Guidelines for Transboundary Environmental Impact ... · A. PROCEDURAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN I STATEMENT OF INTENT

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


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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


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


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


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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.


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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


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.


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.


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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


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


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:


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


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:


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


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


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


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


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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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


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


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,


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.


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.


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.


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…

.

Documents

Guidelines for Transboundary Environmental Impact ... · A. PROCEDURAL GUIDANCE FOR TRANSBOUNDARY ENVIRONMENTAL IMPACT ASSESSMENT FOR THE LOWER MEKONG BASIN I STATEMENT OF INTENT