issue
Clea
r all
vege
tatio
n be
fore
re
serv
oir f
illin
g.
Cons
ider
atio
n of
MRC
m
inim
um fl
ow p
roce
dure
s.
Cons
ider
atio
n of
dam
op
erat
ion
alte
rnat
ives
Page 31
2.
Pow
erho
use
op
erat
ion
1. Ir
regu
lar w
ater
re
leas
e
2. S
edim
ent t
rapp
ing
- Flo
ods i
n do
wns
trea
m
- Flu
ctua
tions
of w
ater
flo
w/le
vel
in d
owns
trea
m
Chan
ge in
deg
ree
of
sedi
men
tatio
n an
d se
a-w
ater
influ
x (in
est
uary
) Ri
ver c
hann
el/b
ank
eros
ion
Redu
ced
sedi
men
t de
posit
ion
(in e
stua
ry)
- Los
s of a
rabl
e la
nd,
hous
es a
nd c
ultu
ral
herit
age
site
- F
ish h
abita
t and
br
eedi
ng d
amag
es
Rive
r ban
k er
osio
n/be
d sc
ourin
g So
il fe
rtili
ty re
duce
d
- Res
ettle
men
t of p
eopl
e - F
ish re
sour
ces r
educ
ed
- Los
s of a
rabl
e la
nd h
ouse
s an
d isl
ands
and
cha
nge
in
soci
o-ec
onom
ic c
ondi
tions
do
wns
trea
m
- Pro
per d
am d
esig
n,
appr
opria
te ru
les f
or d
am
oper
atio
n, a
nd fa
re
com
pens
atio
n m
echa
nism
. -
Appr
opria
te ru
les f
or d
am
oper
atio
n.
- Pro
per m
eans
of r
iver
ban
k pr
otec
tion.
Re
gula
rly re
leas
e se
dim
ent t
o th
e do
wns
trea
m
Proj
ect
Deco
mm
issi
onin
g
2. Ir
rigat
ion
Sche
mes
(A
ctiv
ities
) Ca
uses
Po
tent
ial T
rans
boun
dary
Impa
cts
Pote
ntia
l Miti
gatio
n M
easu
res
Prim
ary
Impa
cts
Seco
ndar
y Im
pact
s Te
rtia
ry Im
pact
s Pr
ojec
t Des
ign
Ve
ry la
rge
scal
e of
Irr
igat
ion
chan
nel
High
vol
ume
of w
ater
us
e
Wat
er q
uant
ity re
duce
d in
the
dow
nstr
eam
Inad
equa
te w
ater
for
crop
pro
duct
ion
and
navi
gatio
n in
the
dry
seas
on in
dow
nstr
eam
.
Inco
me
redu
ces a
nd
pove
rty
conc
erns
Avoi
d de
signi
ng o
f ver
y la
rge
scal
e of
irrig
atio
n sc
hem
es
Proj
ect C
onst
ruct
ion
Page 32
1. A
cces
s roa
d an
d ch
anne
l con
stru
ctio
n 2.
Lan
d cl
earin
g in
se
nsiti
ve a
reas
Soil
eros
ion
Soil
and
river
ban
k er
osio
n
Wat
er q
ualit
y iss
ues
Loss
of l
and
valu
e an
d as
soci
ated
pr
oper
ty/in
fras
truc
ture
Hum
an h
ealth
impa
cts
Loss
of i
ncom
e an
d in
crea
sed
expe
nditu
re
on in
fras
truc
ture
Pove
rty
conc
ern
Pove
rty
and
qual
ity o
f lif
e iss
ue
Avoi
d co
nstr
uctio
n of
the
unne
cess
ary
acce
ss ro
ad, a
nd
cons
truc
t app
ropr
iate
ch
anne
l Av
oid
or li
mit
use
of la
nd
near
sens
itive
are
as
Proj
ect O
pera
tion
1. W
ater
use
Di
vers
ion
of w
ater
fo
r irr
igat
ed a
reas
F
luct
uatio
ns in
wat
er
in d
owns
trea
m
Redu
ced
river
flow
s in
dow
nstr
eam
N
avig
atio
n ac
tivity
and
salin
e in
trus
ion
issue
Lan
d us
e, w
ater
supp
ly
issue
in d
owns
trea
m.
Inco
me
redu
ced
Red
uce
prod
uctio
n an
d po
vert
y co
ncer
n
Pove
rty
issue
Use
of M
RC P
roce
dure
s for
W
ater
Use
Mon
itorin
g
2. U
se o
f che
mic
al
fert
ilize
rs
Leac
hing
and
runo
ff of
nut
rient
s to
dow
nstr
eam
prol
ifera
tion
of a
quat
ic w
eeds
, an
d eu
trop
hica
tion,
Wat
er q
ualit
y iss
ue
Heal
th is
sue
Prop
er ru
les a
nd c
ontr
ol o
f th
e us
e of
fert
ilize
rs
3. U
se o
f pes
ticid
es
Leac
hing
and
runo
ff of
pes
ticid
es t
o do
wns
trea
m
Wat
er q
ualit
y iss
ue
Hum
an h
ealth
issu
e
Pove
rty
issue
In
trod
uctio
n of
rule
s on
use
of p
estic
ides
, and
lim
it pe
stic
ides
that
hav
e hi
gh
toxi
c su
bsta
nces
Pr
ojec
t de
com
mis
sioni
ng
3. P
ort a
nd ri
verw
orks
(A
ctiv
ities
)
Proj
ect d
esig
n
1.
Por
t siti
ng
2. D
esig
n of
rive
rwor
ks
(sig
nific
ant c
hang
es
from
nat
ure)
Dam
age
of fi
sh
habi
tats
and
br
eedi
ng
Rive
r ban
k pr
otec
tion
larg
e sc
ale
Fish
reso
urce
s red
uced
Ch
ange
s in
hydr
olog
y an
d lo
ss
of ri
ver b
otto
m
Redu
ce fi
sh p
rodu
ctiv
ity
Rive
r ban
k er
osio
n/be
d sc
ourin
g in
crea
sed
Less
fish
cat
ch a
nd
inco
me
redu
ced
Loss
of l
and
and
rela
ted
prop
erty
/ in
fras
truc
ture
Sitin
g th
e po
rt to
whe
re is
far
away
from
dee
p po
ols
Cons
ider
use
of p
rope
r riv
er
emba
nkm
ent m
etho
ds a
nd
Page 33
Er
osio
n co
ntro
l st
ruct
ure
Use
of i
mpr
oper
stru
ctur
e an
d m
ater
ials
In
crea
se ri
ver b
ank
eros
ion
dow
nstr
eam
in
form
oth
er c
ount
ries t
o be
pr
epar
ed in
adv
ance
.
Proj
ect c
onst
ruct
ion
1. P
ort c
onst
ruct
ion
2. E
rosio
n co
ntro
l st
ruct
ure
cons
truc
tion
Port
stre
tch
into
the
river
Im
prop
er u
se o
f im
port
ed m
ater
ials
- Cha
nges
of f
ollo
w re
gim
e - L
ocal
nav
igat
ion
and
fishe
ry
inte
rfer
ence
Rive
r ban
k er
osio
n/be
d sc
ourin
g in
crea
sed
- Inc
reas
e riv
er b
ank
eros
ion
- Los
s of p
eopl
e pr
oduc
tivity
and
inco
me
Loss
of l
and
and
rela
ted
prop
erty
/infr
astr
uctu
re
- Los
s of l
and,
hou
ses
and
islan
ds
- Foo
d se
curit
y re
duce
d, a
nd p
over
ty
is su
e - Q
ualit
y of
life
issu
e In
com
e an
d qu
ality
of
life
issue
- Min
imum
/lim
ited
stru
ctur
e st
retc
hed
into
the
river
Us
e of
pro
per t
echn
olog
y an
d m
ater
ial f
or c
onst
ruct
ion
Proj
ect o
pera
tion
1. N
avig
atio
n of
ve
ssel
s O
pera
tion
of v
esse
l pr
opel
lers
N
avig
atio
n cl
ose
to
the
river
ban
k an
d w
ith h
igh
spee
d In
adeq
uate
m
anag
emen
t of
was
te fr
om v
esse
ls
Eros
ion
of is
land
nea
rby
and
crea
tion
of n
ew is
land
s
Rive
r ban
k er
osio
n an
d af
fect
ing
loca
l boa
ts
Wat
er c
onta
min
atio
n
Loss
of l
and
for
culti
vatio
n
Grad
ual l
oss o
f ara
ble
land
and
hou
ses,
da
mag
e lo
cal b
oats
De
stru
ctio
n of
rive
r fis
hery
/eco
logy
Food
secu
rity
issue
an
d in
com
e de
crea
sed
In
suffi
cien
t lan
d fo
r cu
ltiva
tion
and
pove
rty
issue
Pro
per s
elec
t por
t site
whe
re
is fa
r aw
ay fr
om is
land
s N
avig
ate
on th
e m
iddl
e of
th
e riv
er w
ith sp
eed
limit.
Set
tim
e fo
r rel
easin
g ve
ssel
s.
Put i
n pl
ace
appr
opria
te so
lid
was
te m
anag
emen
t.
2. P
ort o
pera
tion
Inad
equa
te
man
agem
ent o
f w
aste
em
issio
n fr
om
Wat
er c
onta
min
atio
n
Hum
an a
nd a
quat
ic
heal
th is
sue
Pov
erty
issu
e
Stro
ng e
nfor
cem
ent o
f law
s an
d re
gula
tions
Page 34
port
faci
litie
s (O
il sp
ills,
sew
age
rele
ase
and
solid
was
te
disp
osal
from
por
t op
erat
ion
area
)
Wat
er-r
elat
ed d
iseas
es
De
stru
ctio
n of
por
t fis
hery
/eco
logy
Ex
trao
rdin
ary
atte
ntio
n to
w
aste
man
agem
ent f
rom
po
rt fa
cilit
ies
Proj
ect
deco
mm
issio
ning
4. N
avig
atio
n Pr
ojec
ts
(Act
iviti
es)
Caus
es
Pote
ntia
l Tra
nsbo
unda
ry Im
pact
s Po
tent
ial M
itiga
tion
Mea
sure
s Pr
imar
y Im
pact
s Se
cond
ary
Impa
cts
Tert
iary
Impa
cts
Proj
ect d
esig
n
1
. Riv
er
chan
neliz
atio
n
Dred
ging
/larg
e am
ount
of s
poil
mat
eria
l
Impr
oper
disp
osal
of d
redg
ing
spoi
ls (in
priv
ate
land
and
/or
sens
itive
pub
lic a
reas
, eg,
na
tiona
l par
ks/f
ores
ts)
Chan
ges i
n h
ydro
logy
an
d va
lues
of d
ispos
ed
land
s W
aste
s ass
ocia
ted
with
the
mat
eria
ls
Loss
of l
and
valu
e/
prod
uctiv
ity
Loss
of
tour
ist/r
ecre
atio
nal
area
s
Lim
it am
ount
of d
redg
ing
spoi
ls Us
e of
pro
per s
ites a
nd
met
hods
of d
ispos
ing
the
spoi
l mat
eria
ls Pr
ojec
t con
stru
ctio
n
N
avig
atio
n ca
nal
impr
ovem
ents
Rapi
ds, s
hoal
s an
d re
efs b
last
ing
Incr
ease
wat
er v
eloc
ity in
the
river
L
oss o
f fish
ery
habi
tats
and
aq
uatic
wee
ds a
nd k
illin
g fis
h
Riv
er b
ank
eros
ion
F
ish
reso
urce
s re
duce
d, a
nd lo
ss o
f aq
uatic
wee
ds
Los
s of a
rabl
e la
nd
and
hous
es
Redu
ce fi
sh c
atch
and
in
com
e. L
oss o
f loc
al
trad
ition
al fo
od m
ade
from
wee
ds
Min
imal
rem
ove
of ra
pids
, sh
oals
and
reef
s as l
ess a
s po
ssib
le.
Av
oid
blas
ting
rapi
ds, s
hoal
s an
d re
efs w
here
fish
hab
itats
an
d aq
uatic
wee
ds a
re c
ritic
al
Dr
edgi
ng a
ctiv
ity
Dred
ging
Loss
of b
otto
m h
abita
t and
ch
ange
s of h
ydro
logy
Incr
ease
flow
vel
ocity
in
the
river
Rive
r ban
k er
osio
n/be
d sc
ourin
g in
crea
sed
Inve
st in
mod
ern
dred
ging
te
chni
ques
. Dre
dge
durin
g th
e lo
w fl
ow p
erio
ds o
r non
-cr
itica
l per
iods
.
Pr
ojec
t ope
ratio
n
Page 35
1. N
avig
atio
n of
ve
ssel
s 2.
Nav
igat
ion
faci
litie
s (in
cl. p
iers
)
Nav
igat
ion
clos
e to
th
e riv
er b
ank
and
with
hig
h sp
eed
Use
of p
ublic
serv
ices
an
d re
leas
e of
se
wag
e an
d so
lid
was
te
Rive
r ban
k er
osio
n an
d af
fect
ing
loca
l boa
ts
Lim
ited
supp
ly o
f pub
lic se
rvic
es
and
incr
ease
d po
llutio
n
Grad
ual l
oss o
f ara
ble
land
and
hou
ses,
da
mag
e lo
cal b
oats
Lo
ss o
f lan
d va
lue/
prod
uctiv
ity
Wat
er-r
elat
ed d
iseas
es
Insu
ffici
ent l
and
for
culti
vatio
n an
d po
vert
y iss
ue
Inco
me
and
qual
ity o
f lif
e iss
ue
Nav
igat
e on
the
mid
dle
of
the
river
with
spee
d lim
it. S
et
time
for r
elea
sing
vess
els.
Co
nsid
er li
mite
d us
e of
pub
lic
serv
ices
and
pol
lutio
n of
the
faci
litie
s
Proj
ect
deco
mm
issio
ning
5. In
dust
rial a
nd
Min
ing
pro
ject
s
Proj
ect d
esig
n
1. P
roje
ct si
ting
2. T
ypes
, lay
out a
nd
size
(incl
. tec
hnol
ogy)
Sitin
g to
crit
ical
fish
ha
bita
ts
Sitin
g ne
ar im
port
ant
cultu
ral/a
rche
olog
ical
sit
es
Larg
e ar
ea a
nd
capa
city
of
prod
uctio
n
Loss
of c
ritic
al fi
sher
y h
abita
ts
Loss
or d
amag
e to
reso
urce
s Li
mite
d su
pply
of p
ublic
serv
ices
an
d in
crea
sed
pollu
tion
Redu
cing
the
abili
ty o
f fis
h br
eedi
ng
Loss
of t
ouris
t /r
ecre
atio
nal a
reas
Lo
ss o
f lan
d va
lue
/pro
duct
ivity
Fish
reso
urce
s red
uced
an
d fo
od se
curit
y iss
ue
Pove
rty
and
qual
ity o
f lif
e iss
ue
Inco
me
and
qual
ity o
f lif
e iss
ue
Sele
ct th
e sit
e w
here
ther
e is
no c
ritic
al fi
sher
y ha
bita
ts
Care
ful s
ite se
lect
ion
to a
void
th
e da
mag
e Co
nsid
er li
mite
d us
e of
ar
ea/c
apac
ity a
nd p
ublic
se
rvic
es, w
ith le
ss p
ollu
tion
Proj
ect c
onst
ruct
ion
1. L
and
clea
ring
in
sens
itive
are
as
2. P
ollu
tion
durin
g co
nstr
uctio
n
Cons
truc
tion
in
sens
itive
are
as (e
g,
wat
ersh
eds,
rive
r ba
nks,
hig
hly
popu
late
d, e
tc)
Loss
of b
iodi
vers
ity a
nd la
nd
valu
e N
uisa
nce
and
heal
th is
sue
Loca
l/reg
iona
l lan
d
and
envi
ronm
enta
l de
grad
atio
n In
com
e an
d qu
ality
of
life
issue
Loca
l com
mun
ity
soci
o-ec
onom
ic
cond
ition
s wor
sen
Cons
ider
lim
ited
area
of
clea
ring
and
in n
on-s
ensit
ive
area
s
Page 36
In
duce
d po
llutio
n (in
cl. n
oise
, vib
ratio
n,
was
te, e
tc)
Lim
it an
d pl
an fo
r pro
per
man
agem
ent o
f con
stru
ctio
n w
aste
and
pol
lutio
n
Proj
ect o
pera
tion
1. M
iner
al p
rodu
ctio
n
- Ext
ract
ion
of
min
eral
s fro
m o
r ne
arby
the
river
- Cha
nges
in fl
ow p
atte
rns
- Wat
er q
ualit
y iss
ue
- Riv
er b
ank
eros
ion/
bed
scou
ring
- Hea
lth is
sue
- Los
s of a
rabl
e an
d ho
uses
- P
over
ty c
once
rn
Avoi
d ex
trac
tion
of h
uge
min
eral
s in
the
river
or c
lose
to
the
river
2. M
iner
al p
roce
ssin
g
Use
of w
ater
- W
ater
qua
lity
issue
- A
quat
ic a
nd h
uman
he
alth
issu
e - P
over
ty c
once
rn a
nd
redu
ced
aqua
tic li
fe
Wat
er u
se w
ith a
ppro
pria
te
trea
tmen
t bef
ore
rele
asin
g in
to th
e riv
er
3. M
inin
g/in
dust
rial
tow
n de
velo
pmen
t 4.
Indu
stria
l/min
ing
prod
uctio
n
Stor
m w
ater
, sol
id
was
te d
ispos
al a
nd
sew
age
rele
ase
Pollu
tion
from
pr
oduc
tion
eg, n
oise
, ai
r, et
c)
Impr
oper
m
anag
emen
t of
haza
rdou
s mat
eria
ls
- Wat
er q
ualit
y iss
ue
Hum
an n
uisa
nce
issue
W
ater
qua
lity
issue
- Aqu
atic
and
hum
an
heal
th is
sue
Publ
ic h
ealth
issu
e
- Pov
erty
con
cern
and
re
duce
d aq
uatic
life
di
tto-
Prop
er to
wn
plan
ning
and
m
anag
emen
t Co
nsid
er u
se o
f tec
hnol
ogy
and
capa
city
to li
mit
pollu
tion
impa
cts
Proj
ect
deco
mm
issio
ning
Tbei
a Pr
ojec
ts
Caus
es
Pote
ntia
l Tra
nsbo
unda
ry Im
pact
s Po
tent
ial M
itiga
tion
Mea
sure
s Pr
imar
y Im
pact
s Se
cond
ary
Impa
cts
Tert
iary
Impa
cts
6. A
quac
ultu
re
proj
ects
(Act
iviti
es)
Proj
ect d
esig
n
Pond
sitin
g
Sitin
g cl
ose
to ri
ver
Po
tent
ial l
oss t
o fis
h ha
bita
ts
Fish
reso
urce
s red
uced
Fo
od se
curit
y iss
ues
and
pove
rty
conc
ern
Se
lect
the
site
whe
re th
ere
is no
crit
ical
fish
ery
habi
tats
Page 37
Proj
ect
impl
emen
tatio
n
Pond
dev
elop
men
t Co
nver
sion
of n
atur
al
habi
tats
Lo
ss o
f wet
land
and
fish
hab
itats
Fi
sh re
sour
ces r
educ
ed
Food
secu
rity
issue
s an
d po
vert
y co
ncer
n
Avoi
d co
nver
sion
of
impo
rtan
t wet
land
to fi
sh
farm
ing
Proj
ect o
pera
tion
Fi
sh fe
edin
g -W
aste
wat
er
disc
harg
e a
nd fe
ed
deca
y
- Wat
er q
ualit
y iss
ues
- Con
tam
inat
ion
of
aqua
tic e
cosy
stem
s
- Hum
an h
ealth
issu
e
- Red
uced
aqu
atic
re
sour
ces
- Pov
erty
con
cern
Prov
ide
faci
lity
for w
ater
tr
eatm
ent a
nd c
ontr
ol o
f fe
eds f
or fi
sh
W
aste
wat
er re
leas
e fr
om sl
augh
ter a
nd
proc
essin
g ho
use
- Wat
er q
ualit
y iss
ues
- Wat
er b
orn
dise
ases
- H
uman
hea
lth is
sue
Pr
ovid
e fa
cilit
y fo
r wat
er
trea
tmen
t bef
ore
rele
asin
g to
th
e riv
er
Proj
ect
deco
mm
issio
ning
7. W
ater
ext
ract
ion
for w
ater
supp
ly
(Act
iviti
es)
Proj
ect d
esig
n
1. W
eir o
r dam
sitin
g 2.
Wat
er
inta
ke/t
reat
men
t w
orks
Sitin
g cl
ose
to ri
ver
Stru
ctur
e st
retc
h in
to
the
river
Pote
ntia
l los
s to
fish
habi
tats
N
avig
atio
n/fis
hery
inte
rfer
ence
Fish
reso
urce
s red
uced
Lo
ss o
f peo
ple
prod
uctiv
ity in
clud
ing
inco
me
Food
secu
rity
issue
s an
d po
vert
y co
ncer
n Q
ualit
y of
life
issu
e
Sele
ct th
e sit
e w
here
ther
e is
no c
ritic
al fi
sher
y ha
bita
ts
Prop
er st
ruct
ural
des
ign
with
lim
ited
stru
ctur
e st
retc
hed
into
rive
r Pr
ojec
t im
plem
enta
tion
Wat
er fa
cilit
y de
velo
pmen
t
Wei
r or d
am
cons
truc
tion,
and
w
ater
pip
e al
ignm
ent
Wat
er q
ualit
y iss
ue
Hum
an a
nd a
quat
ic
heal
th is
sue
P
over
ty c
once
rn a
nd
aqua
tic li
fe a
ffect
Pr
oper
con
trol
of s
edim
ent
durin
g th
e co
nstr
uctio
n.
Proj
ect o
pera
tion
1.
Wat
er p
roce
ssin
g an
d us
e
Dive
rsio
n of
hug
e am
ount
of w
ater
for
use
Wat
er q
uant
ity re
duce
d
Inad
equa
te w
ater
use
in
dow
nstr
eam
Food
secu
rity
issue
s an
d po
vert
y co
ncer
n
Use
of M
RC P
roce
dure
s for
W
ater
Use
Mon
itorin
g
Page 38
2. W
aste
wat
er
gene
ratio
n fr
om so
me
activ
ities
Was
tew
ater
from
to
urism
-rel
ated
and
in
dust
rial a
ctiv
ities
Wat
er q
ualit
y iss
ues
Impa
cts o
n aq
uatic
ec
osys
tem
Re
duce
bio
dive
rsity
an
d hu
man
hea
lth
Prop
er p
lan
and
impl
emen
t w
aste
wat
er m
anag
emen
t an
d re
use
syst
em
Proj
ect
deco
mm
issio
ning
Page 39
ANN
EX B
.3:
MIT
IGAT
ION
MEA
SURE
S W
ORK
PLA
N
Proj
ect S
tage
/ Ac
tiviti
es
Dire
ct In
dire
ct
Impa
cts
Irrev
ersib
le/
Irret
rieva
ble
Impa
cts
Prop
osed
M
itiga
tion
Mea
sure
s
Loca
tion
to b
e Im
plem
ente
d Re
spon
sibili
ties
Tim
efra
me
Proj
ect d
esig
n Ac
tivity
1
Activ
ity 2
Ac
tivity
3
Activ
ity 4
….
Proj
ect c
onst
ruct
ion
Activ
ity 1
Ac
tivity
2
Activ
ity 3
Ac
tivity
4…
.
Proj
ect o
pera
tion
Activ
ity 1
Ac
tivity
2
Activ
ity 3
Ac
tivity
4…
.
Page 40
ANN
EX B
.4:
MO
NIT
ORI
NG
WO
RK P
LAN
Proj
ect S
tage
/ Ac
tiviti
es
Dire
ct/
Indi
rect
Im
pact
s
Irrev
ersi
ble/
Irr
etrie
vabl
e Im
pact
s
Prop
osed
M
itiga
tion
Mea
sure
s
Indi
cato
rs/
targ
ets t
o be
m
et
Loca
tion
to b
e M
easu
red
Mea
ns/
Met
hods
to
be
Mea
sure
d
Tim
efra
me
(Fre
quen
cy)
Resp
onsib
ilitie
s
Proj
ect c
onst
ruct
ion
Activ
ity 1
Ac
tivity
2
Activ
ity 3
Ac
tivity
4…
.
Proj
ect o
pera
tion
Ac
tivity
1
Activ
ity 2
Ac
tivity
3
Activ
ity 4
….
Proj
ect
deco
mm
issio
n
Activ
ity 1
Ac
tivity
2
Activ
ity 3
Ac
tivity
4…
.
Recommended