en508 eia-spring2016

NED University of Engineering and Technology Department of Environmental Engineering

Spring 2016 (Jan‐Jun 2016) EN508: Environmental Impact Assessment

Teacher:

Engr. Tufail Ali Zubedi Environmental Consultant @ http://www.SPMCpk.com/ [email protected]

Students: AMEEN BALOCH JAI KUMAR AHMED SAMI SALEHA KHAN M. WAQAR AZEEM TABISH NAEEM RABAB ZEHRA FARAH DIBA BABUR SAEED SHAHREYAR WASEEM AHMED AMAR ASWANI M. AMIN RAJ KUMAR UZMA RASHID M. AHMER

Engr. Tufail Ali Zubedi, PE

BE Civil, ME Environmental Engg

Environmental Consultant

http://www.SPMCpk.com/

EN 508

Environmental Impact Assessment

Today’s Talk

Round of Introduction

Class etiquettes

Course Syllabus

Distribution of Marks

Introduction to subject

Round of Introduction

Tufail Ali Zubedi

Students

Class Etiquettes

Student – Teacher relationship

While in class:

Smoking , Eating, Drinking, especially sleeping is not allowed

Mobile / iPod / iPads switched off

Lecture will be provided

Open to suggestions

“Learn by doing”

Language of instruction = English

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Marks Distribution

Distribution of Course Marks Marks

1. Exams

60

2. Sessional 40

a. Monthly Class Test

(All included)

4No. x 5Marks = 20

b. EIA / IEE Reports +

Presentation

4No. x 5Marks = 20

Today’s Talk

Natural resources and its characteristics

Global Environmental Issues

Natural Resources

Natural Resources represent the sources of wealth of earth.

Any naturally-occurring substances that can be used for economic gain.

Examples are coal, oil, natural gas, mineral ores, water, arable land, fish, and timber.

Natural Resources Categorization

By their source of origin,

stage of development, and

by their renewability

Natural Resource - Category

By their source of origin

Biotic –are obtained from the biosphere (living and organic material),

Examples include forests, animals, Gelatins. Coal, petroleum and biogas

Abiotic –are obtained from non-living, non-organic material.

Examples land, fresh water, air and metals.

Natural Resource - Category

By their stage of development

Actual resources – Actual resources are those that have been surveyed, their quantity and quality determined and are being used in present times.

Reserve resources – The part of an actual resource which can be developed profitably in the future is called a reserve resource.

Potential resources –that exist in a region and may be used in the future.

Stock resources – Stock resources are those that have been surveyed but cannot be used due to lack of technology.

Natural Resources

Maybe categorized as

Renewable Resource

Non-Renewable Resource

Renewable resource replenishes itself after being consumed.

For example, soil, sunlight, water.

Non-renewable resource do not or take a lot of time to replenish itself.

For example, oil, gas

http://simple.wikipedia.org/wiki/Renewable_resource

http://simple.wikipedia.org/wiki/Sunlight

http://simple.wikipedia.org/wiki/Water

http://simple.wikipedia.org/wiki/Non-renewable_resource



Natural Resources and their Use

Natural Resources and their use.flv

Natural Resources in Asia

Population and Gender Issue

Climate Change

Global Warming

Greenhouse Gas

Global dimming

Sea Level Rise

Flooding

Ocean acidification

Shutdown of thermohaline circulation

Fishing

Bottom trawling

Gillnetting

Illegal, unreported and unregulated fishing

Overfishing

Whaling

Forests

Deforestation

Illegal logging

Land Degradation

Species

Endangered species

Species extinction

Genetic diversity

Habitat destruction

Invasive species

Pollinator decline

Water Body

Eutrophication of lake

Habitat destruction

Lake acidification

Loss of Bio-diversity

Biological diversity: The variety of life on Earth.

Why is Biodiversity important?

Biodiversity boosts ecosystem productivity where each species, no matter how small, all have an important role to play.

Food Production & Security

Air pollution

Atmospheric particulate matter

Smog

Tropospheric ozone

Indoor air quality

Water pollution

Acid rain

Groundwater recharge

Ocean dumping

Oil spills

Thermal pollution

Urban runoff

Ocean acidification

Ship pollution

Wastewater

Algal bloom

Coral Reefs

Coral reefs are also one of the most threatened marine systems.

Scientists estimate that unless we take immediate action, we could lose up to 70 percent of coral reefs by 2050.

Urbanization

Waste

Solid Waste

Electronic waste

Hazardous waste

Decrease of Migratory Birds

Water Scarcity

Currently, over 50 percent of the world’s population lives in cities. By 2050, cities will become home to roughly 2 billion more people and 70 percent of the global population.

Much of this growth is occurring in regions already experiencing water scarcity or in cities with inadequate water systems.

Already today, over half of the world’s cities with populations over 100,000 are located in water-stressed areas. And, within the next decade, more than 65 percent of the world’s population will be living with water shortages.

Reading Assignment

IUCN-Pakistan Conservation Strategy

IUCN- State of Environment and Development (SoED) of

Sindh

IUCN-Sindh Strategy for Sustainable Development

FINAL WORDS

There is much debate worldwide over natural resource

allocations, this is partly due to increasing scarcity (depletion

of resources) but also because the exportation of natural

resources is the basis for many economies (particularly for

developed nations).

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Environmental Laws and Regulation

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EngrTufail Ali ZubediEnvironmental Consultant

http://www.SPMCpk.com/[email protected]

in Pakistan for EIA

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@ p p

http://www.SPMCpk.com/ Contact: [email protected]

Environmental Laws and Regulation in Pakistan for EIA

1958 to 1965: specific environmental laws were promulgatedThe Pakistan Penal Code, 1860 (Section 278)The West Pakistan Prohibition of Smoking in Cinema Houses

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The West Pakistan Prohibition of Smoking in Cinema Houses Ordinance, 1960The Factories Act, 1934 (Section 16, 33K and 33L)The Canal and Drainage Act 1873 (amended in 1952, 1965, 1968 and 1970) The West Pakistan Fisheries Ordinance, 1961 The Motor Vehicles Ordinance, 1965Ports Act, 1908

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Pakistan Territorial Waters and Maritime Zones Act, 1976 Karachi Port Trust (Amendment) Ordinance, 1994

Pakistan Environmental Protection Ordinance 1983Pakistan Environmental Protection Ordinance 1996

Environmental Laws and Regulation in Pakistan for EIA

1958 to 1965: specific environmental laws were promulgatedThe Public Health (Emergency Provisions) Ordinance, 1944

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g yThe West Pakistan Epidemic Diseases Act, 1958The Dock Laborers Act, 1934 o The Mines Act, 1923 o The Consolidated Mines Rules, 1952 o The Oil and Gas (Safety in Drilling and Production) Regulations, 1974

P ki t E i t l P t ti A t 1997

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Pakistan Environmental Protection Act 1997

18th Constitutional Amendments –

Sindh Environmental Protection Act 2014

Ministry of Environment, PakistanThe Federal Environment Ministry was established in Pakistan in 1975.

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Ministry was responsible for promulgation of the Environmental Protection Ordinance of Pakistan in 1983.

The main objective of Ordinance 1983 was to establish Federal and Provincial Environmental Protection Agencies and P ki t E i t l P t ti C il (PEPC)

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Pakistan Environmental Protection Council (PEPC).

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Section Definition

Preamble Preamble

1 Short title, extent and commencement

2 Definitions

Environmental Protection Ordinance of Pakistan in 1983R

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3 Establishment of the Council

4 Functions of the Council

5 Establishment of the Agency

6 Functions of the Agency

7 Powers of the Agency

8 Environment impact statement, etc., to be submitted to the Agency

9 Agency to assist local councils, etc., in disposal of wastes

10 Funds of the Agency

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11 Audit and accounts

12 Penalty

13 Indemnity

14 Bar of jurisdiction

15 Dues of Agency recoverable as an arrear of land revenue

16 Power to make rules

17 Power to make regulations


In 1992 Pakistan attended the Earth Summit in state of Brazil (Rio-De Janeiro) and thereafter became party to various

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international conventions and protocols.

1992 Pakistan prepared National Conservation Strategy (NCS),

It provides a broad framework for addressing environmental concerns in the country.

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Pakistan Environmental Protection Ordinance, 1983 wassuperseeded by PEPO-1996 and then Pakistan Environmental Protection Act was enacted on 6th December 1997

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Protection Act was enacted on 6th December 1997.It provides the framework for

implementation of NCS, establishment of Provincial Sustainable development Funds, Protection and conservation of species, conservation of renewable resources, establishment of Environmental Tribunals and appointment of

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ppEnvironmental Magistrates, Initial Environmental Examination (IEE), and Environmental Impact Assessment (EIA).Pakistan Environmental Protection Council

Section Definition

Preamble Preamble

1 Short title, extent and commencement

2 Definitions


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3 Establishment of Pakistan Environmental Protection Council

4 Functions and power of the Council

5 Establishment of the Pakistan Environmental Protection Agency

6 Functions of the Federal Agency

7 Powers of the Federal Agency

8 Establishment, powers and functions of the Provincial Environmental Protection Agencies

9 Establishment of the Provincial Sustainable Development Funds

10 Management of the Provincial Sustainable Development Fund.

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11 Prohibition of certain discharges or emissions

12 Initial environmental examination and environmental impact assessment

13 Prohibition of import of hazardous waste.

14 Handling of hazardous substances

15 Regulation of motor vehicles

16 Environmental protection order

17 Penalties


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Section Definition

1 8 Offences by bodies corporate

19 Offences by Government Agencies, local authorities or local councils

20 Environmental Tribunals

Pakistan Environmental Protection Act 1997R

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21 Jurisdiction and powers of Environmental Tribunals

22 Appeals to the Environmental Tribunal

23 Appeals from orders of the Environmental Tribunal

24 Jurisdiction of Environmental Magistrates

25 Appeals from orders of Environmental Magistrates

26 Power to delegate

27 Power to give directions

28 Indemnity

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29 Dues recoverable as arrears of land revenue

30 Act to override other laws


32 Power to amend the Schedule


34 Repeal, savings and succession http://www.SPMCpk.com/ Contact: [email protected]


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5(1-6)

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2. Definitions(i) "adverse environmental effect" means impairment of, or damage to, the environment and includes—(a) impairment of or damage to human health and safety or to

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(a) impairment of, or damage to, human health and safety or to biodiversity or property; (b) pollution; and (c) any adverse environmental effect as may be specified in the regulations; (xi) "environmental impact assessment" means an environmental study comprising collection of data, prediction of qualitative and quantitative impacts comparison of alternatives evaluation of

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quantitative impacts, comparison of alternatives, evaluation of preventive, mitigatory and compensatory measures, formulation of environmental management and training plans and monitoring arrangements, and framing of recommendations and such other components as may be prescribed;

2. Definitions(xxiv) "initial environmental examination" means a preliminary environmental review of the reasonably

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foreseeable qualitative and quantitative impacts on the environment of a proposed project to determine whether it is likely to cause an adverse environmental effect for requiring preparation of an environmental impact assessment;

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2. Definitions(xxxv) "project" means any activity, plan, scheme, proposal or undertaking involving any change in the environment and includes

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includes—(a) construction or use of buildings or other works; (b) construction or use of roads or other transport systems; (c) construction or operation of factories or other installations; (d) mineral prospecting, mining, quarrying, stone-crushing, drilling and the like;

h f l d d

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(e) any change of land use or water use; and (f) alteration, expansion, repair, decommissioning or abandonment of existing buildings or other works, roads or other transport systems, factories or other installations;

2. Definitions(xxxvi) "proponent" means the person who proposes or intends to undertake a project;

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5. Establishment of the Pakistan Environmental Protection Agency

-(1) The Federal Government shall, by notification in the official Gazette, establish the Pakistan Environmental P i A i h d f h

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Protection Agency to exercise the powers and perform the functions assigned to it under this Act and the rules and regulations made thereunder. (2) The Federal Agency shall be headed by a Director-General who shall be appointed by the Federal Government on such terms and conditions as it may determine. (3) Th F d l A h ll h h d

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(3) The Federal Agency shall have such administrative, technical and legal staff, as the Federal Government may specify, to be appointed in accordance with such procedure as may be prescribed.

5. Establishment of the Pakistan Environmental Protection Agency

(4) The powers and functions of the Federal Agency shall be exercised and performed by the Director-General.

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(5) The Director-General may, by general or special order, delegate any of the powers and functions to staff appointed under sub-section (3). (6) For assisting the Federal Agency in the discharge of its functions the Federal Government shall establish Advisory Committees for various sectors and appoint as members h f f h l

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thereof eminent representatives of the relevant sector, educational institutions, research institutes and non-governmental organizations.

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6. Functions of the Federal Agency(1) The Federal Agency shall

(a) administer and implement this Act and the rules and

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pregulations made; (b) prepare, in co-ordination with the appropriate Government Agency and in consultation with the concerned sectoralAdvisory Committees, national environmental policies for approval by the Council; (c) take all necessary measures for the implementation of the

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y pnational environmental policies approved by the Council;

6. Functions of the Federal Agency(d) prepare and publish an annual National Environment Report on the state of the environment;

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(e) prepare, establish and revise the National Environmental Quality Standards with approval of the Council: (f) ensure enforcement of the National Environmental Quality Standards;

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6. Functions of the Federal Agency(g) establish standards for the quality of the ambient air, water and land, by notification in the official Gazette in consultation

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with the Provincial Agency concerned: Provided that

(i) different standards for discharge or emission from different sources and for different areas and conditions may be specified;

(ii) where standards are less stringent than the National Environmental Quality Standards prior approval of the Council shall be obtained;

(iii) certain areas, with the approval of the Council, may exclude from

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( ) , pp , ycarrying out specific activities, projects from the application of such standards;

6. Functions of the Federal Agency(h) co-ordinate environmental policies and programmesnationally and internationally;

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(i) establish systems and procedures for surveys, surveillance, monitoring, measurement, examination, investigation, research, inspection and audit to prevent and control pollution, and to estimate the costs of cleaning up pollution and rehabilitating the environment in various sectors;

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6. Functions of the Federal Agency(k) certify one or more laboratories as approved laboratories for conducting tests and analysis and one or more research

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institutes as environmental research institutes for conducting research and investigation for the purposes of this Act. (l) identify the needs for and initiate legislation in various sectors of the environment; (m) render advice and assistance in environmental matters including such information and data available with it as may be

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required for carrying out the purposes of this Act: Provided that the disclosure of such information shall be subject to the restrictions contained in the provision sub-section (3) of section 12;

6. Functions of the Federal Agency(n) assist the local councils, local authorities, Government Agencies and other persons to implement schemes for the

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proper disposal of wastes so as to ensure compliance with the standards established by it; (o) provide information and guidance to the public on environmental matters; (q) promote public education and awareness of environmental issues through mass media and other means including seminars

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and workshops;

6. Functions of the Federal Agency(r) specify safeguards for the prevention of accidents and disasters which may cause pollution, collaborate with the

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concerned person in the preparation of contingency plans for control of such accidents and disasters, and co-ordinate implementation of such plans;

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6. Functions of the Federal Agency(t) take or cause to be taken all necessary measures for the protection, conservation, rehabilitation and improvement of the

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environment, prevention and control of pollution and promotion of sustainable development; and (u) perform any function which the Council may assign to it.

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6. Functions of the Federal Agency(2) The Federal Agency may—

(a) undertake inquiries or investigation into environmental

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q gissues, either of its own accord or upon complaint from any person or organization; (b) request any person to furnish any information or data relevant to its functions; (c) initiate with the approval of the Federal Government, requests for foreign assistance in support of the purposes of this

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q g pp p pAct and enter into arrangements with foreign agencies or organizations for the exchange of material or information and participate in international seminars or meetings;

6. Functions of the Federal Agency(d) recommend to the Federal Government the adoption of financial and fiscal programmes, schemes or measures for

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achieving environmental objectives and goals and the purposes of this Act, including—

(i) incentives, prizes awards, subsidies, tax exemptions, rebates and depreciation allowances; and

(ii) taxes, duties, cesses and other levies;

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6. Functions of the Federal Agency(e) establish and maintain laboratories to help in the performance of its functions under this Act and to conduct

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research in various aspects of the environment and provide or arrange necessary assistance for establishment of similar laboratories in the private sector; and(f) provide or arrange, in accordance with such procedure as may be prescribed, financial assistance for projects designed to facilitate the discharge of its functions.

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7. Powers of the Federal Agency Subject to the provisions of this Act, the Federal Agency may—

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(c) fix and realize fees, rates and charges for rendering any service or providing any facility, information or data under this Act or the rules and regulations;

(e) appoint with the approval of the Federal Government and in accordance with such procedures as may be prescribed,

h d i t d lt t it id

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such advisers, experts and consultants as it considers necessary for the efficient performance of its functions on such terms and conditions as it may deem fit;

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7. Powers of the Federal Agency (f) summon and enforce the attendance of any person and require him to supply any information or document needed

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for the conduct of any enquiry or investigation into any environmental issue;

(g) enter and inspect and under the authority of a search warrant issued by the Environmental Court or Environmental Magistrate, search at any reasonable time, any land building premises vehicle or vessel or other place

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land, building, premises, vehicle or vessel or other place where or in which. there are reasonable grounds to believe that an offence under this Act has been, or is being, committed;

7. Powers of the Federal Agency (h) take samples of any materials, products, articles or substances or of the effluent, wastes or air pollutants being

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discharged or emitted or of air, water or land in the vicinity of the discharge or emission;

(i) arrange for test and analysis of the samples at a certified laboratory;

(j) confiscate any article used in the commission of the ff h th ff d i t k t b f d

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offence where the offender is not known or cannot be found within a reasonable time:

7. Powers of the Federal Agency Provided that the power under clauses (f), (h), (i) and (j) shall be exercised in accordance with the provisions of the Code of

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Criminal Procedure, 1898 (Act V of 1898). or the rules made under this Act and under the direction of the Environmental Court or Environmental Magistrate; and

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8. Establishment, powers and functions of the Provincial

Environmental Protection Agencies

(1) Every Provincial Government shall, by notification in the official Gazette, establish an Environmental Protection

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Agency, to exercise such powers and perform such functions as may be delegated to it by the Provincial Government under sub-section (2) of section 26.

(2) The Provincial Agency shall be headed by a Director-General who shall be appointed by the Provincial Government on such terms and conditions as it may

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Government on such terms and conditions as it may determine.

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(3) The Provincial Agency shall have such administrative, technical and legal staff as the Provincial Government may

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specify, to be appointed in accordance with such procedure as may be prescribed.

(4) The powers and functions of the Provincial Agency shall be exercised and performed by the Director-General.

(5) The Director General may, by general or special order, d l t f th d f ti t t ff i t d

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delegate any of the powers and functions to staff appointed under sub-section (3).



(6) For assistance of the Provincial Agency in the discharge of its functions, the Provincial Government shall establish

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Sectoral Advisory Committees for various sectors and appoint members from amongst eminent representatives of the relevant sector, educational institutions, research institutes and non-governmental organizations.

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12. Initial environmental examination and environmental impact assessment

(1) No proponent of a project shall commence construction or operation unless he has filed with the Government Agency

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designated by Federal Environmental Protection Agency or Provincial Environmental Protection Agencies, as the case may be, or, where the project is likely to cause an adverse environmental effects an environmental impact assessment, and has obtained from the Government Agency approval in respect thereof.

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p


(2) The Government Agency shall subject to standards fixed by the Federal Environmental Protection Agency—

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(a) review the initial environmental examination and accord its approval, or require submission of an environmental impact assessment by the proponent; or (b) review the environmental impact assessment and accord its approval subject to such conditions as it may deem fit to impose, require that the environmental impact assessment be

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re-submitted after such modifications as may be stipulated or reject the project as being contrary to environmental objectives.

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(3) Every review of an environmental impact assessment shall be carried out with public participation and no information

ill b di l d d i h f h bli

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will be disclosed during the course of such public participation which relates to—

(i) trade, manufacturing or business activities, processes or techniques of a proprietary nature, or financial, commercial, scientific or technical matters which the proponent has requested should remain confidential, unless for reasons to be recorded in writing, the Director General of the Federal Agency

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g, g yis of the opinion that the request for confidentiality is not well-founded or the public interest in the disclosure outweighs the possible prejudice to the competitive position of the project or its proponent; or


(3) Every review of an environmental impact assessment shall be carried out with public participation and no information

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will be disclosed during the course of such public participation which relates to—

(ii) international relations, national security or maintenance of law and order, except with the consent of the Federal Government; or(iii) matters covered by legal professional privilege.

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( ) y g p p g


(4) The Government Agency shall communicate its approval or otherwise within a period of four months from the date

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the initial environmental examination or environmental impact assessment is filed complete in all respects in accordance with the prescribed procedure, failing which the initial environmental examination or, as the case may be, the environmental impact assessment shall be deemed to have been approved, to the extent to which it does not contravene

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pp ,the provisions of this Act and the rules and regulations.


(5) Subject to sub-section (4) the appropriate Government may in a particular case extend the aforementioned period of

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four months if the nature of the project so warrants.

(6) The provisions of sub-sections (1), (2), (3), (4) and (5) shall apply to such categories of projects and in such manner as may be prescribed.

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(7) The Government Agency shall maintain separate registers for initial environmental examination and environmental

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impact assessment projects, which shall contain brief particulars of each project and a summary of decisions taken thereon, and which shall be open to inspection by the public at all reasonable hours and the disclosure of information in such registers shall be subject to the restrictions specified in sub-section (3).

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( )

16. Environmental protection order(1) Where the Federal Agency or a Provincial Agency is satisfied that the discharge or emission of any effluent, waste, air pollutant or noise, or the disposal of waste, or the handling of hazardous

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or noise, or the disposal of waste, or the handling of hazardous substances, or any other act or omission is likely to occur, or is occurring, or has occurred, in violation of the provisions of this Act, rules or regulations or of the conditions of a licence, and is likely to cause, or is causing or has caused an adverse environmental effect, the Federal Agency or, as the case may be, the Provincial Agency may, after giving the person responsible for such discharge, emission, disposal, handling, act or omission an opportunity of being heard by order direct such person to take

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opportunity of being heard, by order direct such person to take such measures that the Federal Agency or Provincial Agency may consider necessary within such period as may be specified in the order.

16. Environmental protection order(2) In particular and without prejudice to the generality of the foregoing power, such measures may include—

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(a) immediate stoppage, preventing, lessening or controlling the discharge, emission, disposal, handling, act or omission, or to minimize or remedy the adverse environmental effect; (b) installation, replacement or alteration of any equipment or thing to eliminate, control or abate on a permanent or temporary basis, such discharge, emission, disposal, handling,

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g gact or omission; (c) action to remove or otherwise dispose of the effluent, waste, air pollutant, noise, or hazardous substances; and

16. Environmental protection order(d) action to restore the environment to the condition existing prior to such discharge, disposal, handling, act or omission, or as close to

h d iti b bl i th i t t th

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such cond ition as may be reasonable in the circumstances, to the satisfaction of the Federal Agency or, Provincial Agency.

(3) Where the person, to whom directions under sub-section (1) are given, does not comply therewith, the Federal Agency or Provincial Agency may, in addition to the proceedings initiated against him under this Act, the rules and regulations, itself take or cause to be taken such measures specified in the order as it may

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cause to be taken such measures specified in the order as it may deem necessary and may recover the reasonable costs of taking such measures from such person as arrears of land revenue.

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17. Penalties(1) Whoever contravenes or fails to comply with the provisions of sections 11, 12, 13 or section 16 or any order

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issued thereunder shall be punishable with fine which may extend to one million rupees, and in the case of a continuing contravention or failure, with an additional fine which may extend to one hundred thousand rupees for every day during which such contravention or failure continues:

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17. Penalties(3) Where an accused has been convicted of an offence under sub-sections (1) and (2), the Environmental Court and

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Environmental Magistrate, as the case may be, shall, in passing sentence, take into account the extent and duration of the contravention or failure constituting the offence and the attendant circumstances.

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17. Penalties(4) Where an accused has been convicted of an offence under sub-section (1) and the Environmental Court is satisfied that

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as a result of the commission of the offence monetary benefits have accrued to the offender, the Environmental Court may order the offender to pay, in addition to the fines under sub-section (1), further additional fine commensurate with the amount of the monetary benefits.

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17. Penalties(5) Where a person convicted under sub-sections (1) or sub-section (2) had been previously convicted for any

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contravention under this Act, the Environmental Court or, as the case may be, Environmental Magistrate may, in addition to the punishment awarded thereunder—

(a) endorse a copy of the order of conviction to the concerned trade or industrial association, if any, or the concerned Provincial Chamber of Commerce and Industry or the

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yFederation of Pakistan Chambers of Commerce and Industry;

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17. Penalties(b) sentence him to imprisonment for a term which may extend to two years;

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(c) order the closure of the factory; (d) order confiscation of the factory, machinery, and equipment, vehicle, material or substance, record or document or other object used or involved in contravention of the provisions of the Act:

Provided that for a period of three years from the date of commencement

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of this Act the sentence of imprisonment shall be passed only in respect of persons who have been previously convicted for more than once for any contravention of sections 11, 13, 14 or 16 involving hazardous waste;

17. Penalties(e) order such person to restore the environment at his own cost, to the conditions existing prior to such contravention or as

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close to such conditions as may be reasonable in the circumstances to the satisfaction of the Federal Agency or, as the case may be, Provincial Agency; and (f) order that such sum be paid to any person as compensation for any loss, bodily injury, damage to his health or property suffered by such contravention.

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17. Penalties(6) The Director-General of the Federal Agency or of a Provincial Agency or an officer generally or specially

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authorised by him in this behalf may, on the application of the accused compound an offence under this Act with the permission of the Environmental Tribunals or Environmental Magistrate in accordance with such proceedure as may be prescribed.

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1 8 Offences by bodies corporate


20 Environmental Tribunals

21 Jurisdiction and powers of Environmental Tribunals


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23 Appeals from orders of the Environmental Tribunal

24 Jurisdiction of Environmental Magistrates

25 Appeals from orders of Environmental Magistrates

29 Dues recoverable as arrears of land revenuePR

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Provincial Environmental Protection Agencies (EPAs) have also been established in all four provinces, which focus on

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industrial and urban pollution problems. EPA Punjab established in 1987 EPA Sindh established in 1989, NWFP in 1992, and Baluchistan in 1995, AJK in 2005 and

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AJK in 2005, and NA in 2007

2001Environmental institutions at local government level under Local Government Ordinance, 2001 were established.

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Sindh Local Government Ordinance 2001: Environment Mandate Section 40(a)(b), 54(e), 80(f),.

In this connection district environment offices have been established and most of the implementations of PEPA, 1997 was supposed to be taken up by local governments.

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The Eighteenth Amendment of the Constitution of Pakistan was passed by the National Assembly of Pakistan on April 8,

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2010

The subject of environment has been devolved by the provinces and jointly own by Federal and Provincial Governments.

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Read

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Sindh Environmental Protection Act 2014

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PC-1 Formhttp://www.pc.gov.pk/?page_id=1138

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Pakistan Environmental Protection Act, 1997

1

The Gazette of Pakistan

EXTRAORDINARY PUBLISHED BY AUTHORITY

====================================================== ISLAMABAD, SATURDAY,, DECEMBER 6,1997

PART I

Acts, Ordinances, President’s Orders and Regulations

SENATE SECRETARIAT

Islamabad, the 6th December, 1997

No. F. 9(46)/97-Legis.- The following Acts of Majlis-e-Shoora (Parliament) received the assent of the Acting President on 3rd December, 1997 are hereby published for general

information :-

Act No. XXXIV OF 1997

An Act to provide for the protection, conservation, rehabilitation and improvement of the environment, for the prevention and control of pollution, and promotion of sustainable development

WHEREAS it is expedient to provide for the protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution, promotion of sustainable development, and for matters connected therewith and incidental thereto;

1. Short title, extent and commencement.---(1) This Act, shall be called the Pakistan Environmental Protection Act, 1997

(2) It extends to the whole of Pakistan.

(3) It shall come into force at once.

2. Definitions.—In this Act, unless there is anything repugnant in the subject or context,—

(i) "adverse environmental effect" means impairment of, or damage to, the environment and includes—

(a) impairment of, or damage to, human health and safety or to biodiversity or property;


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(b) pollution; and

(c) any adverse environmental effect as may be specified in the regulations;

(ii) "agricultural waste" means waste from farm and agricultural activities including poultry, cattle farming, animal husbandry residues from the use of fertilizers, pesticides and other farm . chemicals;

(iii) "air pollutant" means any substance that causes pollution of air and includes soot, smoke, dust particles, odour, light, electro-magnetic, radiation, heat, fumes, combustion exhaust, exhaust gases, noxious gases, hazardous substances and radioactive substances;

(iv) "biodiversity" or "biological diversity" means the variability among living organisms from all sources, including inter alia terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part, including diversity within species, between species and of ecosystems;

(v) "Council" means the Pakistan Environmental Protection Council established under section 3;

(vi) "discharge" includes spilling, leaking, pumping, depositing, seeping, releasing, flowing out, pouring, emitting, emptying or dumping;

(vii) "ecosystem" means a dynamic complex of plant, animal and micro-organism communities and their non- living environment interacting as a functional unit;

(viii) "effluent" means any material in solid, liquid or gaseous form or combination thereof being discharged from industrial activity or any other source and includes a slurry, suspension or vapour;

(ix) "emission standards" means the permissible standards established by the Federal Agency or a Provincial Agency for emission of air pollutants and noise and for discharge of effluent and waste;

(x) "environment" means—

(a) air, water and land;

(b) all layers of the atmosphere;

(c) all organic and inorganic matter and living organisms;

(d) the ecosystem and ecological relationships;

(e) buildings, structures, roads, facilities and works;


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(f) all social and economic conditions affecting community life; and

(g) the inter-relationships between any of the factors specified in sub-clauses (a) to (f);

(xi) "environmental impact assessment" means an environmental study comprising collection of data, prediction of qualitative and quantitative impacts, comparison of alternatives, evaluation of preventive, mitigatory and compensatory measures, formulation of environmental management and training plans and monitoring arrangements, and framing of recommendations and such other components as may be prescribed;

(xii) "Environmental Magistrate" means the Magistrate of the First Class appointed under Section 24 ;

(xiii) “Environmental Tribunal” means the Environmental Tribunal constituted under section 20 ;

(xiv) "Exclusive Economic Zone" shall have the same meaning as in the Territorial Waters and Maritime Zones Act, 1976 (LXXXII of 1976);

(xv) "factory" means any premises in which industrial activity is being undertaken;

(xvi) "Federal Agency" means the Pakistan Environmental Protection Agency established under section 5, or any Government Agency, local council or local authority exercising the powers and functions of the Federal Agency;

(xvii) "Government Agency" includes—

(a) a division, department, attached department, bureau, section, commission, board, office or unit of the Federal Government or a Provincial Government;

(b) a developmental or a local authority, company or corporation established or controlled by the Federal Government or Provincial Government; and

(c) a Provincial Environmental Protection Agency. ; and

(d) any other body defined and listed in the Rules of Business of the Federal Government or a Provincial Government.

(xviii) "hazardous substance" means—

(a) a substance or mixture of substances, other than a pesticide as defined in the Agricultural Pesticides Ordinance, 1971 (II of 1971), which, by reason of its chemical activity or toxic, explosive, flammable, corrosive, radioactive or other characteristics,


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causes, or is likely to cause, directly or in combination with other matters an adverse environmental effect; and

(b) any substance which may be prescribed as a hazardous substance;

(xix) "hazardous waste" means waste which is or which contains a hazardous substance or which may be prescribed as hazardous waste and includes hospital waste and nuclear waste;

(xx) "historic waters" means such limits of the waters adjacent to the land territory of Pakistan as may be specified by notification under section 7 of the Territorial Waters and Maritime Zones Act, 1976 (LXXXII of 1976);

(xxi) "hospital waste" includes waste medical supplies and materials of all kinds, and waste blood, tissue, organs and other parts of the human and animal bodies, from hospitals, clinics and laboratories;

(xxii) "industrial activity" means any operation or process for manufacturing, making, formulating, synthesising, altering, repairing, ornamenting, finishing, packing or otherwise treating any article or substance with a view to its use, sale, transport, delivery or disposal, or for mining, for oil and gas exploration and deve lopment, or for pumping water or sewage, or for generating, transforming or transmitting power or for any other industrial or commercial purpose;

(xxiii) "industrial waste" means waste resulting from an industrial activity;

(xxiv) "initial environmental examination" means a preliminary environmental review of the reasonably foreseeable qualitative and quantitative impacts on the environment of a proposed project to determine whether it is likely to cause an adverse environmental effect for requiring preparation of an environmental impact assessment;

(xxv) "local authority" means any agency set up or designated by the Federal Government or a Provincial Government, by notification in the official Gazette, to be a local authority for the purposes of this Ordinance;

(xxvi) "local council" means a local council constituted or established under a law relating to local government;

(xxvii) "motor vehicle" means any mechanically propelled vehicle adapted for use upon land whether its power of propulsion is transmitted thereto from an external or internal source, and includes a chassis to which a body has not been attached, and a trailer, but does not include a vehicle running upon fixed rails;

(xxviii) "municipal waste" includes sewage, refuse, garbage, waste from abattoirs, sludge and human excreta and the like;


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(xxix) "National Environmental Quality Standards" means standards established by the Federal Agency under clause (e) of sub-section (1) of section 6 and approved by the Council under clause (c) of sub-section (1) of section 4;

(xxx) "noise" means the intensity, duration and character of sounds from all sources, and includes vibration;

(xxxi) "nuclear waste" means waste from any nuclear reactor or nuclear plant or other nuclear energy system, whether or not such waste is radioactive;

(xxxii) "person" means any natural person or legal entity and includes an individual, firm, association, partnership, society, group, company, corporation, co-operative society, Government Agency, non-governmental organization, community-based organization, village organization, local council or local authority and, in the case of a vessel, the master or other person having for the time being the charge or control of the vessel;

(xxxiii) "pollution" means the contamination of air, land or water by the discharge or emission of effluent or wastes or air pollutants or noise or other matter which either directly or indirectly or in combination with other discharges or substances alters unfavourably the chemical, physical, biological, radiational, thermal or radiological or aesthetic properties of the air, land or water or which may, or is likely to make the air, land or water unclean, noxious or impure or injurious, disagreeable or detrimental to the health, safety, welfare or property of persons or harmful to biodiversity;

(xxxiv) "prescribed" means prescribed by rules made under this Act;

(xxxv) "project" means any activity, plan, scheme, proposal or undertaking involving any change in the environment and includes—

(a) cons truction or use of buildings or other works;

(b) construction or use of roads or other transport systems;

(c) construction or operation of factories or other installations;

(d) mineral prospecting, mining, quarrying, stone-crushing, drilling and the like;

(e) any change of land use or water use; and

(f) alteration, expansion, repair, decommissioning or abandonment of existing buildings or other works, roads or other transport systems, factories or other installations;

(xxxvi) "proponent" means the person who proposes or intends to undertake a project;

(xxxvii) "Provincial Agency" means a Provincial Environmental Protection Agency established under section 8;


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(xxxviii) "regulations" means regulations made under this Act;

(xix) "rules" means rules made under this Act;

(xl) "sewage" means liquid or semi-solid wastes and sludge from sanitary conveniences, kitchens, laundries, washing and similar activities and from any sewerage system or sewage disposal works;

(xli) "standards" means qua litative and quantitative standards for discharge of effluent and wastes and for emission of air pollutants and noise either for general applicability or for a particular area, or from a particular production process, or for a particular product, and includes the National Environmental Quality Standards, emission standards and other standards established under this Act and the rules and regulations;

(xlii) "sustainable development" means development that meets the needs of the present generation without compromising the ability of future generations to meet their needs;

(xliii) "territorial waters" shall have the same meaning as in the Territorial Waters and Maritime Zones Act, l 976 (LXXXII of 1976);

(xliv) "vessel" includes anything made for the conveyance by water of human beings or of goods; and

(xlv) "waste" means any substance or object which has been, is being or is intended to be, discarded or disposed of, and includes liquid waste, solid waste, waste gases, suspended waste, industrial waste, agricultural waste, nuclear waste, municipal waste, hospital waste, used polyethylene bags and residues from the incineration of all types of waste.

3. Establishment of the Pakistan Environmental Protection Council.— (1) The Federal Government shall, by no tification in the official Gazette, establish a Council to be known as the Pakistan Environmental Protection Council consisting of—

(i) Prime Minister or such other person as the Prime Chairperson Minister may nominate in this behalf.

(ii) Minister incharge of the Ministry or Division Vice Chairperson dealing with the subject of environment.

(iii) Chief Ministers of the Provinces. ..... Members

(iii) Ministers Incharge of the subject of environment Members in the Provinces. .....

(iv) Such other persons not exceedingthirty-five as the Members federal Government may appoint, of which at least


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twenty shall be non-officials including five representatives of the Chambers of Commerce and Industry and industrial associations and one or more representatives of the Chambers of Agriculture, the medical and legal professions, trade unions, and non-governmental organizations concerned with the environment and development, and scientists, technical experts and educationists

(v) Secretary to the Government of Pakistan, incharge Member/ of the Ministry or Division dealing with the subject of Secretary environment

(2) The Members of the Council, other than ex-officio members, shall be appointed in accordance with the prescribed procedure and shall hold office for a term of two years.

(3) The Council shall frame its own rules of procedure.

(4) The Council shall hold meetings, as and when necessary, but not less than two meetings, shall be held in a year.

(5) The Council may constitute committees of its members and entrust them with such functions as it may deem fit, and the recommendations of the committees sha ll be submitted to the Council for approval.

(6) The Council, or any of its committees, may invite any technical expert or representative of any Government Agency or non-governmental organization or other person possessing specialized knowledge of any subject for assistance in performance of its functions.

4. Functions and powers of the Council.—(1) The Council shall—

(a) co-ordinate and supervise enforcement of the provisions of this Act; and

(b) approve comprehensive national environmental policies and ensure their implementation within the framework of a national conservation strategy as may be approved by the Federal Government from time to time;

(c) approve the National Environmental Quality Standards;

(d) provide guidelines for the protection and conservation of species, habitats, and biodiversity in general, and for the conservation of renewable and non-renewable resources.


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(e) co-ordinate integration of the principles and concerns of sustainable development into national development plans and policies;

(f) consider the National Environment Report and give appropriate directions thereon;

(2) The Council may, either itself or on the request of any person or organization, direct the Federal Agency or any Government Agency to prepare, submit, promote or implement projects for the protection, conservation, rehabilitation and improvement of the environment, the prevention and control of pollution, and the sustainable development of resources or to undertake research in any aspect of environment.

5. Establishment of the Pakistan Environmental Protection Agency.----(1) The Federal Government shall, by notification in the official Gazette, establish the Pakistan Environmental Protection Agency to exercise the powers and perform the functions assigned to it under this Act and the rules and regulations made thereunder.

(2) The Federal Agency shall be headed by a Director-General who shall be appointed by the Federal Government on such terms and conditions as it may determine.

(3) The Federal Agency shall have such administrative, technical and legal staff, as the Federal Government may specify, to be appointed in accordance with such procedure as may be prescribed.

(4) The powers and functions of the Federal Agency shall be exercised and performed by the Director-General.

(5) The Director-General may, by general or special order, delegate any of the powers and functions to staff appointed under sub-section (3).

(6) For assisting the Federal Agency in the discharge of its functions the Federal Government shall establish Advisory Committees for various sectors and appoint as members thereof eminent representatives of the relevant sector, educational institutions, research institutes and non-governmental organizations.

6. Functions of the Federal Agency.—(1) The Federal Agency shall—

(a) administer and implement this Act and the rules and regulations made;

(b) prepare, in co-ordination with the appropriate Government Agency and in consultation with the concerned sectoral Advisory Committees, national environmental policies for approval by the Council;

(c) take all necessary measures for the implementation of the national environmental policies approved by the Council;


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(d) prepare and publish an annual National Environment Report on the state of the environment;

(e) prepare, establish and revise the National Environmental Quality Standards with approval of the Council:

Provided that before seeking approval of the Council, the Federal Agency shall publish the proposed National Environmental Quality Standards for public opinion in accordance with the prescribed procedure; and

(f) ensure enforcement of the National Environmental Quality Standards;

(g) establish standards for the quality of the ambient air, water and land, by notification in the official Gazette in consultation with the Provincial Agency concerned:

Provided that—

(i) different standards for discharge or emission from different sources and for different areas and conditions may be specified;

(ii) where standards are less stringent than the National Environmental Quality Standards prior approval of the Council shall be obtained;

(iii) certain areas, with the approval of the Council, may exclude from carrying out specific activities, projects from the application of such standards;

(h) co-ordinate environmental policies and programmes nationally and internationally;

(i) establish systems and procedures for surveys, surveillance, monitoring, measurement, examination, investigation, research, inspection and audit to prevent and control pollution, and to estimate the costs of cleaning up pollution and rehabilitating the environment in various sectors;

(j) take measures to promote research and the development of science and technology which may contribute to the prevention of pollution, protection of the environment, and sustainable development;

(k) certify one or more laboratories as approved laboratories for conducting tests and analysis and one or more research institutes as environmental research institutes for conducting research and investigation for the purposes of this Act.

(l) identify the needs for and initiate legislation in various sectors of the environment;


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(m) render advice and assistance in environmental matters including such information and data available with it as may be required for carrying out the purposes of this Act:

Provided that the disclosure of such information shall be subject to the restrictions contained in the proviso to sub-section (3) of section 12;

(n) assist the local councils, local authorities, Government Agencies and other persons to implement schemes for the proper disposal of wastes so as to ensure compliance with the standards established by it;

(o) provide information and guidance to the public on environmental matters;

(p) recommend environmental courses, topics, literature and books for incorporation in the curricula and syllabi of educational institutions;

(q) promote public education and awareness of environmental issues through mass media and other means including seminars and workshops;

(r) specify safeguards for the prevention of accidents and disasters which may cause pollution, collaborate with the concerned person in the preparation of contingency plans for control of such accidents and disasters, and co-ordinate implementation of such plans;

(s) encourage the formation and working of non-governmental organizations, community organizations and village organizations to prevent and control pollution and promote sustainable development;

(t) take or cause to be taken all necessary measures for the protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution and promotion of sustainable development; and

(u) perform any function which the Council may assign to it.

(2) The Federal Agency may—

(a) undertake inquiries or investigation into environmental issues, either of its own accord or upon complaint from any person or organization;

(b) request any person to furnish any information or data relevant to its functions;

(c) initiate with the approval of the Federal Government, requests for foreign assistance in support of the purposes of this Act and enter into arrangements with foreign agencies or organizations for the exchange of material or information and participate in international seminars or meetings;


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(d) recommend to the Federal Government the adoption of financial and fiscal programmes, schemes or measures for achieving environmental objectives and goals and the purposes of this Act, including—

(i) incentives, prizes awards, subsidies, tax exemptions, rebates and depreciation allowances; and

(ii) taxes, duties, cesses and other levies;

(e) establish and maintain laboratories to help in the performance of its functions under this Act and to conduct research in various aspects of the environment and provide or arrange necessary assistance for establishment of similar laboratories in the private sector; and (f) provide or arrange, in accordance with such procedure as may be prescribed, financial assistance for projects designed to facilitate the discharge of its functions.

7. Powers of the Federal Agency.—Subject to the provisions of this Act, the Federal Agency may—

(a) lease, purchase, acquire, own, hold, improve, use or otherwise deal in and with any property both moveable and immovable;

(b) sell, convey, mortgage, pledge, exchange or otherwise dispose of its property and assets;

(c) fix and realize fees, rates and charges for rendering any service or providing any facility, information or data under this Act or the rules and regulations;

(d) enter into contracts, execute instruments, incur liabilities and do all acts or things necessary for proper management and conduct of its business;

(e) appoint with the approval of the Federal Government and in accordance with such procedures as may be prescribed, such advisers, experts and consultants as it considers necessary for the efficient performance of its functions on such terms and conditions as it may deem fit;

(f) summon and enforce the attendance of any person and require him to supply any information or document needed for the conduct of any enquiry or investigation into any environmental issue;

(g) enter and inspect and under the authority of a search warrant issued by the Environmental Court or Environmental Magistrate, search at any reasonable time, any land, building, premises, vehicle or vessel or other place where or in which. there are reasonable grounds to believe that an offence under this Act has been, or is being, committed;


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(h) take samples of any materials, products, articles or substances or of the effluent, wastes or air pollutants being discharged or emitted or of air, water or land in the vicinity of the discharge or emission;

(i) arrange for test and analysis of the samples at a certified laboratory;

(j) confiscate any article used in the commission of the offence where the offender is not known or cannot be found within a reasonable time:

Provided that the power under clauses (f), (h), (I) and (j) shall be exercised in accordance with the provisions of the Code of Criminal Procedure, 1898 (Act V of 1898). or the rules made under this Act and under the direction of the Environmental Court or Environmental Magistrate; and

(k) establish a National Environmental Co-ordination Committee comprising the Director-General as its chairman and the Director Generals of the Provincial Environmental Protection Agencies and such other persons as the Federal Government may appoint as its members to exercise such powers and perform such functions as may be delegated or assigned to it by the Federal Government for carrying out the purposes of this Act and for ensuring inter provincial co-ordination in environmental policies.

8. Establishment, powers and functions of the Provincial Environmental Protection Agencies.—(1) Every Provincial Government shall, by notification in the official Gazette, establish an Environmental Protection Agency, to exercise such powers and perform such functions as may be delegated to it by the Provincial Government under sub-section (2) of section 26.

(2) The Provincial Agency shall be headed by a Director-General who shall be appointed by the Provincial Government on such terms and conditions as it may determine.

(3) The Provincial Agency shall have such administrative, technical and legal staff as the Provincial Government may specify, to be appointed in accordance with such procedure as may be prescribed.

(4) The powers and functions of the Provincial Agency shall be exercised and performed by the Director-General.

(5) The Director General may, by general or special order, delegate any of the powers and functions to staff appointed under sub-section (3).

(6) For assistance of the Provincial Agency in the discharge of its functions, the Provincial Government shall establish Sectoral Advisory Committees for various sectors and appoint members from amongst eminent representatives of the relevant sector, educational institutions, research institutes and non-governmental organizations.


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9. Establishment of the Provincial Sustainable Development Funds.— (1) There shall be established in each Province a Sustainable Development Fund.

(2) The Provincial Sustainable Development Fund shall be derived from the following sources, namely:—

(a) grants made or loans advanced by the Federal Government or the Provincial Governments;

(b) aid and assistance, grants, advances, donations and other non-obligatory funds received from foreign governments, national or international agencies, and non-governmental organizations; and

(c) contributions from private organizations and other persons.

(3) The Provincial Sustainable Development Fund shall be utilized in accordance with such procedure as may be prescribed for—

(a) providing financial assistance to the projects designed for the protection, conservation, rehabilitation and improvement of the environment, the prevention and control of pollution, the sustainable development of resources and for research in any aspect of environment; and

(b) any other purpose which in the opinion of the Board shall help achieve environmental objectives and the purposes of this Act.

10. Management of the Provincial Sustainable Development Fund.—(1) The Provincial Sustainable Development Fund shall be managed by a Board known as the Provincial Sustainable Development Fund Board consisting of—

(i) Chairman, Planning and Development Board/Additional Chairperson Chief Secretary Planning and Development Department ....

(ii) such officers of the Provincial Governments, not exc-- Members eeding six, as the Provincial Government may appoint including Secretaries incharge of the Finance, Industries and Environment Departments ....

(iii) such non-official persons not exceeding ten as the Prov- Members incial Government may appoint including representatives of the Provincial Chamber of Commerce and Industry, non governmental organizations, and major donors. ....

(iv) Director-General of the Provincial Agency Member/Secretary


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(2) In accordance with such procedure and such criteria as may be prescribed, the Board shall have the power to—

(a) sanction financial assistance for eligible projects;

(b) invest moneys held in the Provincial Sustainable Development Fund in such profit -bearing Government bonds, savings schemes and securities as it may deem suitable; and

(c) take such measures and exercise such powers as may be necessary for utilization of the Provincial Sustainable Development Fund for the purposes specified in sub-section (3) of section 9.

(3) The Board shall constitute committees of its members to undertake regular monitoring of projects financed from the Provincial Sustainable Development Fund and to submit progress reports to the Board which shall publish an Annual Report incorporating its annual audited accounts and performance evaluation based on the progress reports.

11. Prohibition of certain discharges or emissions.—(1) Subject to the provisions of this Act and the rules and regulations no person shall discharge or emit or allow the discharge or emission of any effluent or waste or air pollutant or noise in an amount, concentration or level which is in excess of the National Environmental Quality Standards or, where applicable, the standards established under sub-clause (I) of clause (g) of sub-section (1) of section 6.

(2) The Federal Government may levy a pollution charge on any person who contravenes or fails to comply with the provisions of sub-section (1), to be calculated at such rate, and collected in accordance with such procedure as may be prescribed.

(3) Any person who pays the pollution charge levied under sub-section (2) shall not be charged with an offence with respect to that contravention or failure.

(4) The provisions of sub-section (3) shall not apply to projects which commenced industrial activity on or after the thirtieth day of June, 1994.

12. Initial environmental examination and environmental impact assessment.—(1) No proponent of a project shall commence construction or operation unless he has filed with the Government Agency designated by Federal Environmental Protection Agency or Provincial Environmental Protection Agencies, as the case may be, or, where the project is likely to cause an adverse environmental effects an environmental impact assessment, and has obtained from the Government Agency approval in respect thereof.

(2) The Government Agency shall subject to standards fixed by the Federal Environmental Protection Agency—


15

(a) review the initial environmental examination and accord its approval, or require submission of an environmental impact assessment by the proponent; or

(b) review the environmental impact assessment and accord its approval subject to such conditions as it may deem fit to impose, require that the environmental impact assessment be re-submitted after such modifications as may be stipulated or reject the project as being contrary to environmental objectives.

(3) Every review of an environmental impact assessment shall be carried out with public participation and no information will be disclosed during the course of such public participation which relates to—

(i) trade, manufacturing or business activities, processes or techniques of a proprietary nature, or financial, commercial, scientific or technical matters which the proponent has requested should remain confidential, unless for reasons to be recorded in writing, the Director General of the Federal Agency is of the opinion that the request for confidentiality is not well- founded or the public interest in the disclosure outweighs the possible prejudice to the competitive position of the project or its proponent; or

(ii) international relations, national security or maintenance of law and order, except with the consent of the Federal Government; or

(iii) matters covered by legal professional privilege.

(4) The Government Agency shall communicate its approval or otherwise within a period of four months from the date the initial environmental examination or environmental impact assessment is filed complete in all respects in accordance with the prescribed procedure, failing which the initial environmental examination or, as the case may be, the environmental impact assessment shall be deemed to have been approved, to the extent to which it does not contravene the provisions of this Act and the rules and regulations.

(5) Subject to sub-section (4) the appropriate Government may in a particular case extend the aforementioned period of four months if the nature of the project so warrants.

(6) The provisions of sub-sections (1), (2), (3), (4) and (5) shall apply to such categories of projects and in such manner as may be prescribed.

(7) The Government Agency shall maintain separate registers for initial environmental examination and environmental impact assessment projects, which shall contain brief particulars of each project and a summary of decisions taken thereon, and which shall be open to inspection by the public at all reasonable hours and the disclosure of information in such registers shall be subject to the restrictions specified in sub-section (3).


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13. Prohibition of import of hazardous waste.—No person shall import hazardous waste into Pakistan and its territorial waters, Exclusive economic Zone and historic waters.

14. Handling of hazardous substances.—Subject to the provisions of this Act, no person shall generate, collect, consign, transport, treat, dispose of, store, handle or import any hazardous substance except—

(a) under a licence issued by the Federal Agency and in such manner as may be prescribed; or

(b) in accordance with the provisions of any other law for the time being in force, or of any international treaty, convention, protocol, code, standard, agreement or other instrument to which Pakistan is a party.

15. Regulation of motor vehicles.---(l) Subject to the provisions of this Act, and the rules and regulations, no person shall operate a motor vehicle from which air pollutants or noise are being emitted in an amount, concentration or level which is in excess of the National Environmental Quality Standards, or where applicable the standards established under clause (g) of sub-section (I) of section 6.

(2) For ensuring compliance with the standards mentioned in sub-section (1), the Federal Agency may direct that any motor vehicle or class of vehicles shall install such pollution control devices or other equipment or use such fuels or undergo such maintenance or testing as may be prescribed.

(3) Where a direction has been issued by the Government Agency under subsection (2) in respect of any motor vehicles or class of motor vehicles, no person shall operate any such vehicle till such direction has been complied with.

16. Environmental protection order.---(1) Where the Federal Agency or a Provincial Agency is satisfied that the discharge or emission of any effluent, waste, air pollutant or noise, or the disposal of waste, or the handling of hazardous substances, or any other act or omission is likely to occur, or is occurring, or has occurred, in violation of the provisions of this Act, rules or regulations or of the conditions of a licence, and is likely to cause, or is causing or has caused an adverse environmental effect, the Federal Agency or, as the case may be, the Provincial Agency may, after giving the person responsible for such discharge, emission, disposal, handling, act or omission an opportunity of being heard, by order direct such person to take such measures that the Federal Agency or Provincial Agency may consider necessary within such period as may be specified in the order.

(2) In particular and without prejudice to the generality of the foregoing power, such measures may include—


17

(a) immediate stoppage, preventing, lessening or controlling the discharge, emission, disposal, handling, act or omission, or to minimize or remedy the adverse environmental effect;

(b) installation, replacement or alteration of any equipment or thing to eliminate, control or abate on a permanent or temporary basis, such discharge, emission, disposal, handling, act or omission;

(c) action to remove or otherwise dispose of the effluent, waste, air pollutant, noise, or hazardous substances; and

(d) action to restore the environment to the condition existing prior to such discharge, disposal, handling, act or omission, or as close to such cond ition as may be reasonable in the circumstances, to the satisfaction of the Federal Agency or, Provincial Agency.

(3) Where the person, to whom directions under sub-section (1) are given, does not comply therewith, the Federal Agency or Provincial Agency may, in addition to the proceedings initiated against him under this Act, the rules and regulations, itself take or cause to be taken such measures specified in the order as it may deem necessary and may recover the reasonable costs of taking such measures from such person as arrears of land revenue.

17. Penalties.—(1) Whoever contravenes or fails to comply with the provisions of sections 11, 12, 13 or section 16 or any order issued thereunder shall be punishable with fine which may extend to one million rupees, and in the case of a continuing contravention or failure, with an additional fine which may extend to one hundred thousand rupees for every day during which such contravention or failure continues:

Provided that if contravention of the provisions of section 11 also constitutes contravention of the provisions of section 15, such contravention shall be punishable under sub-section (2) only.

(2) Whoever contravenes or fails to comply with the provisions of section 14 or 15 or any rule or regulation or conditions of any licence, any order or direction, issued by the Council or the Federal Agency or Provincial Agency, shall be punishable with fine which may extend to one hundred thousand rupees, and in case of continuing contravention or failure with an additional fine which extend to one thousand rupees for every day during which such contravention continues.

(3) Where an accused has been convicted of an offence under sub-sections (1) and (2), the Environmental Court and Environmental Magistrate, as the case may be, shall, in passing sentence, take into account the extent and duration of the contravention or failure constituting the offence and the attendant circumstances.

(4) Where an accused has been convicted of an offence under sub-section (1) and the Environmental Court is satisfied that as a result of the commission of the offence


18

monetary benefits have accrued to the offender, the Environmental Court may order the offender to pay, in addition to the fines under sub-section (1), further additional fine commensurate with the amount of the monetary benefits.

(5) Where a person convicted under sub-sections (1) or sub-section (2) had been previously convicted for any contravention under this Act, the Environmental Court or, as the case may be, Environmental Magistrate may, in addition to the punishment awarded thereunder—

(a) endorse a copy of the order of conviction to the concerned trade or industrial association, if any, or the concerned Provincial Chamber of Commerce and Industry or the Federation of Pakistan Chambers of Commerce and Industry;

(b) sentence him to imprisonment for a term which may extend to two years;

(c) order the closure of the factory;

(d) order confiscation of the factory, machinery, and equipment, vehicle, material or substance, record or document or other object used or involved in contravention of the provisions of the Act:

Provided that for a period of three years from the date of commencement of this Act the sentence of imprisonment shall be passed only in respect of persons who have been previously convicted for more than once for any contravention of sections 11, 13, 14 or 16 involving hazardous waste;

(e) order such person to restore the environment at his own cost, to the conditions existing prior to such contravention or as close to such conditions as may be reasonable in the circumstances to the satisfaction of the Federal Agency or, as the case may be, Provincial Agency; and

(f) order that such sum be paid to any person as compensation for any loss, bodily injury, damage to his health or property suffered by such contravention.

(6) The Director-General of the Federal Agency or of a Provincial Agency or an officer generally or specially authorised by him in this behalf may, on the application of the accused compound an offence under this Act with the permission of the Environmental Tribunals or Environmental Magistrate in accordance with such proceedure as may be prescribed.

(7) Where the Director-General of the Federal Agency or of a Provincial Agency is of the opinion that a person has contravened any provision of Act he may, subject to the rules, by notice in writing to that person require him to pay to the Federal Agency or, as the case may be, Provincial Agency an administrative penalty in the amount set out in the notice for each day the contravention continues; and a person who pays an administrative


19

penalty for a contravention shall not be charged under this Act with an offence in respect of such contravention.

(8) The provisions of sub-sections (6) and (7) shall not apply to a person who has been previously convicted of offence or who has compounded an offence under this Act who has paid an administrative penalty for a contravention of any provision of this Act.

18. Offences by bodies corporate.— Where any contravention of this Act has been committed by a body corporate, and it is proved that such offence has been committed with the consent or connivance of, or is attributed to any negligence on the part of, any director, partner, manager, secretary or other Officer of the body corporate, such director, partner, manager, secretary or other officer of the body corporate, shall be deemed guilty of such contravention along with the body corporate and shall be punished accordingly:

Provided that in the case of a company as defined under the Companies Ordinance, 1984 (XLVII of 1984), only the Chief Executive as defined in the said Ordinance shall be liable under this section.

Explanation.— For the purposes of this section, "body corporate" includes a firm, association of persons and a society registered under the Societies Registration Act, 1860 (XXI of 1860), or under the Co-operative Societies Act, 1925 (VII of 1925).

19. Offences by Government Agencies, local authorities or local councils.—Where any contravention of this Act has been committed by any Government Agency, local authority or local council, and it is proved that such contravention has been committed with the consent or connivance of, or is attributable to any negligence on the part of, the Head or any other officer of the Government Agency, local authority or local council, such Head or other officer shall also be deemed guilty of such contravention along with the Government Agency, local authority or local council and shall be liable to be proceeded against and punished accordingly.

20. Environmental Tribunals.—(1) The Federal Government may, by notification in the official gazette, establish as many Environmental Tribunals as it consider necessary and, where it establishes more than one Environmental Tribunals, it shall specify territorial limits within which, or the class of cases in respect of which, each one of them shall exercise jurisdiction under this Act.

(2) An Environmental Tribunal shall consist of a Chairperson who is, or has been, or is qualified for appointment as, a judge of the High Court to be appointed after consultation with the Chief Justice of the High Court and two members to be appointed by the Federal Government of which at least one shall be a technical member with suitable professional qualifications and experience; in the environmental field as may be prescribed. .


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(3) For every sitting of the Environ mental Tribunal, the presence of the Chairperson and not less than one Member shall be necessary.

(4) A decision of an Environmental Tribunal shall be expressed in terms of the opinion of the majority of its members, including ;the Chairperson, or if the case has been decided by the Chairperson and only one of the members and a there is a difference of opinion between them, the ;decision of the Environmental Tribunal shall be expressed in terms of the opinion of the Chairperson.

(5) An environmental Tribunal shall not, merely be reason of a change in its composition, or the absence of any member from any sitting, be bound to recall and rehear any witness who has given evidence, and may act on the evidence already ;recorded by, or produced, before it.

(6) An Environmental Tribunal may hold its sittings at such places within its territorial jurisdiction as the Chairperson may decide.

(7) No act or proceeding of an Environmental Tribunal shall be invalid by reason only of the existence of a a vacancy in, or defect in the constitution, of, the Environmental Tribunal.

(8) The terms and conditions of service of the Chairperson and members of the Environmental Tribunal shall be such as may be prescribed.

21. Jurisdiction and powers of Environmental Tribunals.—(1) An Environmental Tribunal shall exercise such powers and perform such functions as are, or may be, conferred upon or assigned to it by or under this Act or the rules and regulations made thereunder.

(2) All contravention punishable under sub-section (1) of section 17 shall exclusively be triable by an Environmental Tribunal.

(3) An Environmental Tribunal shall not take cognizance of any offence triable under sub-section (2) except on a complaint in writing by--

(a) the Federal Agency or any Government Agency or local council; and

(b) any aggrieved person, who has given notice of not less than thirty days to the Federal Agency, or the Provincial Agency concerned, of the alleged contravention and of his intention to make a complaint to the Environment Tribunal.

(4) In exercise of its criminal jurisdiction, the Environmental Tribunals shall have the same powers as are vested in Court of Session under the Code of Criminal Procedure, 1898 (Act V of 1898).


21

(5) In exercise of the appellate jurisdiction under section 22 the Environmental Tribunals shall have the same powers and shall follow the same procedure as an appellate court in the Code of Civil Procedure, 1908 (Act V of 1908).

(6) In all matters with respect to which no procedure has been provided for in this Act, the Environmental Tribunal shall follow the procedure laid down in the Code of Civil Procedure, 1908 (Act V of 1908).

(7) An Environmental Tribunal may, on application filed by any officer duly authorised in this behalf by the Director-General of the Federal Agency or of Provincial Agency, issue bailable warrant for the arrest of any person against whom reasonable suspicion exist, of his having been involved in contravention punishable under sub-section (1) of Section 17:

Provided that such warrant shall be applied for, issued, and executed in accordance with the provisions of the Code of Criminal Procedure, 1898 (Act V of 1898):

Provided further that if the person arrested executes a bond with sufficient sureties in accordance with the endorsement on the warrant he shall be released from custody, failing which he shall be taken or sent without delay to the officer in-charge of the nearest police station.

(8) All proceedings before the Environmental Tribunal shall be deemed to be judicial proceedings within the meaning of section 193 and 228 of the Pakistan Penal Code (Act XLV of 1860), and the Environ mental Tribbunal shall be deemed to be a court for the purpose of section 480 and 482 of the Code of Criminal Procedure, 1898 (Act V of 1898).

(9) No court other than an Environmental Tribunal shall have or exercise any jurisdiction with respect to any matter to which the jurisdiction of an Environmental Tribunal extends under this Act, the rules and regulations made thereunder.

(10) Where the Environmental Tribunal is satisfied that a complaint made to it under sub-section (3) is false and vexatious to the knowledge of the complainant, it may, by an order, direct the complainant to pay to the person complained against such compensatory costs which may extend to one hundred thousand rupees.

22. Appeals to the Environmental Tribunal.—(1) Any person aggrieved by any order or direction of the Federal Agency or any Provincial Agency under any provision of this Act, and rules or regulations may prefer an appeal with the Environmental Tribuna l within thirty days of the date of communication of the impugned order or direction to such person.

(2) An appeal to the Environmental Tribunal shall be in such form, contain such particulars and be accompanied by such fees as may be prescribed.


22

23. Appeals from orders of the Environmental Tribunal.---(l) Any person aggrieved by any final order or by any sentence of the Environmental Tribunal passed under this Act may, within thirty days of communication of such order or sentence, prefer an appeal to the High Court.

(2) An appeal under sub-section (l) shall be heard by a Bench of not less than two Judges.

24. Jurisdiction of Environmental Magistrates.—(l) Notwithstanding anything contained in the Code of Criminal Procedure, 1898 (Act V of 1898), or any other law for the time being in force, but subject to the provisions of this Act, all contravention punishable under sub-section (2) of section 17 shall exclusively be triable by a judicial Magistrate of the first class as Environmental Magistrate especially empowered in this behalf by the High Court.

(2) An Environmental Magistrate shall be competent to impose any punishment specified in sub-sections (2) and (4) of section 17.

(3) An Environmental Magistrate shall not take cognizance of an offence triable under sub-section (I) except on a complaint in writing by—

(a) the Federal Agency, Provincial Agency, or Government Agency or a local council; and

(b) any aggrieved person.

25. Appeals from orders of Environmental Magistrates.—Any person convicted of any contravention of this Act or the rules or regulations by an Environmental Magistrate may, within thirty days from the date of his conviction, appeal to the Court of Sessions whose decision thereon shall be final.

26. Power to delegate.—(1) The Federal Government may, by notification in the official Gazette, delegate any of its or of the Federal Agency's powers and functions under this Act and the rules and regulations to any Provincial Government, any Government Agency, local council or local authority.

(2) The Provincial Government may, by notification in the official Gazette, delegate any of its or of the Provincial Agency's powers or functions under this Act and the rules and regulations to any Government Agency of such Provincial Government or any local council or local authority in the Province.

27. Power to give directions.—In the performance of their functions under this Act-

(a) the Federal Agency and Provincial Agencies shall be bound by the directions given to them in writing by the Federal Government; and


23

(b) a Provincial Agency shall be bound by the directions given to it in writing by the Provincial Government.

28. Indemnity.—No suit, prosecution or other legal proceedings shall lie against the Federal or Provincial Governments, the Council, the Federal Agency or Provincial Agencies, the Director-Generals of the Federal Agency and the Provincial Agency, members, officers, employees, experts, advisers, committees or consultants of the Federal or Provincial Agencies or the Environmental Tribunal or Environmental Magistrates or any other person for anything which is in good faith done or intended to be done under this Act or the rules or regulations made thereunder.

29. Dues recoverable as arrears of land revenue.—Any dues recoverable by the Federal Agency or Provincial Agency under this Act, or the rules or regulations shall be recoverable as arrears of land revenue.

30. Act to override other laws.—The provisions of this Act shall have effect notwithstanding anything inconsistent therewith contained in any other law for the time being in force.

31. Power to make rules.—The Federal Government may, by notification in the official Gazette, make rules for carrying out the purposes of this Act including rules for implementing the provisions of the international environmental Agreements, specified in the Schedule to this Act.

32. Power to amend the Schedule.__The Federal Government may, by notification in the official Gazette, amend the Schedule so as to add any entry thereato or modify or omit any entry therein.

33. Power to make regulations.---(1) For carrying out the purposes of this Act, the Federal Agency may, by notification in the official Gazette and with the approval of the Federal Government, make regulations not inconsistent with the provisions of this Act or the rules made thereunder.

(2) In particular and without prejudice to the generality of the foregoing power, such regulations may provide for—

(a) submission of periodical reports, data or information by any Government agency, local authority or local council in respect of environmental matters;

(b) preparation of emergency contingency plans for coping with environmental hazards and pollution caused by accidents, natural disasters and calamities;

(c) appointment of officers, advisers, experts, consultants and employees;


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(d) levy of fees, rates and charges in respect of services rendered, actions taken and schemes implemented;

(e) monitoring and measurement of discharges and emissions;

(f) categorization of projects to which, and the manner in which, section 12 applies;

(g) laying down of guidelines for preparation of initial environmental examination and environmental impact assessment and Development of procedures for their filing, review and approval;

(h) providing procedures for handling hazardous substances; and

(i) installation of devices in, use of fuels by, and maintenance and testing of motor vehicles for control of air and noise pollution.

34. Repeal, savings and succession.—(1) The Pakistan Environmental Protection Ordinance 1983 (XXXVII of 1983) is hereby repealed.

(2) Notwithstanding the repeal of the Pakistan Environmental Protection Ordinance, l983 (XXVII of 1983), any rules or regulations or appointments made, orders passed, notifications issued, powers delegated, contracts entered into, proceedings commenced, rights acquired liabilities incurred, penalties, rates, fees or charges levied, things done or action taken under any provisions of that Ordinance shall, so far as they are not inconsistent with the provisions of this Act be deemed to have been made, passed, issued, delegated, entered into, commenced, acquired, incurred, levied, done or taken under this Act.

(3) On the establishment of the Federal Agency and Provincial Agencies under this Act, all properties, assets and liabilities pertaining to the Federal Agency and Provincial Agencies established under that Ordinance shall vest in and be the properties, assets and liabilities, as the case may be, of the Federal Agency and Provincial Agency established under this Act.


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SCHEDULE

(See section 31)

1. International Plant Protection Convention, Rome, 1951.

2. Plant Protection Agreement for the South-East Asia and Pacific Region (as amended), Rome, 1956.

3. Agreement for the Establishment of a Commission for Controlling the Desert Locust in the Eastern Region of its Distribution Area in South-West Asia (as amended), Rome, 1963.

4. Convention on Wetlands of International Importance Especially as Waterfowl Habitat, Ramsar, 1971 and its amending Protocol, Paris, 1982.

5. Convention Concerning the Protection of World Cultural and Natural Heritage (World Heritage Convention), 1972.

6. Convention on International Trade in Endangered Species of Wild Funa and Flora (CITES), Washington, 1973.

7. Convention on the Conservation of Migratory Species of Wild Animals, Bonn, 1979.

8. Convention on the Law of the Sea, Montego Bay, 1982.

9. Vienna Convention for the Protection of the Ozone Layer, Vienna, 1985.

10. Montreal Protocol on Substances that Deplete the Ozone Layer, Montreal, 1987 and amendments thereto.

11. Agreement on the Network of Agriculture Centres in Asia and the Pacific, Bangkok, 1988.

12. Convention on the Control of Transboundary Movements of Hazardous Waste and Their Disposal, Basel, 1989.

13. Convention on Biological Diversity, Rio de Janeiro, 1992.

14. United Nations Framework Convention on Climate Change, Rio De Janeiro, 1992.

NED University of Engineering & Technology Department of Environmental Engineering

Subject: EN508‐Environmental Impact Assessment

NOTE: Class Attendance for today will be subject to the fulfillment of this writing

Name: ______________________________________ Dated: __________________ Which of the assigned book have you read this past week? How much have you read? How much of this book have you been able to retain? What was the most interesting aspect for you in this book and why? What further plans do you have to learn this topic that is of interest? What was the least interesting topic for you in this book and why?

NATIONAL IMPACT ASSESSMENT PROGRAMME (NIAP) PAKISTAN

Legal Implications of the 18th Amendment relating to Environment

Baseline, Development Needs, Curriculum Outline and Suggestions for Further Action

Zahid Hamid

Legal Implications of the 18th Amendment relating to Environment 1

Contents

Abbreviations and Acrynyms 2

1. Background 3

2. Constitutional position prior to 18th

Amendment 3

3. Provisions of 18th

Amendment having impact on 'Environment' 3

4. Impact of 18th

Assessment 4

4.1 Subject of 'Environment' 4

4.2 PEPA 1997 5

4.3 PEPA Rules and Regulations 5

4.4 National Environmental Quality Standards 7

4.5 Executive Authority of the Province relating to Environment 7

4.6 Environmental Tribunals 8

4.7 Multilateral Environmental Agreements 8

5. Role of Provincial and Successor Federal Authorities 9

2 Legal Implications of the 18th Amendment relating to Environment

Abbreviations and Acronyms

(in alphabetical order) CLL Concurrent Legislative List

ENERCON National Energy Conservation Centre

FLL Federal Legislative List

ICT Islamabad Capital Territory

IEE Initial Environmental Examination

MEAs Multi-national Environmental Agreements

MoDM Ministry of Disaster Management

MoE Ministry of Environment

NDMD National Disaster Management Division

NEQS National Environmental Quality Standards

Pak-EPA Pakistan Environmental Protection Agency,

PFI Pakistan Forest Institute

PEPA Pakistan Environmental Protection Act

PEPAC Pakistan Environmental Planning and Architectural Consultants Limited

PEPC Provincial Environmental Protection Councils

PEPO Pakistan Environmental Protection Ordinance

PEQS Provincial Environmental Quality Standards

QMF Quaid-e-Azam Memorial Fund

QMMB Quaid-e-Azam Mazar Management Board


1. Background

The Constitution (Eighteenth Amendment) Bill, 2010 was passed by the National Assembly of

Pakistan on April 8, 2010 and by the Senate on April 15, 2010. It received the assent of the President

and became an Act of Parliament on April 19, 2010. Amongst the most important provisions of the

Constitution (Eighteenth Amendment) Act [hereinafter "the 18th Amendment"] are those relating to

amendment of the Fourth Schedule of the Constitution, which contained the Federal Legislative List

(Part I and Part II) ["FLL Part I and FLL Part II"] and Concurrent Legislative List [CLL]. By omitting the

CLL and amending FLL Part I and FLL Part II, the 18th Amendment has fundamentally altered the

division of legislative powers between Parliament and the Provincial Assemblies, resulting in a

significant increase in the extent of Provincial autonomy.

‘Environmental pollution and ecology' was one of the subjects in the CLL which now stands in the

legislative domain of the Provincial Assemblies. This has far-reaching implications for environmental

governance in the country, not only in terms of future law-making, but also for implementation of

existing environmental laws, rules and regulations and Pakistan's obligations under multi-national

2. Constitutional position prior to 18th Amendment

'Environment' was not mentioned in the Federal, Provincial or Concurrent Legislative Lists of the 1956

Constitution, or in the (sole) Legislative List in the 1962 Constitution which enumerated matters with

respect to which the Central Legislature had exclusive power to make laws. Hence 'Environment' was

in the exclusive jurisdiction of the Provincial Legislature under these Constitutions. Both Constitutions

however empowered Parliament / the Central Legislature to make laws for implementation of

decisions of international organizations and agreements with other countries.

In the 1973 Constitution, as originally enacted, 'Environmental pollution and ecology' was mentioned

at entry no. 24 of the CLL in the Fourth Schedule, thereby empowering both Parliament and the

Provincial Assemblies to make laws with respect to matters relating thereto. It was in the exercise of

these powers that the Pakistan Environmental Protection Act [PEPA] was enacted by Parliament in

1997. This superseded and repealed the Pakistan Environmental Protection Ordinance [PEPO]

promulgated in 1983.

3. Provisions of 18th Amendment having impact on ‘Environment’

The provision of the 18th Amendment which has a direct impact on the subject of 'Environment' is

section 101(3), whereby the CLL and the entries thereto from 1 to 47 (both inclusive) have been

omitted from the Fourth Schedule. However in addition there are a number of provisions with an

indirect impact, all of which have been listed in Annexure A. These provisions are discussed below.

Full text of the amended Articles and other Articles cited in the discussion is at Annexure B, for ease

of reference.


4. Impact of 18th Assessment

4.1. Subject of ‘Environment’

Omission of the CLL (including entry 24 'Environmental pollution and ecology') from the Fourth

Schedule vide section 101(3) of the 18th Amendment, read with Article 142 (c) as amended by

section 49 ibid, means that now a Provincial Assembly shall, and Parliament shall not, have power

to make laws with respect to the subject of 'Environment' [except for the Islamabad Capital

Territory (ICT) / areas in the Federation not included in any Province]. However it is important to

note that legislative competence of Parliament and the Provincial Assemblies may overlap,

inasmuch as laws relating to certain entries in the FLL Part I and Part II which are in the exclusive

legislative domain of Parliament may also relate to the subject of 'Environment'. These entries,

included vide section 101 of the 18th Amendment, are as follows:-

a. Entry no. 32 in FLL Part I: 'International treaties, conventions and agreements and

International arbitration';

b. Entry no. 7 in FLL Part II: 'National planning and national economic coordination including

planning and coordination of scientific and technological research';

c. Entry no. 13 in FLL Part II: 'Inter-provincial matters and co-ordination'

In addition the following entries existing in the pre-18th Amendment Constitution are also relevant:-

i. Entry no. 3 in FLL Part I: 'External affairs; the implementing of treaties and agreements,

including educational and cultural pacts and agreements, with other countries; extradition,

including the surrender of criminals and accused persons to Governments outside Pakistan.'

ii. Entry no. 58 in FLL Part I: 'Matters which under the Constitution are within the legislative

competence of Majlis- e-Shoora (Parliament) or relate to the Federation'.

iii. Entry no. 59 in FLL Part I and entry no. 18 in FLL Part II: 'Matters incidental or ancillary to any

matter enumerated in this Part.'

Article 142(a) provides that Parliament has exclusive power to make laws with respect to any

matter in the FLL Part I and Part II. [The Council of Common Interests shall formulate policies in

relation to matters in FLL Part II and shall exercise supervision and control over related

institutions, as per Article 154(1)]. Article 142 (d) provides that Parliament shall also have

exclusive power to make laws with respect to all matters pertaining to such areas in the

Federation as are not included in any Province (e.g. the ICT)

In the light of the above provisions, Parliament has exclusive power to make laws to implement

international treaties, conventions and agreements to which Pakistan is a party, or for national

planning, or for inter-provincial matters and coordination, or other matters falling within the

legislative competence of Parliament, or which are incidental or ancillary to any matter

enumerated in the FLL Part I or Part II. These laws may well relate to 'Environment' directly or

indirectly, such as laws required to implement the multi-national environmental agreements

(MEAs) to which Parliament is a party.

It may also be noted that Article 144 (as amended by section 51 ibid) provides that even one

Provincial Assembly may pass a resolution requesting Parliament to make a law regulating any

matter not mentioned in the FLL (e.g. 'Environment'). [Previously resolution of at least two

Provincial Assemblies was required.] The Provincial Assembly concerned may amend or repeal


any such law enacted by Parliament.

4.2. PEPA 1997

Article 270AA (6), as amended by section 96 of the 18th

Amendment, provides that

notwithstanding omission of the CLL, all laws with respect to any of the matters enumerated in the

said List (including Ordinances, Orders, rules, bye-laws, regulations and notifications and other

legal instruments having the force of law) which were in force immediately before the

commencement of the 18th Amendment, shall continue to remain in force until altered, repealed or

amended by the competent authority. The Explanation to Article 270AA (6) defines "competent

authority' to be: (a) in respect of all laws, the appropriate Legislature; and (b) in respect of

notifications and rules etc., the authority in which the power to make, alter, repeal or amend the

same notifications and rules etc vests under the law.

In the light of the said provisions of Article 270AA (6), PEPA 1997 shall continue to remain in force

until repealed or amended by the competent authority, which is now the Provincial Assembly in

respect of each Province. and Parliament in respect of the ICT and other areas in the Federation

not forming part on any Province [Article 142 (c) and (d)].

PEPA 1997 can be repealed or amended, vis-à-vis its application to a particular Province, through

a Provincial Act enacted by the Provincial Assembly concerned. The only restriction is contained

in Article 143 of the Constitution (as amended by section 50 of the 18th Amendment). This lays

down that if the provision of a Provincial Act is repugnant to any provision of a Federal Act which

Parliament is competent to enact, the Federal Act shall prevail and the Provincial Act shall, to the

extent of the repugnancy, be void.

PEPA 1997 can, and should, be amended by Parliament for purposes of application to the ICT /

other areas in the Federation not included in any Province. Other provisions, which relate to

matters falling in the FLL, can be retained or suitably amended and made applicable to the whole

of Pakistan.

4.3. PEPA Rules and Regulations

In accordance with Article 270AA(6), all Rules and Regulations made / notified under PEPA 1997

shall also continue to remain in force until altered, repealed or amended by the competent

authority, as defined therein and discussed above. A list of these Rules and Regulations is at

Annexure C.

Vide identical notifications dated October 27, 1998 various powers of the Pakistan Environmental

Protection Agency, (henceforth "Pak EPA") under PEPA 1997 were delegated by the Federal

Government to the Provincial Governments under section 26 ibid, including section 6 (Functions of

the Federal agency), section 7 (Powers of the Federal Agency), section 12 [Initial Environmental

Examination (IEE) and Environmental Impact Assessment (EIA)], section 14 (Handling of

hazardous substances), and section 15 (Regulation of motor vehicles). However, the rule-making

power of the Federal Government under section 31 and regulation-making power of the Federal

Agency (Pakistan Environmental Protection Agency, henceforth "Pak EPA") under section 33

were not so delegated. No Provincial rule or regulation has therefore been prescribed thus far.

Clearly, sections 31 and 33 should be amended (by Act of the Provincial Assembly) to empower

the Provincial Government to make or amend rules and to empower the Provincial Agencies to


make or amend regulations in future.

Meanwhile, legal implications of the 18th Amendment for each of these Rules / Regulations are as

follows:

(i) National Environmental Quality Standards (Certification of Environmental

Laboratories) Regulations, 2000.

Powers under section 6(1)(k) of PEPA 1997 for certification of environmental laboratories have

been delegated to the Provinces, which can continue to exercise the same. As mentioned above,

any change in these Regulations can only be made after Provincial EPAs have been duly

authorized in this behalf by Acts of the Provincial Assemblies. Pak EPA will continue to exercise

these powers for laboratories situated within the ICT.

(ii) Environmental Tribunal Rules, 1999 (notified on 18th

March, 2000).

Terms and conditions of the Chairperson and Members of the Environmental Tribunals and other

provisions of these Rules remain unaffected by the 18th Amendment.

(iii) PEPA (Review of IEE and EIA) Regulations, 2000.

Powers under section 12 of PEPA 1997 relating to review of Initial Environmental Examination

(IEE) and Environmental Impact Assessment (EIA) have been delegated to the Provinces, subject

to the condition that these shall not be exercised in respect of projects of the Armed Forces of

Pakistan or projects having transitional and inter-provincial adverse environmental effects. Again,

the delegated powers may continue to be exercised till modified by the Provincial EPAs after

enactment of Provincial laws.

(iv) Provincial Sustainable Development Fund Board (Procedure) Rules, 2001.

Management of the Fund established under section 9 of PEPA 1997 has been entrusted to a

Board constituted under section 10, comprising of officers and non-official nominees of the

Provincial Government. The Rules relate to functioning of the said Board, and remain unaffected.

(v) Environmental Samples Rules, 2001.

Powers under clauses (f), (g), (h), (i) and (j) of section 7 relating to supply of information, search,

taking and testing of samples, and confiscation etc have been delegated to the Provinces and may

continue to be exercised till amended after enactment of Provincial laws.

(vi) National Environmental Quality Standards (Self-Monitoring and Reporting by Industry)

Rules, 2001.

These Rules relate to submission of Environmental Monitoring Reports to the Federal Agency, i.e.

Pak EPA. Although powers under clauses (e) and (f) of section 6 relating to preparation, revision

and enforcement of the National Environmental Quality Standards (NEQS) stand delegated to the

Provinces, the Rules require modification to permit filing of the Reports with the Provincial EPAs

also. This can be done after necessary amendment in section 33, as mentioned above.

(vii) Pollution Charge for Industry (Calculation and Collection) Rules, 2001

These Rules provide Guidelines for calculation and collection of the pollution charge payable by

an industrial unit under section 11 for discharges or emissions at levels in excess of the NEQS

/established standards. While section 11 needs to be amended to empower Provincial

Governments to levy the charge, the Rules refer to, and require action by, the Provincial EPAs,

and therefore can be applied without any immediate modification.


(viii) Provincial Sustainable Development Fund (Utilization) Rules, 2003.

These Rules prescribe procedure for filing, appraisal and sanction of project proposals for

utilization of financial assistance from the Fund. As action is to be taken by the Provincial EPAs/

government departments, no immediate amendment is required.

(ix) Pakistan Biosafety Rules, 2005.

These Rules provide for establishment of National Biosafety Committee, Technical Advisory

Committee and Institutional Biosafety Committee and grant of licences by Pak EPA for dealing

with living modified organisms etc. Appropriate amendments are required to adapt the provisions

in the light of devolution, including empowering of the Provincial EPAs.

(x) Hospital Waste Management Rules, 2005.

These Rules lay down detailed procedures to be followed by every hospital / health care and

biomedical facility for disposal of waste. Separate Hospital Waste Management Advisory

Committees have been constituted for the ICT and the Provinces. Minimal amendment is required:

Rule 25 has to be modified to allow the Provincial Government to exempt any class of hospitals in

the Province and the Federal Government to exempt any class of hospitals in the ICT.

4.4. National Environmental Quality Standards

The NEQS were initially notified in 1993 and partially amended in 1995 under PEPO 1983. They

were again amended in 2000, 2009 and 2010 under PEPA 1997 (see Annexure D). They continue

to remain binding and enforceable, as per provisions of Article 270AA (6).

Pak EPA is empowered to prepare, establish and revise NEQS with the approval of the Pakistan

Environmental Protection Council (PEPC) under section 6(1)(e) of PEPA 1997, and to ensure

enforcement of the NEQS under section 6(1)(f) ibid. As mentioned above, these powers have

been delegated to the Provincial Governments / Provincial EPAs. Hence NEQS can be enforced

by the Provincial EPAs in the Provinces. However NEQS can only be prepared, established and

revised with the approval of the PEPC (whose Members have a two-year term).

Arguably, some of the functions and powers of the PEPC mentioned in section 4 of PEPA 1997

can be said to relate to entries in the FLL (e.g. "co-ordinate and supervise enforcement of the

provisions of this Act"; "approve comprehensive national environmental policies…."; "co-ordinate

integration of the principles and concerns of sustainable development into national development

plans and policies", etc.). The PEPC can therefore be retained with suitably amended functions /

powers for the ICT, and with reduced functions, relating to matters falling in the FLL, for the

Provinces. Appropriate Federal legislation can be enacted for this purpose. However, post-

devolution it is also clearly necessary to constitute, through Provincial Acts, Provincial

Environmental Protection Councils with functions / powers corresponding to those specified for the

PEPC in section 4 ibid, including approval of Provincial Environmental Quality Standards (PEQS) /

revised NEQS, if required, to be prepared by the Provincial EPAs.

4.5. Executive Authority of the Province relating to Environment

Article 137 declares that subject to the Constitution, the executive authority of the Province shall

extend to the matters with respect to which the Provincial Assembly has power to make laws. In

other words the executive authority of a Province is co-terminus with the legislative competence of

the Provincial Assembly. The proviso to Article 137 however states that such executive authority


shall be subject to, and limited by, the executive authority conferred upon the Federal Government

by the Constitution or by law in any matter with respect to which both Parliament and a Provincial

Assembly have power to make laws. (After omission of the CLL, the only 3 subjects with respect

to which both Parliament and a Provincial Assembly have power to make laws are criminal law,

criminal procedure and evidence as provided in Article 142 (b), amended by section 49 of the 18th

Amendment.)

Article 147 provides that a Provincial Government may, with the consent of the Federal

Government, entrust functions in relation to any matter to which its executive authority extends to

the Federal Government or to its officers. A proviso added by section 52 of the 18th Amendment

requires that the functions so entrusted shall be got ratified from the Provincial Assembly within 60

days. Hence the Constitution provides for 'reverse' devolution also. A Province can not only

request Parliament to make a law pertaining to 'Environment' through resolution of the Provincial

Assembly under Article 144, it can also entrust its existing functions under PEPA 1997 to the

Federal Government or its officers under Article 147, subject to ratification by the Provincial

Assembly within 60 days.

4.6. Environmental Tribunals

Section 20 of PEPA 1997 empowers the Federal Government to establish Environmental

Tribunals. In exercise of this power, the Ministry of Law, Government of Pakistan constituted

Tribunals in 1999 at Karachi [with territorial jurisdiction over Sindh and Balochistan ] and Lahore

[with territorial jurisdiction over Punjab, NWFP (now Khyber Pakhtunkhwa), and the Islamabad

Capital Territory]. In accordance with the provisions of Article 270AA (6) referred to above, these

Tribunals can continue to function even after the 18th

Amendment.

In this case also each Province should make appropriate amendment in section 20 ibid by a

Provincial Act empowering the Provincial Government to establish Environmental Tribunals in

future.

4.7. Multilateral Environmental Agreements

As discussed above, entry no. 32 in FLL Part I ('International treaties, conventions and

agreements…) and entry no. 3 in FLL Part I ('…the implementing of treaties and agreements),

mean that Parliament has exclusive powers to make laws to implement international treaties,

conventions and agreements to which Pakistan is a party, including MEAs.

Section 31 of PEPA 1997 empowers the Federal Government to make rules for implementing the

provisions of the international environmental agreements specified in the Schedule. The Schedule

lists 14 environmental conventions and agreements to which Pakistan is a party. Brief description

of each of these 14 agreements is at Annexure E. Section 32 ibid further empowers the Federal

Government to amend the said Schedule by adding to, or modifying or omitting any entry in it.

The intention of the Legislature as expressed in these provisions is to enable the Federal

Government to implement international environmental agreements to which Pakistan is a party

through rules rather than by Acts of Parliament, unless legally necessary. However, this power

has not yet been exercised and no such rules have been framed.


5. Role of Provincial and Successor Federal Authorities

As decided by the 18th

Amendment Implementation Commission and approved by the Federal

Cabinet, the c) stands 'devolved' to the Provinces with effect from July 1, 2011. Vide Cabinet

Secretariat Notification No.4-9/2011-Min.I. dated June 29, 2011 (Annexure F), functions previously

being dealt with by the MoE were either devolved to the Provinces, or were retained at the Federal

level and 're-located' in other Divisions.

On October 26, 2011, another Notification bearing No.4-14/2011-Min.I. (Annexure G) was issued,

whereby some of the "re-located" functions have been assigned to the newly-created National

Disaster Management Division (NDMD) and the National Heritage and Integration Division. The

combined effect of the 2 Notifications vis-à-vis assignment of the functions of the erstwhile MoE is

as follows:-

1. Provinces

(a) (National) policy, plans, strategies and programmes regarding:

(i) Improvement in environment conditions of air, water and land;

(ii) Incorporation of environmental concerns in development schemes; and

(iii) Energy conservations;

(b) Forestry training, education and research;

(c) Survey and research in flora and fauna: and

(d) National Council for Conservation of Wildlife in Pakistan.

2. Khyber Pakhtunkhwa

Pakistan Forest Institute (PFI)

3. National Disaster Management Division;

(a) Pakistan Environmental Protection Council;

[N.B. In Notification dated 29th June, 2011 "Secretariat of Pakistan Environmental Protection

Council under the Pakistan Environmental Act, 1997 (XXXIV of 1997)" was assigned to the

Inter-Provincial Coordination Division];

(b) Pakistan Environmental Protection Agency;

[N.B. In Notification dated 29th June, 2011 "Pakistan Environmental Protection Agency" was

assigned to the Capital Administration and Development Division];

(c) Pakistan Environmental Planning and Architectural Consultants Limited (PEPAC);

[N.B. In Notification dated 29th June, 2011 PEPAC was assigned to the Planning and

Development Division for "winding up"];

(d) Global Environmental Impact Study Centre, Islamabad; and

[N.B. In Notification dated 29th June, 2011 GEISC was assigned to the Planning and

Development Division];

(e) Policy, legislation, plans, strategies and programmes with regard to Disaster

Management including Environmental Protection and Preservation

[N.B. In Notification dated 29th June, 2011 "National policy, plans, strategies and programmes

regarding environmental pollution, ecology, forestry, wildlife, biodiversity, climate change and

desertification" was assigned to the Planning and Development Division].


(f) Co-ordination, monitoring and implementation of environment agreements with other

countries, international agencies and forums.

N.B. In Notification dated 29th June, 2011 this function was assigned to the Planning and

Development Division, incorrectly mentioned as Economic Affairs Division in Notification dated

26th October, 2011];

4. Planning and Development Division

National policy, plans, strategies and programmes regarding environmental pollution, ecology,

forestry, wildlife, biodiversity, climate change and desertification.

5. National Heritage and Integration Division

(a) Quaid-e-Azam Mazar Management Board (QMMB); and

(b) Quaid-e-Azam Memorial Fund (QMF).

[N.B. In Notification dated 29th June, 2011 QMMB and QMF were assigned to the Inter-

Provincial Coordination Division];

6. Ministry of Water and Power

National Energy Conservation Centre (ENERCON).

7. Ministry of Foreign Affairs

Hunting areas for foreign dignitaries through the concerned Provinces.

8. Ministry of Ports

Marine Biological Research Laboratory, Karachi.

The devolution / assignment of matters previously dealt with by the MoE vide Notification dated

29th June, 2011 was disputed and controversial, and has become even more so after Notification

dated 26th October, 2011. Many NGOs have been opposing the very concept of devolution of the

MoE, basically on the grounds that because of lack of capacity and readiness in the Provinces, it

was necessary to maintain national-level institutions for: (a) effective policy-making and inter-

provincial co-ordination; (b) negotiation, oversight, monitoring and reporting of implementation of

MEAs; and (c) liaison with donors for receiving aid for specific programmes and projects.

Concerned environmentalists have gone to the extent of terming devolution to the Provinces and

division of responsibilities amongst various successor Federal authorities as "demolition and

distribution" and have predicted that another constitutional amendment will be required soon to

reverse the whole process, after considerable wastage of time and money.

In order to remove these misgivings and doubts, it was necessary to clearly assign functions /

subjects which can, and are, being retained at the Federal level to the concerned Divisions,

ensuring that there is no ambiguity or overlap. However the new Notification dated 26th

October,

2011 has not only added to the prevailing uncertainty and confusion regarding assignment of MoE

functions, but the regrouping of certain functions under a new Ministry of Disaster Management

(along with the creation of 3 other Ministries) is also a negation of one of the benefits of

devolution, viz savings in administrative expenditure as a result of abolition of the devolved

Ministries. Also, is there an implicit acknowledgement of the state of affairs in the Environment

sector by assigning "Environmental Protection and Preservation" to the Ministry of Disaster

Management?

The Notification dated 29th June, 2011 assigned "National policy, plans, strategies and

programmes regarding environmental pollution, ecology, forestry, wildlife, biodiversity, climate


change and desertification" to the Planning and Development Division. The Notification dated 26th

October, 2011 has assigned "Policy, legislation, plans, strategies and programmes with regard to

Disaster Management including Environmental Protection and Preservation" (which are not shown

as assigned to any Division at present) to the new National Disaster Management Division

(whereas the name of the new Ministry / Division has been mentioned as Ministry of Disaster

Management / Disaster Management Division in the same Notification).

Since the subsequent Notification does not state that it supersedes the earlier Notification,

presumably "National policy, plans, strategies and programmes regarding environmental pollution,

ecology, forestry, wildlife, biodiversity, climate change and desertification" still remains assigned to

the Planning and Development Division. If so, it is strange that "Environmental pollution" should be

assigned to the Planning and Development Division while "Environmental Protection and

Preservation" should be assigned to the National Disaster Management Division (NDMD).

Moreover "Improvement in environmental conditions…" and "Incorporation of environmental

concerns in development schemes" have been devolved to the Provinces. Clarification in this

regard is required from the Cabinet Division / concerned Ministries to remove the confusion arising

out of these ambiguities and apparent overlap.

There are other problems requiring clarification / resolution. If "Energy conservations" has been

devolved, why has ENERCON been retained and assigned to the Ministry of Water and Power?

The Punjab Government has also protested against the assignment of the matter relating to

allocation of hunting areas for foreign dignitaries to the Ministry of Foreign Affairs. It has been

asserted that in addition to forestry and wildlife, environmental pollution and ecology are also now

no longer on the FLL and therefore the executive authority of the Federation does not extend to

these subjects or incidental / ancillary matters. Hence the allocation of potential sites as hunting

areas and identification of negative areas for Houbara bustard fall within the sole authority of the

Provincial Governments. The retention of any such authority by the Federation would therefore be

unconstitutional. The dispute remains unresolved.

Matters relating to MEAs previously assigned to the Planning and Development Division have now

been assigned to the new NDMD. Reporting and other duties of a Contracting Party under each

MEA will be performed by the Federal Government through the NDMD instead of the MoE. As

implementation will take place in the Provinces, it is important to keep effective liaison with the

Provincial Governments / EPAs (and for the ICT with Pak EPA) .to monitor progress and to send

timely reports to the MEA secretariats

The NDMD should review action taken thus far in implementation of the MEAs mentioned in the

Schedule and initiate action where required. It may also add new MEAs (to which Pakistan Is a

Party) to the Schedule, as permitted under section 32 of PEPA 1997.

Clearly the success of the entire devolution process initiated by the 18th

Amendment can only be

judged after assessing the results achieved, in terms of the improvements and benefits accruing

from policy making and implementation at the provincial level. This is a huge challenge for the

Provincial Governments, given the tremendous euphoria and high expectations of the general

public from the quantum increase in provincial autonomy, as well as likely political backlash should

it cause administrative chaos. In the circumstances political will and resolve to show positive

results will not be lacking in the Provinces. What is required is the building and enhancement of

capacity on priority basis to enable the efficient and effective handling of the post-devolution

increased workload.


Insofar as the 'Environment' sector is concerned, training workshops should be organized urgently

to facilitate imparting of knowledge and transfer of knowhow to Provincial authorities in respect of

matters with which they are unfamiliar. This should not be too difficult a task, since most of the

matters now formally assigned to the Provinces relating to this sector were already their

responsibility and were being undertaken at the provincial level, albeit not with the effectiveness

and success required.

It is important to remember that unless trained/experienced staff of the erstwhile MoE is

transferred to the relevant successor Federal authority in accordance with their area of expertise,

training workshops may be required for existing staff of these authorities also.

INTERNATIONAL UNION FOR

CONSERVATION OF NATURE

Islamabad Programme Office

House 21, Street 88

G-6/3, Islamabad

Pakistan

Tel +92 (51) 2271027-34

Fax +92 (51) 2271017

[email protected]

www.niap.pk

Engr Tufail Ali Zubedi

Environmental Consultant

http://www.SPMCpk.com/

Sindh Environmental Protection Act

2014- EIA

The Sindh Environmental Protection Bill, 2014 having been

passed by the Provincial Assembly of Sindh on 24th February,

2014 and assented to by the Governor of Sindh on 19th

March, 2014 is published as an Act of the Legislature of

Sindh.

THE SINDH ENVIRONMENTAL PROTECTION ACT,

2014.

Part Section Descriptions

Part-I Preamble

1 Short title and commencement

2 Definitions

Part II THE SINDH ENVIRONMENTAL PROTECTION COUNCIL.

3 Establishment of the Sindh Environmental Protection Council

4 Functions and Powers of the Council

PART-III THE SINDH ENVIRONMENTAL PROTECTION AGENCY

5 Establishment of the Sindh Environmental Protection Agency

6 Functions of the Agency

7 Powers of the Agency

PART-IV SINDH SUSTAINABLE DEVELOPMENT FUND

8 Establishment of the Sindh Sustainable Development Fund

9 Management of the Sindh Sustainable Development Fund.

10 Accounts

PART-V PROHIBITIONS AND ENFORCEMENT

11 Prohibition of certain discharges or emissions and compliance with standards

12 Prohibition of import of hazardous waste

13 Handling of hazardous substances

14 Prohibition of action adversely affecting Environment

15 Regulation of motor vehicles

16 Certified Environmental Laboratory.

Part Section Descriptions

PART-VI ENVIRONMENTAL EXAMINATIONS AND ASSESSMENTS

17 initial environmental examination and environmental impact assessment

18 Strategic environmental assessment

19 Environmental monitoring.

20 Environmental Audit and Review

PART-VII ENVIRONMENTAL PROTECTION ORDER

21 Environmental Protection Order

PART-VIII OFFENCES AND PENALTIES

22 Penalties

23 Offences by body corporate.


PART-IX ENVIRONMENTAL PROTECTION TRIBUNALS AND COURTS

25 Environmental Protection Tribunals

26 Jurisdiction and powers of Environmental Protection Tribunals.

27 Appeals to the Environmental Protection Tribunal

28 Appeals from orders of the Environmental Protection Tribunal

29 Jurisdiction of Judicial Magistrate

30 Appeals from orders of the Judicial Magistrate.

PART-X PUBLIC PARTICIPATION

31 Public participation

PART-XI GENERAL

32 Power to make and amend schedule.

33 Indemnity

34 Dues recoverable as arrears of land revenue.

35 Act to override other laws



1. Short title and commencement

Sindh Environmental Protection Act, 2014.

extends to the whole of the Province of Sindh.

come into force at once.

5 Establishment of the Sindh Environmental

Protection Agency.

(1) Government shall, by notification in the Official Gazette, establish the Sindh Environmental Protection Agency, to exercise the powers and perform the functions assigned to it under the provisions of this Act and the rules and regulations made thereunder.

(2) The Agency shall be headed by a Director General who shall be appointed by Government on such terms and conditions as it may determine.

(3) The Agency shall have such administrative, technical and legal staff as Government may specify, to be appointed in accordance with such procedure as may be prescribed.

5 Establishment of the Sindh

Environmental Protection Agency.

(4) The powers and functions of the Agency shall be exercised and performed by the Director General.

(5) The Director General may, by general or special order, delegate any of these powers and functions to staff appointed under sub-section (3).

(6) For assisting the Agency in the discharge of its functions Government shall establish Advisory Committees for various sectors and appoint as members thereof eminent representatives of the relevant sector, educational institutions, research institutes and non- governmental organizations.

6. Functions of the Agency. (1) The Agency shall –

(a) administer and implement the provisions of this Act and the rules and regulations;

(b) prepare, in co-ordination with the appropriate Government Agency or local council and, in consultation with the concerned Advisory Committees where established, environmental policies for the approval of the Council;

(c) take all necessary measures for the implementation of the environmental policies approved by the Council;

(d) prepare and publish an annual Sindh Environment Report on the state of the environment in the province;

6. Functions of the Agency.

(e) prepare or revise and establish the Sindh Environmental

Quality Standards with approval of the Council:

Provided that before seeking approval of the Council, the

Agency shall publish the proposed Sindh Environmental Quality

Standards for public opinion in accordance with the prescribed

procedure;

(f) ensure enforcement of the Sindh Environmental Quality

Standards;


(g)where the quality of ambient air, water, land or noise so

requires, the Agency may, by notification in the Official

Gazette establish different standards for discharge or

emission from different sources and for different areas and

conditions as may be necessary:

Provided that where these standards are less stringent than the

Sindh Environmental Quality Standards; prior approval of the

Council shall be obtained;


(h) establish systems and procedures for surveys,

surveillance, monitoring, measurement, examination,

investigation, research, inspection and audit to prevent and

control pollution, and to estimate the costs of cleaning up

pollution and rehabilitating the environment in various

sectors;

(i) take measures to promote research and the development

of science and technology which may contribute to the

prevention of pollution, protection of the environment, and

sustainable development;


(j) issue licences, approval for the consignment, handling,

transport, treatment, disposal of, storage, handling or

otherwise dealing with hazardous substances;

(k) certify laboratories as approved laboratories for

conducting tests and analysis and one or more research

institutes as environmental research institutes for conducting

research and investigation for the purposes of this Act;

(l) identify the needs for and initiate legislation in various

sectors of the environment;


(m) provide assistance to relevant Federal and Provincial

Government Agencies in the management of environment

accidents and natural and environmental disasters, including

conduct of inquiry thereto;

(n) render advice and assistance in environmental matters

including such information and data available with it as may

be required for carrying out the purposes of this Act:

Provided that the disclosure of such information shall be subject

to the restrictions specified in Part XI (Access to Information);


(o) assist Government Agencies, local councils, local

authorities and other persons to implement schemes for the

proper disposal of wastes so as to ensure compliance with the

Sindh Environmental Quality Standards;

(p) provide information and guidance to the public on

environmental matters;

(q) recommend environmental courses, topics, literature and

books for incorporation in the curricula and syllabi of

educational institutions;

6. Functions of the Agency. (r) promote public education and awareness of environmental

issues through mass media and other means including seminars and workshops;

(s) establish and maintain mechanisms, including its own website, to disseminate information, subject to the provisions of this Act, regarding policies, plans and decisions of the Government, the Council and the Agency, relating to the environment;

(t) specify safeguards for the prevention of accidents and disasters which may cause pollution, collaborate with the concerned persons in the preparation of contingency plans for control of such accidents and disasters, and co-ordinate implementation of such plans;

6. Functions of the Agency. (u) review and approve mitigation plans and give guidance and

directions, where necessary, relating to clean up operations ordered under this Act;

(v) encourage the formation and working of nongovernmental organizations, community organizations and village organizations to prevent and control pollution and promote sustainable development;

(w) take or cause to be taken all necessary measures for the protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution and promotion of sustainable development; and

(x) perform any function that the Council may assign to it.

6. Functions of the Agency. (2) The Agency may -

(a) undertake inquiries or investigation into environmental issues, either of its own accord or upon complaint from any person or organization;


(c) initiate, with the approval of Government, requests for foreign assistance in support of the purposes of this Act and enter into arrangements with foreign agencies or organizations for the exchange of material or information and participate in international seminars or meetings;

6. Functions of the Agency. (d) recommend to Government and the Council the adoption

of financial and fiscal programmes, schemes or measures for achieving environmental objectives and goals and the purposes of this Act, including -

(i) taxes, duties, cesses and other levies; and

(ii) incentives, prizes, awards, rewards, subsidies, tax exemptions, rebates and depreciation allowances;

(e) establish and maintain laboratories to help in the performance of its functions under this Act and to conduct research in various aspects of the environment and provide or arrange necessary assistance for the establishment of similar laboratories in the private sector;


(f) arrange, in accordance with such procedure as may be

prescribed, financial assistance for projects designed to

facilitate in discharge of its functions; and

(g) acquire assistance of concerned authorities of district

administration and other relevant agencies, departments and

police assistance for enforcement of this Act.

7 Powers of the Agency.

Subject to the provisions of this Act, the Agency may-

(a) lease, purchase, acquire, own, hold, improve, use or

otherwise deal in and with any property both moveable and

immovable;

(b) sell, convey, mortgage, pledge, exchange or otherwise

dispose of its property and assets;

(c) fix and realize fees, rates and charges for rendering any

service or providing any facility, information or data under

this Act or its rules and regulations;

7 Powers of the Agency. (d) enter into contracts, execute instruments, incur liabilities and

do all acts or things necessary for proper management and conduct of its business;

(e) appoint, with the approval of Government and in accordance with such procedures as may be prescribed, such advisers, experts and consultants as it considers necessary for the efficient performance of its functions on such terms and conditions as it may deem fit;



(g) Director General may authorize any officer or official to

enter and inspect or under a search warrant issued by

Environmental Protection Tribunal or a Court, search at any

time, any land, building, premises, vehicle or vessel or other

place where or in which there are reasonable grounds to

believe that an offence under this Act has been, or is being, or

likely to be committed;

(h) take samples of any materials, products, articles or

substances or of the effluent, wastes or air pollutants being

discharged or emitted or of air, water or land in the vicinity

of the discharge or emission;


(i) arrange for the testing and analysis of samples at a

certified laboratory;

(j) confiscate any article used in the commission of the

offence where the offender is not known or cannot be found

within a reasonable time:

Provided that the powers under clauses (f), (g), (h) (i), and (j)

shall be exercised in accordance with the provisions of the Code

of Criminal Procedure, 1898 (Act V of 1898) or the rules and

regulations and under the direction of the Environmental

Protection Tribunal or a Court; and


(k) establish the Sindh Environmental Co-ordination

Committee comprising the Director-General as its Chairman

and such other persons as Government shall appoint as its

members to exercise such powers and perform such

functions as shall be delegated or assigned to it by

Government for carrying out the purposes of this Act and for

ensuring coordination among Government Agencies in

implementation of environmental policies.

17 Initial environmental examination and

environmental impact assessment.

(1) No proponent of a project shall commence construction

or operation unless he has filed with the Agency an initial

environmental examination or environmental impact

assessment, and has obtained from the Agency approval in

respect thereof.

(2) The Agency shall –

(a) review the initial environmental examination and accord

its approval, subject to such terms and conditions as it may

prescribe, or require submission of an environmental impact

assessment by the proponent; or



(2) The Agency shall –

(b) review the environmental impact assessment and accord its approval subject to such terms and conditions as it may deem fit to impose or require that the environmental impact assessment be re-submitted after such modifications as may be stipulated or decline approval of the environmental impact assessment as being contrary to environmental objectives.

(3) Every review of an environment impact assessment shall be carried out with public participation and, subject to the provisions of this Act, after full disclosure of the particulars of the project.



(4) The Agency shall communicate its approval or otherwise

within a period of two months from the date that the initial

environmental examination is filed, and within a period of four

months from the date that the environmental impact assessment is

filed complete in all respects in accordance with the regulations,

failing which the initial environmental examination or, as the case

may be, the environmental impact assessment shall be deemed to

have been approved, to the extent to which it does not contravene

the provisions of this Act and the rules and regulations:

(5) The provisions of sub-sections (1), (2), (3) and (4) shall apply

to such categories of projects and in such manner as prescribed:



(6) The Agency shall maintain separate registers for initial

environmental examination and environmental impact

assessment projects, which shall contain brief particulars of

each project and a summary of decisions taken thereon, and

which shall be open for inspection to the public during office

hours.

18. Strategic Environmental Assessment.

(1) All provincial government agencies, departments,

authorities, local councils and local authorities responsible for formulating policies, legislation, plans and programmes to be implemented in Sindh province which may cause any environmental impact in the jurisdiction of the province shall, before submitting the same to the competent authority for approval, forward to the Sindh Environmental Protection Agency a strategic environment assessment containing —

(a) description of the objectives and features of the proposed policy, legislation, plan or programme that are in consonance with the principles of sustainable development;


(b) assessment of the adverse environmental effects, if any,

likely to be caused during implementation of the policy,

legislation, plan or programme along with proposed

preventive, mitigation and compensatory measures;

(c) analysis of possible alternatives; and

(d) identification of those components of the policy,

legislation, plan or programme, if any, in respect of which

specific environmental impact assessment need to be carried

out in due course.


(2) The Agency shall, in consultation with the concerned

Government Agencies and Advisory Committees where

established, review the strategic environment assessment, within

sixty (60) days of its filing, and prepare a report containing its

comments and recommendations in respect thereof which shall be

forwarded to the initiating Government Agency, authority, local

council or local authority and duly considered by it and the

competent authority before approval or otherwise of the proposed

policy, legislation, plan or programme.

(3) The provisions of sub-sections (1), and (2) shall apply to such

categories of policies, plans and programmes and in such manner

as may be prescribed.

19 Environmental monitoring

(1) The Agency shall carry out or arrange environmental

monitoring of all projects in respect of which it has approved

an initial environmental examination or environmental

impact assessment to determine whether the actual

environmental impact exceeds the level predicted in the

assessment and whether the conditions of the approval are

being complied with.

19 Environmental monitoring (2) For purposes of sub-section (1), the Agency may require

the person in charge of a project to furnish such information as it may specify pertaining to the environmental impact of the project, including quantitative and qualitative analysis of -

(a) discharge of effluents, wastes, emissions of air pollutants, noise and any other matter or action that may be found offensive under section 14 from the project on daily, weekly, monthly or annual basis;

(b) ambient quality of the air, water, noise and soil before, during and after construction and during operation of the project.

19 Environmental monitoring

(3) On review of the data collected by it and information

provided, the Agency may issue such directions to the person

in charge as it may consider necessary to ensure compliance

with the conditions of the approval.

Thank you

Quiz 01: Dated Feb 20, 2016

Topics from Lecture 01-04

All inclusive.

Discuss books

PROVINCIAL ASSEMBLY OF SINDH NOTIFICATION

KARACHI, THE 20TH MARCH, 2014.

NO.PAS/Legis-B-06/2014-The Sindh Environmental Protection Bill, 2014 having been passed by the Provincial Assembly of Sindh on 24th February, 2014 and assented to by the Governor of Sindh on 19th March, 2014 is hereby published as an Act of the Legislature of Sindh.

THE SINDH ENVIRONMENTAL PROTECTION ACT, 2014.

SINDH ACT NO.VIII OF 2014.

AN ACT

to provide for the protection, conservation, rehabilitation and improvement of the environment, for the prevention and control of pollution, and promotion of sustainable development.

WHEREAS it is expedient to provide for the protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution, promotion of sustainable development, and for matters connected therewith and incidental thereto;

PART- I It is hereby enacted as follows:-

Preamble.

1. (1) This Act may be called the Sindh Environmental Protection Act, 2014.

(2) It extends to the whole of the Province of Sindh. (3) It shall come into force at once.

Short title and commencement.

2. In this Act, unless there is anything repugnant in the subject or context-

(i) "adverse environmental effect" means impairment of, or damage to, the environment and includes—

(a) impairment of, or damage to, human health and

safety or to biodiversity or property;

(b) pollution; and

(c) any adverse environmental effect as may be specified in the rules or regulations made under this Act;

(ii) “Agency” means the Sindh Environmental Protection

Agency established under section 5 of this Act;

(iii) "agricultural waste" means waste from farm and agricultural activities including poultry, cattle farming, animal husbandry residues from the use of fertilizers, pesticides and other farm chemicals and agricultural runoff;

Definitions.

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(iv) "air pollutant" means any substance that causes pollution of air and includes soot, smoke, dust particles, odor, light, electro-magnetic, radiation, heat, fumes, combustion exhaust, exhaust gases, noxious gases, hazardous substances and radioactive substances;

(v) "biodiversity" or "biological diversity" means the variability among living organisms from all sources, including inter-alia terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystems;

(vi) “biosafety” means the mechanism developing through

policy and procedure to ensure human health and the environmentally safe application of biotechnology;

(vii) "Council" means the Sindh Environmental Protection

Council established under section 3 of this Act; (viii) "discharge" means spilling, leaking, pumping, depositing,

seeping, releasing, flowing-out, pouring, emitting, emptying or dumping into the land, water or atmosphere;

(ix) "ecosystem" means a dynamic complex of plant, animal

and micro-organism communities and their non-living environment interacting as a functional unit;

(x) "effluent" means any material in solid, liquid or gaseous

form or combination thereof being discharged from industrial activity or any other source and includes a slurry, suspension or vapour;

(xi) "emission standards" means the permissible standards

established by the Agency for emission of air pollutants and noise and for discharge of effluent and waste;

(xii) “environment” means- (a) air, water, land and natural resources; (b) all layers of the atmosphere; (c) all organic and inorganic matters and living organisms; (d) ecosystems and ecological relationships; (e) buildings, structures, roads, facilities and works; (f) all social and economic conditions affecting

community life; and (g) the inter-relationship between any of the factors in

sub-clause (a) to (f) made under this Act;

(xiii) “environmental aspect” means an organization’s activities or services that can interact with the environment;

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(xiv) “environment audit” means a systemic scrutiny of environmental performance of an organization, factory, company or manufacturing and production unit regarding to its operations;

(xv) "environmental impact assessment" means an

environmental study comprising collection of data, prediction of qualitative and quantitative impacts, comparison of alternatives, evaluation of preventive, mitigation and compensatory measures, formulation of environmental management and training plans and monitoring arrangements, and framing of recommendations and such other components as may be prescribed;

(xvi) “Environmental Management Plan” means a site

specific plan developed to ensure that all necessary measures are identified and implemented in order to protect the environment and comply with the environmental legislation;

(xvii) “Environmental Protection Order" means an order

passed under Section 21 made under this Act. (xviii) “Environmental Protection Tribunal” means the

Environmental Protection Tribunal constituted under section 25 of this Act ;

(xxix) “Environmental Review” means a quantitative and

qualitative assessment of documents submitted by proponent, comments from public and Government agencies or organizations;

(xx) "factory" means any premises in which industrial activity

is being undertaken; (xxi) “genetically modified organism” means any organism that

possesses a novel combination of genetic material obtained through the use of modern biotechnology and which does not occur naturally through mating and or recombination and includes both living and non-living modified organisms;

(xxii) “Government” means the Government of Sindh; (xxiii) “Government Agency” includes:-

(a) A department, attached department or any other office of Government; and

(b) A development authority, local authority, company body corporate established or control by Government;

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(xxiv) “Court” means the Court of the Judicial Magistrate First Class;

(xxv) “hazardous substance” means- (a) a substance or mixture of substances, other than a

pesticide as defined in the Agricultural Pesticides Ordinance, 1971 (II of 1971), which, by reason of its chemical activity or toxic, explosive, flammable, corrosive, radioactive or other characteristics, causes, or is likely to cause, directly or in combination with other matters an adverse environmental effect; and

(b) any substance which may be prescribed as a hazardous substance;

(xxvi) "hazardous waste" means waste which is or which

contains a hazardous substance or which may be prescribed as hazardous waste, hospital waste, nuclear waste, obsolete pesticides and persistent organic pollutants;

(xxvii)"hospital waste" means waste medical supplies and

materials of all kinds, and waste blood, tissue, organs and other parts of the human and animal bodies, from hospitals, clinics, laboratories and veterinary facilities;

(xxviii) "industrial activity" means any operation or process for

manufacturing, making, formulating, synthesising, altering, repairing, ornamenting, finishing, packing or otherwise treating any article or substance with a view to its use, sale, transport, delivery or disposal, or for mining, for oil and gas exploration and development, or for pumping water or sewage, or for generating, transforming or transmitting power or for any other industrial or commercial purposes;

(xxix) "industrial waste" means waste resulting from an

industrial activity; (xxx) "initial environmental examination" means a preliminary

environmental review of the reasonably foreseeable qualitative and quantitative impacts on the environment of a proposed project to determine whether it is likely to cause an adverse environmental effect for requiring preparation of an environmental impact assessment;

(xxxi) "local authority" means any agency set up or

designated by Government, by notification in the official Gazette, to be a local authority for the purposes of this Act;

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(xxxii) "local council" means a local council constituted or

established under a law relating to local government; (xxxiii) "motor vehicle" means any mechanically propelled

vehicle adapted for use upon land whether its power of propulsion is transmitted thereto from an external or internal source, and includes a chassis to which a body has not been attached, and a trailer, but does not include a vehicle running upon fixed rails;

(xxxiv) "municipal waste" includes sewage, refuse, garbage,

waste from abattoirs, sludge and human excreta and the like;

(xxxv) "noise" means the intensity, duration and character of sounds from all sources, and includes vibration;

(xxvi) “non degradable plastic products” means a plastic product

which are made from the non-biodegradable substances; (xxxvii) "nuclear waste" means waste from any nuclear reactor

or nuclear plant or other nuclear energy system, whether or not such waste is radioactive;

(xxxviii) “Oxo-biodegradable Plastic Products” means a plastic

product made of a polymer by adding a pro-degrading additive containing a transition metal salt, except cobalt, which cause the plastic to degrade and bio-grade from oxidative and cell mediated phenomena either simultaneously or successfully;

(xxxix) "person" means any natural person or legal entity and

includes an individual, firm, association, partnership, society, group, company, corporation, co-operative society, Government Agency, non-governmental organization, community-based organization, village organization, local council or local authority and, in the case of a vessel, the master or other person having for the time being the charge or control of the vessel;

(xl) "pollution" means the contamination of air, land or water

by the discharge or emission of effluent or wastes or air pollutants or noise or other matter which either directly or indirectly or in combination with other discharges or substances alters unfavorably the chemical, physical, biological, radiational, thermal or radiological or aesthetic properties of the air, land or water or which may, or is likely to make the air, land or water unclean, noxious or impure or injurious, disagreeable or detrimental to the health, safety, welfare or property of persons or harmful to biodiversity;

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(xli) "prescribed" means prescribed by rules made under this

Act; (xlii) "project" means any activity, plan, scheme, proposal or

undertaking involving any change in the environment and includes-

(a) construction or use of buildings or other works;

(b) construction or use of roads or other transport

systems;

(c) construction or operation of factories or other installations;

(d) mineral prospecting, mining, quarrying,

stone-crushing, drilling and the like;

(e) any change of land use or water use; and

(f) alteration, expansion, repair, decommissioning or abandonment of existing buildings or other works, roads or other transport systems, factories or other installations;

(xliii) "proponent" means the person who proposes or

intends to undertake a project; (xliv) "regulations" means regulations made under this Act; (xlv) "rules" means rules made under this Act;

(xlvi) "sewage" means liquid or semi-solid wastes and sludge from sanitary conveniences, kitchens, laundries, washing and similar activities and from any sewerage system or sewage disposal works;

(xlvii) “Schedule Plastic Products” means all types of flexible

plastic packaging and disposable plastic products made of Polythene, Polypropylene, Polystyrene and Poly-ethylene Terephthalate (PET), used for food and non-food items, like shopping bags, garbage bags, snacks packs, water and milk packaging, shrink wraps, bubble pellet wraps, films, liners, woven or non-woven bags, mulch films;

(xlviii) “Sindh Environmental Quality Standards” means standards established by the Agency under clause (e) of sub-section(1) of section 6 and approved by the Council under clause (c) of sub-section(1) of section 4 made under this Act;

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(xlix) "standards" means qualitative and quantitative standards for discharge of effluent and wastes and for emission of air pollutants and noise either for general applicability or for a particular area, or from a particular production process, or for a particular product, and includes the Sindh Environmental Quality Standards, emission standards and other standards established under this Act and the rules and regulations;

(l) “strategic environmental assessment” mean an analysis of a proposed policy, legislation, plan or programme to determine whether the principles of sustainable development have been integrated therein and to identify its likely environmental effects and such components as require an initial environmental examination or environmental impact assessment;

(li) "sustainable development" means development that

meets the needs of the present generation without compromising the ability of future generations to meet their needs;

(lii) “trans-boundary environmental impacts” means

environmental impact arising from beyond the boundaries or limits of Sindh province and causing any adverse environmental impact or pollution in the air, land, water and coaster water of Sindh province;

(liii) "waste" means any substance or object which has been,

is being or is intended to be, discarded or disposed-of, and includes liquid waste, solid waste, waste gases, suspended waste, industrial waste, agricultural waste, nuclear waste, municipal waste, hospital waste, used polyethylene bags and residues from the incineration of all types of waste.

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(liv) “waters (coastal waters, internal waters, territorial waters and historical waters)” means such limits of the waters adjacent to the land territory as may be specified in the Territorial Waters and Maritime Zones Act, 1976 (LXXXII of 1976).

PART-II THE SINDH ENVIRONMENTAL PROTECTION COUNCIL. 3. (1) The Government of Sindh shall, by notification in the official Gazette, establish a Council to be known as the Sindh Environmental Protection Council consisting of -

Establishment of the Sindh Environmental Protection Council.

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(i) Chief Minister or such other person as the Chief Minister may nominate in this behalf.

Chairperson

(ii) Minister-in-charge of the Environment Protection Department.

Vice Chairperson

(iii) Additional Chief Secretary, Planning and Development Department, Government of Sindh.

Ex-officio Member

(iv) Secretaries of the Environment, Finance, Public Health Engineering, Irrigation, Health, Agriculture, Local Government, Industries, Live Stock and Fisheries, Forest and Wildlife, Energy, Education, Departments of Government of Sindh and the divisional commissioners of Sindh.

Ex-officio Members

(v) Such other persons not exceeding twenty- five as Government may appoint from representatives of the Chambers of Commerce and Industry and industrial associations, representatives of the Chambers of Agriculture, the medical and legal professions, trade unions, non-governmental organizations concerned with the environment and sustainable development, and scientists, technical experts and educationists.

Non-official Members

(vi) Director General, Sindh Environment Protection Agency

Member / Secretary

(vii) Two Members of the Provincial Assembly of Sindh amongst the eleven Members of the Standing Committee on Environment nominated by the Speaker

Members

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2) The Members of the Council, other than ex-officio members, shall be appointed in accordance with the prescribed procedure. (3) A non-official member, unless he sooner resigns or is removed, shall hold office for a term of three years and shall be eligible for re-appointment but shall not hold office for more than two terms. (4)The Council shall frame its own Rules of Procedure.

(5) The Council shall hold meetings, as and when necessary, but not less than two meetings, shall be held in a year.

(6) The Council may constitute committees of its members and entrust them with such functions as it may deem fit, and the recommendations of the committees shall be submitted to the Council for approval.

(7) The Council, or any of its committees, may invite any technical expert or representative of any Government Agency or non-governmental organization or other person possessing specialized knowledge of any subject for assistance in performance of its functions.

4. (1) The Council shall-

(a) co-ordinate and supervise the enforcement of the provisions of this Act and other laws relating to the environment in the Province;

Functions and Powers of the Council.

(b) approve comprehensive provincial environmental and sustainable development policies and ensure their implementation within the framework of a conservation strategy and sustainable development plan as may be approved by Government from time to time;

(c) approve the Sindh Environmental Quality Standards;

(d) provide guidelines for the protection and conservation of species, habitats, and biodiversity in general, and for the conservation of renewable and non-renewable resources.

(e) coordinate integration of the principles and concerns of sustainable development into socio-economic and development policies, plans and programmes at the provincial, district and local levels;

(f) consider the annual Sindh Environment report and give appropriate directions thereon and cause it to be laid before the Provincial Assembly;

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(g) deal with inter-provincial and federal-provincial issues, and liaise and coordinate with other Provinces through appropriate inter-provincial forums regarding formulation and implementation of standards and policies relating to environmental matters with an inter-provincial impact;

(h) provide guidelines for biosafety and for the use of

genetically modified organisms; and (i) assist the Federal Government or Federal Agency in

implementation and or administration of various provision of United Nation Convention on Laws on Seas, 1980 (UNCLOS) in coastal waters of the province;

(2) The Council may, either itself or on the request of any person or organization, direct the Agency or any Government Agency to prepare, submit, promote or implement projects for the protection, conservation, rehabilitation and improvement of the environment, the prevention and control of pollution, and the sustainable development of resources or to undertake research in any specified aspect of environment.

PART-III THE SINDH ENVIRONMENTAL PROTECTION AGENCY

5. (1) Government shall, by notification in the Official Gazette, establish the Sindh Environmental Protection Agency, to exercise the powers and perform the functions assigned to it under the provisions of this Act and the rules and regulations made thereunder.

Establishment of the Sindh Environmental Protection Agency.

(2) The Agency shall be headed by a Director General who shall be appointed by Government on such terms and conditions as it may determine.

(3) The Agency shall have such administrative, technical and legal staff as Government may specify, to be appointed in accordance with such procedure as may be prescribed.

(4) The powers and functions of the Agency shall be exercised and performed by the Director General.

(5) The Director General may, by general or special order, delegate any of these powers and functions to staff appointed under sub-section (3).

(6) For assisting the Agency in the discharge of its functions Government shall establish Advisory Committees for various sectors and appoint as members thereof eminent representatives of the relevant sector, educational institutions, research institutes and non- governmental organizations.

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6. (1) The Agency shall –

Functions of the Agency.

(a) administer and implement the provisions of this Act and the rules and regulations;

(b) prepare, in co-ordination with the appropriate Government Agency or local council and, in consultation with the concerned Advisory Committees where established, environmental policies for the approval of the Council;

(c) take all necessary measures for the implementation of the environmental policies approved by the Council;

(d) prepare and publish an annual Sindh Environment Report on the state of the environment in the province;

(e) prepare or revise and establish the Sindh Environmental Quality Standards with approval of the Council:

Provided that before seeking approval of the Council,

the Agency shall publish the proposed Sindh Environmental Quality Standards for public opinion in accordance with the prescribed procedure;

(f) ensure enforcement of the Sindh Environmental Quality Standards;

(g)where the quality of ambient air, water, land or noise so requires, the Agency may, by notification in the Official Gazette establish different standards for discharge or emission from different sources and for different areas and conditions as may be necessary:

Provided that where these standards are less stringent than the Sindh Environmental Quality Standards; prior approval of the Council shall be obtained;

(h) establish systems and procedures for surveys, surveillance, monitoring, measurement, examination, investigation, research, inspection and audit to prevent and control pollution, and to estimate the costs of cleaning up pollution and rehabilitating the environment in various sectors;

(i) take measures to promote research and the development of science and technology which may contribute to the prevention of pollution, protection of the environment, and sustainable development;

(j) issue licences, approval for the consignment, handling, transport, treatment, disposal of, storage, handling or otherwise dealing with hazardous substances;

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(k) certify laboratories as approved laboratories for conducting tests and analysis and one or more research institutes as environmental research institutes for conducting research and investigation for the purposes of this Act;

(l) identify the needs for and initiate legislation in various sectors of the environment;

(m) provide assistance to relevant Federal and Provincial Government Agencies in the management of environment accidents and natural and environmental disasters, including conduct of inquiry thereto;

(n) render advice and assistance in environmental matters including such information and data available with it as may be required for carrying out the purposes of this Act:

Provided that the disclosure of such information shall

be subject to the restrictions specified in Part XI (Access to Information);

(o) assist Government Agencies, local councils, local authorities and other persons to implement schemes for the proper disposal of wastes so as to ensure compliance with the Sindh Environmental Quality Standards;

(p) provide information and guidance to the public on environmental matters;

(q) recommend environmental courses, topics, literature and books for incorporation in the curricula and syllabi of educational institutions;

(r) promote public education and awareness of environmental issues through mass media and other means including seminars and workshops;

(s) establish and maintain mechanisms, including its own website, to disseminate information, subject to the provisions of this Act, regarding policies, plans and decisions of the Government, the Council and the Agency, relating to the environment;

(t) specify safeguards for the prevention of accidents and disasters which may cause pollution, collaborate with the concerned persons in the preparation of contingency plans for control of such accidents and disasters, and co-ordinate implementation of such plans;

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(u) review and approve mitigation plans and give guidance and directions, where necessary, relating to clean up operations ordered under this Act;

(v) encourage the formation and working of non-governmental organizations, community organizations and village organizations to prevent and control pollution and promote sustainable development;

(w) take or cause to be taken all necessary measures for the protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution and promotion of sustainable development; and

(x) perform any function that the Council may assign to it.

(2) The Agency may - (a) undertake inquiries or investigation into environmental

issues, either of its own accord or upon complaint from any person or organization;


(c) initiate, with the approval of Government, requests for foreign assistance in support of the purposes of this Act and enter into arrangements with foreign agencies or organizations for the exchange of material or information and participate in international seminars or meetings;

(d) recommend to Government and the Council the adoption of financial and fiscal programmes, schemes or measures for achieving environmental objectives and goals and the purposes of this Act, including -

(i) taxes, duties, cesses and other levies; and

(ii) incentives, prizes, awards, rewards, subsidies, tax exemptions, rebates and depreciation allowances;

(e) establish and maintain laboratories to help in the performance of its functions under this Act and to conduct research in various aspects of the environment and provide or arrange necessary assistance for the establishment of similar laboratories in the private sector;

(f) arrange, in accordance with such procedure as may be prescribed, financial assistance for projects designed to facilitate in discharge of its functions; and

(g) acquire assistance of concerned authorities of district administration and other relevant agencies, departments and police assistance for enforcement of this Act.

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7. Subject to the provisions of this Act, the Agency may- Powers of the Agency.

(a) lease, purchase, acquire, own, hold, improve, use or otherwise deal in and with any property both moveable and immovable;

(b) sell, convey, mortgage, pledge, exchange or otherwise dispose of its property and assets;

(c) fix and realize fees, rates and charges for rendering any service or providing any facility, information or data under this Act or its rules and regulations;

(d) enter into contracts, execute instruments, incur liabilities and do all acts or things necessary for proper management and conduct of its business;

(e) appoint, with the approval of Government and in accordance with such procedures as may be prescribed, such advisers, experts and consultants as it considers necessary for the efficient performance of its functions on such terms and conditions as it may deem fit;


(g) Director General may authorize any officer or official to enter and inspect or under a search warrant issued by Environmental Protection Tribunal or a Court, search at any time, any land, building, premises, vehicle or vessel or other place where or in which there are reasonable grounds to believe that an offence under this Act has been, or is being, or likely to be committed;

(h) take samples of any materials, products, articles or substances or of the effluent, wastes or air pollutants being discharged or emitted or of air, water or land in the vicinity of the discharge or emission;

(i) arrange for the testing and analysis of samples at a certified laboratory;

(j) confiscate any article used in the commission of the offence where the offender is not known or cannot be found within a reasonable time:

Provided that the powers under clauses (f), (g), (h) (i), and (j) shall be exercised in accordance with the provisions of the Code of Criminal Procedure, 1898 (Act V of 1898) or the rules and regulations and under the direction of the Environmental Protection Tribunal or a Court; and

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(k) establish the Sindh Environmental Co-ordination Committee comprising the Director-General as its Chairman and such other persons as Government shall appoint as its members to exercise such powers and perform such functions as shall be delegated or assigned to it by Government for carrying out the purposes of this Act and for ensuring coordination among Government Agencies in implementation of environmental policies.

PART-IV SINDH SUSTAINABLE DEVELOPMENT FUND

8. (1) There shall be established a Sindh Sustainable Development Fund.

Establishment of the Sindh Sustainable Development Fund.

(2) The Sindh Sustainable Development Fund shall be derived from the following sources, namely—

(a) allocations and grants made or loans advanced by the Government of Sindh or by the Federal Government;

(b) aid and assistance, grants, advances, donations and other non-obligatory funds received from foreign governments, national or international agencies, and non-governmental organizations; and

(c) voluntary contributions from private, corporate, multinational organizations and other persons.

(d) Any fees generated under the provision of this act including the fines imposed against contraventions including penalties.

(3)The Sindh Sustainable Development Fund shall be utilized, in accordance with such procedures as may be prescribed for -

(a) providing financial assistance to projects designed for the protection, conservation, rehabilitation and improvement of the environment, the prevention and control of pollution, the sustainable development of resources and for research in any specified aspect of the environment; and

(b) any other purposes which, in the opinion of the Board, will help achieve environment objectives and the purposes of this Act.

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9. (1)The Sindh Sustainable Development Fund shall be managed by a Board known as the Provincial Sustainable Development Fund Board consisting of —

(i) Additional Chief Secretary, Planning and Development Department, Government of Sindh,

Chairperson

(ii) Such officers of Government, not exceeding five (05), as Government may appoint including Secretaries of the Environment, Finance, Industries and Local Government Departments, Government of Sindh.

Ex-officio Members

(iii) Such non-official persons, not exceeding five(05), as Government may appoint, including representatives of the Chambers of Commerce and Industry, non-governmental organizations and major donors.

Non-official Members

(iv) Director General, Sindh Environmental Protection Agency.

Secretary/ Member

Management of the Sindh Sustainable Development Fund.

(2) The members of the Board, other than ex-officio members, shall be appointed in accordance with the prescribed procedure.

(3) A non-official member of the Board, unless he sooner resigns or is removed, shall hold office for a term of three years and shall be eligible for re-nomination, but shall not hold office for more than two terms.

(4) The Board shall frame its own rules of procedure with the approval of Government.

(5) In accordance with such procedures and such criteria as may be prescribed, the Board shall have the power to —

(a) sanction financial assistance for eligible projects;

(b) invest moneys held in the Sindh Sustainable Development Fund in such profit-bearing Government bonds, saving schemes and securities as it may deem suitable; and

(c) take such measures and exercise such powers as may be necessary for utilization of the Sindh Sustainable Development Fund for the purposes specified in sub-section (3) of section 8.

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(6) The Board shall constitute committees of its members to undertake regular monitoring of projects financed from the Sindh Sustainable Development Fund and to submit progress reports to the Board which shall publish an Annual Report incorporating its annual audited accounts and performance evaluation based on the progress reports.

10. (1) The Agency shall maintain proper accounts of the Sindh Sustainable Development Fund and other relevant records and prepare annual statement of accounts in such form as may be prescribed.

(2) The accounts of the Sindh Sustainable Development Fund shall be audited annually by the Auditor General of Pakistan.

Accounts.

PART-V PROHIBITIONS AND ENFORCEMENT

11. (1) Subject to the provisions of this Act and the rules and regulations, no person shall discharge or emit or allow the discharge or emission of any effluent, waste, pollutant, noise or any other matter that may cause or likely to cause pollution or adverse environmental effects, as defined in section 2 of this Act, in an amount, concentration or level which is in excess to that specified in Sindh Environmental Quality Standards; or, where applicable, the standards established under Section 6(1)(g)(i); or direction issued under Section 17, 19, 20 and 21 of this Act; or any other direction issued, in general or particular, by the Agency. (2) All persons, in industrial or commercial or other operations, shall ensure compliance with the Environmental Quality Standards for ambient air, drinking water, noise or any other Standards established under section 6(1)(g)(i); shall maintain monitoring records for such compliances; shall make available these records to the authorized person for inspection; and shall report or communicate the record to the Agency as required under any directions issued, notified or required under any rules and regulations. (3) Monitoring and analysis under sub-section (1) and (2), shall be acceptable only when carried out by the Environmental Laboratory certified by the Agency as prescribed in the rules.

Prohibition of certain discharges or emissions and compliance with standards.

12. No person shall import hazardous waste into Sindh province or its coastal, internal, territorial or historical waters, except acquiring prior approval of the Agency.

Prohibition of import of hazardous waste.

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13. Subject to the provisions of this Act, no person shall import, generate, collect, consign, transport, treat, dispose of, store, handle or otherwise use or deal with any hazardous substance except-

Handling of hazardous substances.

(a) under a licence issued by the Agency; or

(b) in accordance with the provisions of any other law, rule, regulation or notification for the time being in force, or of any international treaty, convention, protocol, code, standard, agreement or other instrument to which Government is a party.

14. (1) Subject to the provisions of this Act and the rules and regulations, no person shall cause any act, deed or any activity, including-

(a) recycling or reuse of hospital waste and infectious waste;

(b) disposal of solid and hazardous wastes at unauthorized places as prescribed;

(c) dumping of wastes or hazardous substances into coastal waters and inland water bodies;

(d) release of emissions or discharges from industrial or commercial operations as prescribed;

(e) recycling or reuse or recovery of hazardous wastes or industrial by-products in an unauthorized or non-prescribed manner or procedure; and

(f) any activity which may cause adverse environmental affect

due to trans boundary projects of Province of Sindh.

which lead to pollution or impairment of or damage to biodiversity, ecosystem, aesthetics or any damage to environment and natural resources as defined in section 2 (xxxvi) of this Act. (2) No person shall generate, handle, transport, dispose of or handle the hospital waste and infections waste except in accordance with the Hospital Waste Management Rules and in such manner as may be prescribed. (3) No person shall import, manufacture, stockpile, trade, supply, distribute or sell any scheduled plastic product which is non-degradable. The scheduled plastic products must be oxo-biodegradable and the pro-degradant used must be approved by the Agency or any other department or agency and in such manner as prescribed.

Prohibition of action adversely affecting Environment.

15. (1) Subject to the provisions of this Act, no person shall operate or manufacture a motor vehicle or class of vehicles from which air pollutants or noise are being emitted in an amount,

Regulation of motor vehicles.

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concentration or level which is in excess of the Sindh Environmental Quality Standards or, where applicable, the standards established under sub-clause (i) of clause (g) of sub-section (1) of section 6. (2) For ensuring compliance with the standards mentioned in sub-section (1), the Agency may direct that any motor vehicle or class of vehicles shall install such pollution control devices or other equipment or use such fuels or undergo such maintenance or testing as prescribed.

(3) For ensuring compliance with the standards mentioned in sub-section (1), the Agency may direct that any manufacturer of motor vehicle or class of vehicles shall use such manufacturing standard or design or pollution control devices or other equipment or undergo such testing as may be prescribed. (4) Where a direction has been issued by the Agency under sub-section (2) and (3) in respect of any motor vehicles or class of motor vehicles, no person shall operate or manufacture any such vehicle till such direction has been complied with.

16. (1) The monitoring, testing and analysis carried out in compliance or for the enforcement of any provisions of this Act.

(2) The laboratory or organization having any facility for environmental monitoring, testing and analysis and intend to perform under sub-section (1) shall register with the Agency in accordance with the Environmental Laboratory Certification Rules as prescribed.

Certified Environmental Laboratory.

PART-VI ENVIRONMENTAL EXAMINATIONS AND ASSESSMENTS

17. (1) No proponent of a project shall commence construction or operation unless he has filed with the Agency an initial environmental examination or environmental impact assessment, and has obtained from the Agency approval in respect thereof.

Initial environmental examination and environmental impact assessment.

(2) The Agency shall – (a) review the initial environmental examination and accord

its approval, subject to such terms and conditions as it may prescribe, or require submission of an environmental impact assessment by the proponent; or

(b) review the environmental impact assessment and accord its approval subject to such terms and conditions as it may deem fit to impose or require that the environmental impact assessment be re-submitted after such modifications as may be stipulated or decline approval of the environmental impact assessment as being contrary to environmental objectives.

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(3) Every review of an environment impact assessment shall be carried out with public participation and, subject to the provisions of this Act, after full disclosure of the particulars of the project.

(4) The Agency shall communicate its approval or otherwise within a period of two months from the date that the initial environmental examination is filed, and within a period of four months from the date that the environmental impact assessment is filed complete in all respects in accordance with the regulations, failing which the initial environmental examination or, as the case may be, the environmental impact assessment shall be deemed to have been approved, to the extent to which it does not contravene the provisions of this Act and the rules and regulations:

(5) The provisions of sub-sections (1), (2), (3) and (4) shall apply to such categories of projects and in such manner as prescribed:

(6) The Agency shall maintain separate registers for initial environmental examination and environmental impact assessment projects, which shall contain brief particulars of each project and a summary of decisions taken thereon, and which shall be open for inspection to the public during office hours.

18. (1) All provincial government agencies, departments, authorities, local councils and local authorities responsible for formulating policies, legislation, plans and programmes to be implemented in Sindh province which may cause any environmental impact in the jurisdiction of the province shall, before submitting the same to the competent authority for approval, forward to the Sindh Environmental Protection Agency a strategic environment assessment containing —

Strategic environmental assessment.

(a) description of the objectives and features of the proposed policy, legislation, plan or programme that are in consonance with the principles of sustainable development;

(b) assessment of the adverse environmental effects, if any, likely to be caused during implementation of the policy, legislation, plan or programme alongwith proposed preventive, mitigation and compensatory measures;

(c) analysis of possible alternatives; and

(d) identification of those components of the policy, legislation, plan or programme, if any, in respect of which specific environmental impact assessment need to be carried out in due course.

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(2) The Agency shall, in consultation with the concerned

Government Agencies and Advisory Committees where established, review the strategic environment assessment, within sixty (60) days of its filing, and prepare a report containing its comments and recommendations in respect thereof which shall be forwarded to the initiating Government Agency, authority, local council or local authority and duly considered by it and the competent authority before approval or otherwise of the proposed policy, legislation, plan or programme.

(3) The provisions of sub-sections (1), and (2) shall apply to

such categories of policies, plans and programmes and in such manner as may be prescribed.

19. (1) The Agency shall carry out or arrange environmental monitoring of all projects in respect of which it has approved an initial environmental examination or environmental impact assessment to determine whether the actual environmental impact exceeds the level predicted in the assessment and whether the conditions of the approval are being complied with. (2) For purposes of sub-section (1), the Agency may require the person in charge of a project to furnish such information as it may specify pertaining to the environmental impact of the project, including quantitative and qualitative analysis of -

(a) discharge of effluents, wastes, emissions of air pollutants, noise and any other matter or action that may be found offensive under section 14 from the project on daily, weekly, monthly or annual basis;

(b) ambient quality of the air, water, noise and soil before,

during and after construction and during operation of the project.

(3) On review of the data collected by it and information provided, the Agency may issue such directions to the person in charge as it may consider necessary to ensure compliance with the conditions of the approval. 20. (1) The Agency shall from time to time require the person in charge of a project to furnish, within such period as may be specified, an environmental audit or environmental review report or environmental management plan containing a comprehensive appraisal of the environmental aspects of the project.

(2) The report of a project prepared under sub-section (1) shall include -

(a) analysis of the predicted qualitative and quantitative impact of the project as compared to the actual impact;

Environmental monitoring. Environmental Audit and Review.

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(b) evaluation of the efficacy of the preventive, mitigation and compensatory measures taken with respect to the project; and

(c) recommendations for further minimizing or mitigating the adverse environmental impact of the project.

(3) Based on its review of the environmental audit report, the Agency may, after giving the person in charge of the project an opportunity of being heard, direct that specified mitigation and compensatory measures be adopted within a specified time period and may also, where necessary, modify the approval granted by it under section 17. PART-VII

ENVIRONMENTAL PROTECTION ORDER 21. (1) Where the Agency is satisfied that the discharge or emission of any effluent, waste, air pollutant or noise, or the disposal of waste, or the handling of hazardous substances, or any other act or omission is likely to occur, or is occurring, or has occurred, in violation of any provision of this Act, the rules or regulations or of the conditions of a licence, or is likely to cause, or is causing or has caused an adverse environmental effect, the Agency may, after giving the person responsible for such discharge, emission, disposal, handling, act or omission an opportunity of being heard, by order direct such person to take such measures as the Agency may consider necessary within such period as may be specified in the order.

Environmental Protection Order.

(2) In particular and without prejudice to the generality of the foregoing power, such measures may include —

(a) immediate stoppage, preventing, lessening or controlling the discharge, emission, disposal, handling, act or omission, or to minimize or remedy the adverse environmental effect;

(b) installation, replacement or alteration of any equipment or thing to eliminate, control or abate on a permanent or temporary basis, such discharge, emission, disposal, handling, act or omission;

(c) action to remove or otherwise dispose of the effluent, waste, air pollutant, noise, or hazardous substances;

(d) action to restore the environment to the condition existing prior to such discharge, disposal, handling, act or omission, or as close to such condition as may be reasonable in the circumstances, to the satisfaction of the Agency; and

(e) impose a penalty as prescribed.

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(3) Notwithstanding the provisions of sub-section (1), in an emergency situation where, for reasons to be recorded, the Agency is satisfied that the discharge or emission of any effluent, waste, air pollutant or noise, or the disposal of waste, or the handling of hazardous substances, or any other act or omission is likely to occur, or is occurring, or has occurred, in violation of the provisions of this Act and that circumstances of the case warrant immediate action in the public interest, it may pass an ad-interim order of the nature described in sub-sections (1) and (2) by providing reasonable opportunity of hearing.

PART-VIII OFFENCES AND PENALTIES

22. (1) Whoever contravenes or fails to comply with the provisions of sections 11, 17, 18 and 21 or any order issued there under shall be punishable with a fine which may extend to five million rupees, to the damage caused to environment and in the case of a continuing contravention or failure, with an additional fine which may extend to one hundred thousand rupees for every day during which such contravention or failure continues:

Penalties.

Provided that if the contravention of the provisions of section 11 also constitutes a contravention of the provisions of section 15, such contravention shall be punishable under sub-section (2).

(2) Whoever contravenes or fails to comply with the provisions of sections 13, 14, 15 and 16 or any rule or regulation or conditions of any license, any order or direction, issued by the Agency, shall be punished with a fine, and in case of continuing contravention or failure with an additional fine which may extend to ten thousand rupees for every day during which such contravention continues.

(3) Where an accused has been convicted of an offence under sub-sections (1) and (2), the Environmental Protection Tribunal and Court shall, as the case may be, in passing sentence, take into account the extent and duration of the contravention or failure constituting the offence and the attendant circumstances.

(4) Where an accused has been convicted of an offence under sub-sections (1) or (2), the Environmental Protection Tribunal or Court, as the case may be, shall endorse a copy of the order of conviction to the concerned trade or industrial association, if any, or the concerned Provincial Chamber of Commerce and Industry or the Federation of Pakistan Chambers of Commerce and Industry.

(5) Where a person convicted under sub-sections (1) and (2) had been previously convicted for any contravention of this Act and its rules or regulations, the Environmental Protection Tribunal, as the case may be, may, in addition to the punishment awarded thereunder-

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(a) sentence him to imprisonment for a term that may extend up to three years;

(b) order the closure of the factory;

(c) order confiscation of the facility, machinery and equipment, vehicle or substance, record, document or other object used or involved in contravention of the provisions of this Act;

(d) order such person to restore the environment at his own cost, to conditions existing prior to the contravention or as close to such conditions as may be reasonable in the circumstances to the satisfaction of the Agency; and

(e) order that compensation be paid to any person or persons for any loss, or damage to their health or property suffered by such contravention.

(6) The Director General or an officer generally or specially authorised by him in this behalf may, on the application of the accused, compound an offence under this Act with the permission of the Environmental Protection Tribunal or Court in accordance with such procedure as prescribed.

(7) Where the Director General is of the opinion that a person had contravened any provision of this Act, he may, subject to the rules, by notice in writing to that person require him to pay to the Agency a penalty in the amount set out in the notice for each day the contravention continues.

23. Where any contravention of this Act has been committed by a body corporate, and it is proved that such offence has been committed with the consent or connivance of, or is attributed to any negligence on the part of, any director, partner, manager, secretary or other officer of the body corporate, such director, partner, manager, secretary or other officer of the body corporate, shall be deemed guilty of such contravention along with the body corporate and shall be punished accordingly:

Offences by body corporate.

Provided that in the case of a company as defined under the Companies Ordinance, 1984 (XLVII of 1984), only the Chief Executive as defined in the said Ordinance shall be liable under this section.

Explanation.— For the purposes of this Section, “body corporate” includes a firm, association of persons and a society registered under the Societies Registration Act, 1860 (XXI of 1860), or under the Co-operative Societies Act, 1925 (VII of 1925).

24. Where any contravention of this Act has been committed by any Government Agency, local authority or local council, and it is proved that such contravention has been committed with the

Offences by Government Agencies, local authorities or local

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consent or connivance of, or is attributable to any negligence on the part of, the Head or any other officer of Government Agency, local authority or local council, such Head or other officer shall also be deemed guilty of such contravention along with the Government Agency, local authority or local council and shall be liable to be proceeded against and punished accordingly.

councils.

PART-IX ENVIRONMENTAL PROTECTION TRIBUNALS AND COURTS

25. (1) Government may, by Notification in the Official Gazette, establish as many Environmental Protection Tribunals as it considers necessary and, where it establishes more than one Environmental Protection Tribunal, it shall specify territorial limits within which, or the class of cases in respect of which, each one of them shall exercise jurisdiction under this Act.

Environmental Protection Tribunals.

(2) An Environmental Protection Tribunal shall consist of a Chairperson who is, or has been, or is qualified for appointment as a Judge of the High Court to be appointed after consultation with the Chief Justice of the High Court and two members to be appointed by Government, of which at least one shall be a technical member nominated from amongst the officers of the Agency with suitable professional qualifications and experience in the environmental field.

(3) For every sitting of the Environmental Protection Tribunal, the presence of the Chairperson and not less than one Member shall be necessary.

(4) A decision of an Environmental Protection Tribunal shall be expressed in terms of the opinion of the majority of its members, including the Chairperson, or if the case has been decided by the Chairperson and only one of the members and there is a difference of opinion between them, the decision of the Environmental Protection Tribunal shall be expressed in terms of the opinion of the Chairperson.

(5) An Environmental Protection Tribunal shall not, merely by reason of a change in its composition, or the absence of any member from any sitting, be bound to recall and rehear any witness who has given evidence, and may act on the evidence already recorded by, or produced, before it.

(6) An Environmental Protection Tribunal may hold its sittings at such places within its territorial jurisdiction as the Chairperson may decide.

(7) No act or proceeding of an Environmental Protection Tribunal shall be invalid by reason only of the existence of a vacancy in, or defect in the constitution, of, the Environmental Protection Tribunal.

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(8) The terms and conditions of service of the Chairperson and members of the Environmental Protection Tribunal shall be such as may be prescribed.

26. (1) An Environmental Protection Tribunal shall exercise such powers and perform such functions as are, or may be, conferred upon or assigned to it by or under this Act or the rules and regulations.

Jurisdiction and powers of Environmental Protection Tribunals.

(2) All contraventions punishable under sub-section (1) of section 22 shall exclusively be triable by an Environmental Protection Tribunal.

(3) An Environmental Protection Tribunal shall not take cognizance of any offence triable under sub-section (2) except on a complaint in writing by—

(a) the Agency or any Government Agency or Local Council; and

(b) any aggrieved person, who has given notice of not less than thirty days to the Agency, of the alleged contravention and of his intention to make a complaint to the Environment Protection Tribunal.

(4) In exercise of its criminal jurisdiction, the Environmental Protection Tribunal shall have the same powers as are vested under the Code of Criminal Procedure, 1898 (Act V of 1898).

(5) In exercise of the appellate jurisdiction under section 27 the Environmental Protection Tribunal shall have the same powers and shall follow the same procedure as an appellate court in the Code of Civil Procedure, 1908 (Act V of 1908).

(6) In all matters with respect to which no procedure has been provided for in this Act, the Environmental Protection Tribunal shall follow the procedure laid down in the Code of Civil Procedure, 1908 (Act V of 1908).

(7) An Environmental Protection Tribunal may, on application filed by any officer duly authorised in this behalf by the Director General, issue bailable warrant for the arrest of any person against whom reasonable suspicion exists, of his having been involved in contravention punishable under sub-section (1) of section 22:

Provided that such warrant shall be applied for, issued and executed in accordance with the provisions of the Code of Criminal Procedure, 1898 (Act V of 1898):

Provided further that if the person arrested executes a bond with sufficient sureties in accordance with the endorsement on the warrant he shall be released from custody, failing which he shall be taken or sent without delay to the officer in-charge of the nearest jurisdiction police station.

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(8) All proceedings before the Environmental Protection Tribunal shall be deemed to be judicial proceedings within the meaning of sections 193 and 228 of the Pakistan Penal Code (Act XLV of 1860), and the Environmental Protection Tribunal shall be deemed to be a court for the purpose of sections 480 and 482 of the Code of Criminal Procedure, 1898 (Act V of 1898).

(9) No court other than an Environmental Protection Tribunal shall have or exercise any jurisdiction with respect to any matter to which the jurisdiction of an Environmental Protection Tribunal extends under this Act and the rules and regulations.

(10) Where the Environmental Protection Tribunal is satisfied that a complaint made to it under sub-section (3) is false and vexatious to the knowledge of the complainant, it may, by an order, direct the complainant to pay to the person complained against such compensatory costs which may extend to one hundred thousand rupees.

27. (1) Any person aggrieved by any order or direction of the Agency under any provision of this Act or the rules or regulations may prefer an appeal with the Environmental Protection Tribunal within thirty days of the date of communication of the impugned order or direction to such person.

Appeals to the Environmental Protection Tribunal.

(2) An appeal to the Environmental Protection Tribunal shall be in such form, contain such particulars and be accompanied by such fees as prescribed.

28. (1) Any person aggrieved by any final order or by any sentence of the Environmental Protection Tribunal passed under this Act may, within thirty days of communication of such order or sentence, prefer an appeal to the High Court.

.

Appeals from orders of the Environmental Protection Tribunal.

(2) An appeal under sub-section (1) shall lie before the High Court of Sindh.

29. (1) Notwithstanding anything contained in the Code of Criminal Procedure, 1898 (Act V of 1898), or any other law for the time being in force, but subject to the provisions of this Act, all contraventions punishable under sub-section (2) of section 22 shall exclusively be triable by the Court of Judicial Magistrate of First Class having of First Class having jurisdiction.

Jurisdiction of Judicial Magistrate.

(2) A Judicial Magistrate shall be competent to impose any punishment specified in sub-sections (2) and (4) of section 22.

(3) A Judicial Magistrate shall not take cognizance of an offence triable under sub-section (1) except on a complaint in writing by—

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(a) the Agency; and

(b) any aggrieved person. 30. Any person aggrieved by any final order or sentence passed by a Judicial Magistrate under section 28 may, within thirty days from the date of the communication of such order or sentence, appeal to the Court of the District and Sessions Judge defined as Green Court under this Act, whose decision thereon shall be final.

Appeals from orders of the Judicial Magistrate.

PART-X

PUBLIC PARTICIPATION

31.(1)The Agency shall cause relevant details of any proposed project regarding which an Environmental Impact Assessment has been received to be published, alongwith an invitation to the public to furnish their comments thereon within a specified period. (2) In accordance with such procedure as may be prescribed, the Agency shall hold public hearings to receive additional comments and hear oral submissions. (3) All comments received under sub-sections (1) and (2) shall be duly considered by the Agency while reviewing the environmental impact assessment or strategic impact assessment, and decision or action taken thereon shall be communicated to the persons who have furnished the said comments.

Public participation.

PART-XI GENERAL

32. The Agency may, by notification in the official Gazette, make and amend the schedule.

Power to make and amend schedule.

33. No suit, prosecution or other legal proceedings shall lie against Government, the Council, the Agency, the Director General of the Agency, members, officers, employees, experts, advisors, committees or consultants of the Agency or Environmental Protection Tribunal or Court or any other person for anything which is done or intended to be done in good faith under this Act or rules or regulations.

Indemnity

34. Any dues recoverable by the Agency under this Act and rules or regulations shall be recoverable as arrears of land revenue.

Dues recoverable as arrears of land revenue.

35. The provisions of this Act shall have effect notwithstanding anything inconsistent therewith contained in any other law for the time being in force.

Act to override other laws.

36. The Sindh Environment Protection Agency may, by notification in the Official Gazette, make rules for carrying out the

Power to make rules.

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purposes not in consistence of this Act with the approval of Government. 37. (1) For carrying out the purposes of this Act, the Agency may, by Notification in the Official Gazette and with the approval of Government, make regulations not inconsistent with the provisions of this Act or the rules.

Power to make regulations.

(2) In particular and without prejudice to the generality of the foregoing power, such regulations may provide for —

(a) submission of periodical reports, data or information by any Government Agency, local authority or local council in respect of environmental matters;

(b) preparation of emergency contingency plans for coping with environmental hazards and pollution caused by accidents, natural disasters and calamities;

(c) appointment of officers, advisors, experts, consultants and employees as per prescribed rules;

(d) levy of fees, rates and charges in respect of services rendered, actions taken and schemes implemented;

(e) monitoring and measurement of discharges and emissions;

(f) categorization of projects to which, and the manner in which sections 17, 18 and 20 applies;

(g) laying down of guidelines for preparation of initial environmental examination, environmental impact assessment and strategic environmental assessment, and development of procedures of their filing, reviews and approval.

(h) laying down standard operating procedures for environmental sampling, examination of water, waste water, gaseous emissions, solid waste and noise;

(i) providing procedures for handling hazardous substances; and

(j) installation of devices in, use of fuels by, and maintenance and testing of motor vehicles for control of air and noise pollution.

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BY ORDER OF THE SPEAKER PROVINCIAL ASSEMBLY OF SINDH

G.M.UMAR FAROOQ

SECRETARY PROVINCIAL ASSEMBLY OF SINDH

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Definition: Effects (or impacts): These terms can be considered as synonymous. Two broad categories of effects are direct and indirect. Direct effects are caused by the action and occur at the same time and place. Indirect effects are caused by the action and occur later or farther removed in distance, but are still reasonably foreseeable. Indirect effects may include growth-inducing effects and other effects related to induced changes in the pattern of land use, population density or growth rate, and related effects on air and water and other natural systems, including ecosystems. Effects include ecological (such as the effects on natural resources and on the components, structures, and functioning of affected ecosystems), aesthetic, historic, cultural, economic, social, or health, whether direct, indirect, or cumulative. Effects also include those resulting from actions which may have both beneficial and detrimental effects, even if on balance the agency believes that the effect will be beneficial. Cumulative impact: The impact on the environment which results from the incremental impact of the action when added to other past, present, and reasonably foreseeable future actions regardless of what agency (federal or nonfederal) or person undertakes such other actions. Cumulative impacts can result from individually minor, but collectively significant, actions taking place over a period of time. Negative impacts fall into three categories: insignificant, significant but mitigable, or significant but not mitigable.

8. Reports prepared on site (property transfer) assessmentsto establish owner, buyer, and lender liability for con-tamination

9. Reports prepared on regulatory audits10. Environmental reporting requirements related to new

chemical and new product licensing

—Larry W. Canter

ReferencesBacow, L.S. 1980. The technical and judgmental dimensions of impact

assessment. Environmental Impact Assessment Review 1, no.2:109–124.

Bear, D. 1993. NEPA: substance or merely process. Forum for AppliedResearch and Public Policy 8, no. 2:(Summer):85–88.

Council on Environmental Quality. 1973. Preparation of environmentalimpact statements: Guidelines. Federal Register 38, no. 147 (1August):20550–20562.

———. 1978. National Environmental Policy Act—Regulations. FederalRegister 43, no. 230 (29 November):55978–56007.

———. 1981. Memorandum: Scoping guidance. 30 April. Washington,D.C.

———. 1987. 40 Code of federal regulations. Chap. 5, 1 July:929–971.Washington, D.C.: U.S. Government Printing Office.

———. 1993. Environmental quality. Twenty-third Annual Report.January:151–172. Washington, D.C.: U.S. Government PrintingOffice.

Lee, N., and F. Walsh. 1992. Strategic environmental assessment: Anoverview. Project Appraisal 7, no. 3 (September):126–136.

Sharples, F.E., and E.D. Smith. 1989. NEPA/CERCLA/RCRAIntegration. CONF-891098-9. Oak Ridge, Tennessee: Oak RidgeNational Laboratory.

Smith, E.D. 1989. Future challenges of NEPA: a panel discussion. CONF-891098-10. Oak Ridge, Tennessee: Oak Ridge National Laboratory.

Sigal, L.L., and J.W. Webb. 1989. The programmatic environmental im-pact statement: Its purpose and use. The Environmental Professional11, no. 1:14–24.

U.S. Environmental Protection Agency. 1989. Facts about the NationalEnvironmental Policy Act. LE-133. September. Washington, D.C.

©1999 CRC Press LLC

2.2EIA METHODS: THE BROAD PERSPECTIVE

Several activities are required to conduct an environmen-tal impact study, including impact identification, prepara-tion of a description of the affected environment, impactprediction and assessment, and selection of the proposedaction from a set of alternatives being evaluated to meetidentified needs. The objectives of the various activities dif-fer, as do the methods for accomplishing the activities (Lee1988). The term method refers to structured scientific orpolicy-based approaches for achieving one or more of thebasic activities. Table 2.2.1 contains a delineation of eigh-teen types of methods arrayed against seven activities thatare typically associated with an EIA study. An x in thetable denotes that the listed method type is or may be di-rectly useful for accomplishing an activity. However, theabsence of an x for any given type of method does notmean that it has no usefulness for the activity; it merelysuggests that it may be indirectly related to the activity.

Based on the information in Table 2.2.1, the followingobservations can be made:

1. Each type of method has potential usefulness in morethan one EIA study activity.

2. Each EIA activity has three or more method types whichare potentially useful.

3. In a given EIA study, several types of methods will prob-ably be used even though the study may not completelydocument all of the methods used. Several reviews ofactual method adoption in the EIA process have sug-

gested lack of widespread usage; however, this usageprobably reflects a focus on a few of the types of meth-ods (such as matrices or checklists), and not the moreinclusive list of methods contained in Table 2.2.1.

4. Each of the types of methods have advantages and lim-itations; examples of these for checklists, decision-fo-cused checklists, matrices, and networks are describedin subsequent sections.

5. While numerous types of methods have been developed,and additional methods are being developed and tested,no universal method can be applied to all project typesin all environmental settings. An all-purpose method isunlikely to be developed due to lack of technical in-formation as well as the need for exercising subjectivejudgment about predicted impacts in the environmen-tal setting where the potential project may occur.Accordingly, the most appropriate perspective is to con-sider methods as tools which can be used to aid the im-pact assessment process. In that sense, every methodshould be project- and location-specific, with the basicconcepts derived from existing methods. These meth-ods can be called ad hoc methods.

6. Methods do not provide complete answers to all ques-tions related to the impacts of a potential project or setof alternatives. Methods are not “cookbooks” in whicha successful study is achieved by meeting the require-ments of them. Methods must be selected based on ap-propriate evaluation and professional judgment, and

they must be used with the continuous application ofjudgment relative to data input as well as analysis andinterpretation of results.

7. Methods which are simpler in terms of data and per-sonnel resources requirements, and in technical com-plexity, are probably more useful in the EIA process.

Examples of selected types of methods are presented insubsequent sections, including: matrices and simple check-lists for impact identification and describing the affectedenvironment; impact prediction based on a range of meth-

ods, including analogs and qualitative and quantitativemodeling; and decision making based on decision-focusedchecklists.

—Larry W. Canter

ReferenceLee, N. 1988. An overview of methods of environmental impact assess-

ment. Environmental Impact Assessment Workshop, November.Seville, Spain.

©1999 CRC Press LLC

TABLE 2.2.1 SYNOPSIS OF EIA METHODS AND STUDY ACTIVITIES

Define DescribeIssues Impact Affected Impact Impact Decision Communication

Types of Methods in EIA (Scoping) Identification Environment Prediction Assessment Making of Results

Analogs (look-alikes) (case studies) X X X X

Checklists (simple, descriptive, X X Xquestionnaire)

Decision-focused checklists (MCDM; MAUM; X X XDA; scaling, rating, or ranking: weighting)

Expert opinion (professional judgment, X X XDelphi, adaptive environmentalassessment, simulation modeling)

Expert systems (impact identification, X X X X X Xprediction, assessment, decision making)

Laboratory testing and scale models X X

Literature reviews X X X

Matrices (simple, stepped, scoring) X X X X X X

Monitoring (baseline) X X

Monitoring (field studies of analogs) X X

Networks (impact trees and chains) X X X

Overlay mapping (GIS) X X X X

Photographs and photomontages X X X

Qualitative modeling (conceptual) X X

Quantitative modeling (media, ecosystem, X Xvisual, archaeological, systemsanalysis)

Risk assessment X X X X X

Scenarios X X

Trend extrapolation X X

X: Potential for direct usage of method for listed activity

MCDM � multicriteria decision making; MAUM � multiattribute utility measurement; DA � decision analysis; GIS � geographical information system.

http://www.wikihow.com/Make‐a‐Questionnaire

How to Make a Questionnaire

Three Parts:Creating QuestionsImplementing the QuestionnaireRevising the QuestionnaireQuestions and

Answers

When a company, non-profit group, or politician needs to find out how their

stakeholders or constituents feel, they often create and implement a

questionnaire. The results can lead to re-branding, decision-making, and

policy changes if the feedback is sound. Making a questionnaire can seem

very straightforward, but unless it is designed properly, the results can be

skewed and unreliable.

Part1

Creating Questions

1.

1 Decide what you want to learn from administering your

questionnaire.[1] Ask yourself what data you require and how you will use it.

This will help you come up with useful questions, as well as the order in which

you will ask them. Ideally, the questionnaire will be short, so decide which of

your goals are essential and which might be unnecessary.[2]

2.

2 Plan questions that will help you get the information you need. Begin

with a broad span of questions, then narrow them down until each one relates

to your goals in some way. Keep questions and answers simple, using as few

words as possible. You may want to rely on open-ended questions, closed-

ended questions, or a mix of the two.

3.

3 Use closed-ended questions to gather specific answers. Closed-ended

questions have a specific range of options respondents can choose

from. [3] These questions may be yes-or-no questions, true-or-false questions,

or questions that ask the respondent to agree or disagree with a statement.

Closed-ended questions may look like open-ended questions, but will have

only a few options respondents can use to answer. Closed-ended questions

might look like these:

• "Have you shopped here before?"

• "If so, how often do you shop here?" (This question would have a few explicit

answers from which respondents could choose--"once a week" to "once a

month," for instance)

• "How satisfied were you with your experience today?" (Likewise, this question

would have limited responses--"very satisfied" to "very dissatisfied")

• "Would you recommend this store to a friend?"

4 Use open-ended questions to solicit feedback. Open-ended questions

solicit answers that you may not anticipate, and do not have a specific range

of answers to choose from. Open-ended questions are a chance for

respondents to communicate their specific experience or expectations. Such

questions might look like these:

• "How will you use your purchase?"

• "Where else do you normally shop?"

• "Who referred you to this store?"

• Open-ended questions are good for clarifying a previous answer--"Why do

you feel this way?"

5 Ask questions in such a way as to avoid confusion and bias. Avoid

leading questions especially; Leading questions indicate that the asker is

looking for a certain answer and will limit what answers your responders are

comfortable supplying. [4] Either tailor possible answers or change the wording

of your question so as to avoid leading your respondents to answer in a

particular way.

• You may consider asking the same question in different ways, which may

reduce overall respondent bias and give you a better chance of finding the

person's true opinion on a given topic.[5]

• Questions should be worded so as to maximize clarity. Confused respondents

will skew your data, so questions should be as understandable as possible.

Avoid double negatives, unnecessary clauses, or unclear subject-object

relationships.

Part2

Implementing the Questionnaire

1.

1 Think about how you will deliver your questionnaire. There are many

options open to you. You may use an online service to design your

questionnaire. You can then send links to your questionnaire over e-mail. You

may use a phone or mail campaign to cold-call respondents. Or you can

execute a campaign in-person, using professionals or volunteers to lead

surveys.

2.

2 Design your questionnaire according to your delivery method. There are

advantages and disadvantages to each method, and each method has limits

on what you can do. Ask yourself which delivery method best suits the subject

matter of your questionnaire, as well as the data you want to receive. For

instance:

• Surveys delivered on the computer, by phone, and by mail can reach a broad

range of people, whereas surveys administered in-person are time-intensive

and limits who can participate (which may be useful).

• Surveys delivered on the computer, in person, and by mail can utilize pictures,

whereas phone interviews cannot.

• Respondents may be too shy to answer certain questions in person or by

phone. Decide if you want to give clarifications to your questions if the

respondent doesn't understand something; only interviews given by a live

person can deliver clarifications.

• A computer survey will require the respondent to have access to a computer.

If your questionnaire concerns private issues, a computer survey may work

best. [6]

3

Consider the order of your questions. The form of your questionnaire

matters just as much as its content. You should aim to order questions so that

they follow each other logically or mark clear shifts from section to section.

Other kinds of questions may impact how a respondent fills out the

questionnaire.

• You may want to order the questions so that if a person says yes or no to a

certain question, they bypass any questions that don't apply to them. This will

help keep the questionnaire focused and take less time to complete.

• "Qualifiers" are questions that screen certain respondents out, preventing

them from completing other questions. Position these at the beginning of your

questionnaire.

• If demographics are of major concern, ask demographic questions up front.

• Save personal or complicated questions for the end of the questionnaire.

Respondents will not feel as overwhelmed by these questions and may be

more likely to be open and honest.

4 Decide if you will offer incentives for completing the questionnaire. It's

often easier to attract respondents if you offer something in return for their

time. Online, mail, or phone questionnaires could offer a coupon after

questionnaire completion. In-person questionnaires could offer merchandise

in exchange for participation. Questionnaires are also a good way to attract

attention to mailing lists or membership offers, which may otherwise go

unnoticed by respondents.

5 Test your questionnaire before you begin surveying people. Friends,

employees and family members can be good testers. You may have them try

your questionnaire while it's still in development, or you may have them test a

finished draft.

• Ask your testers for feedback. They may alert you to sections that confused

them or felt out of place. User impressions about the questionnaire are just as

important as the actual questionnaire.

• After you test, do some number crunching to ensure you are collecting the

data you need. If you are not getting the information you want, adjust the

questionnaire. You may need to reword some things, add introductions, or

rearrange, add, or delete questions so your questionnaire leads you toward

your goals.

Part3

Revising the Questionnaire

1.

1 Review your data to understand what your questionnaire was really

asking.Remember that a questionnaire is often part of a larger campaign.

They can be altered and reused multiple times in order to target different

demographics, ask different questions, or better align with your goals. After

reviewing your results, you may find that, though your questions make sense,

they aren't quite the right ones you need to achieve your goals.

• For instance, you may find that a question such as "How often do you shop

here?" limits your demographic to those who shop at a brick-and-mortar store.

If you want to see how people purchase a specific product, you may want to

broaden your question to include online shopping.

• Your implementation method may also be limiting your data. For instance,

surveys administered online may be answered largely by respondents with

higher-than-average computer knowledge.

2

Further revise your questions. Some of your questions may work during

testing, but may not work as well out in the field. Your questions must make

sense to the specific demographic you are targeting. Ask yourself if your

respondents are truly understanding what is being asked, or if your survey is

so standard that respondents are not responding thoughtfully.

• For instance, a question such as, "Why do you shop here?" may be too broad

a question, which could mislead your respondents. If you want to know if the

store's decor has an impact on shopping habits, you could instead ask

respondents to describe how they feel about the store's decor, branding, etc.

3

Review your open-ended questions. See if your open-ended questions are

working the way you need them to work. They may be too open, in which case

respondents may ramble. They may not be open enough, in which case the

data you received won't be as valuable. Ask yourself what role your open-

ended questions are playing in your questionnaire and tailor them as needed.

• As above, broad questions such as, "How do you feel while shopping here?"

may not give your respondents enough direction. You could instead ask,

"Would you recommend this store to your friends? Why or why not?"

4

Decide how you will respond to missing data. Not all respondents will

answer all questions, which may or may not be a problem for you. [7] Ask

yourself which questions are being skipped or answered incompletely, if at all.

This may be due to the order of the questions, the wording of the questions, or

the subject matter of the questions. If missing data is important, consider

rewording skipped questions to make them more or less specific.

5 Review what sort of feedback you are receiving. See if you have unusual

trends in your data and decide if this reflects reality or if this is due to a flaw in

your questionnaire. For instance, your closed-question answers will limit the

sort of information your respondents can give you. Your answers may be so

limited as to make strong opinions look the same as weak opinions, or may

not provide for a full range of reasonable answers.

• For instance, if you are asking respondents to rate an experience, you should

provide them with the option to respond with "very dissatisfied" as well as

"very satisfied," and many options in between.

3/9/2016

1

2016-03-05

Public Hearing at Regent Plaza - Report

Groups to present “Project Information”

Groups to administer “Questionnaire”

Questionnaire Outside DeptQuestionnaire – Outside Dept.

A person, group or organization that has interest or concern in an organization.

Stakeholders can affect or be affected by the organization's actions, objectives and policies. Some examples of key stakeholders are creditors, directors, employees, government (and

fits agencies), owners (shareholders), suppliers, unions, and the community from which the business draws its resources.

Not all stakeholders are equal. A company's customers are entitled to fair trading practices but they are not entitled to the same consideration as the company's employees.

An example of a negative impact on stakeholders is when a company needs to cut costs and plans a round of layoffs.

Mitchele pdf

STAKEHOLDER ANALYSIS & MAPPING

process of identifying the individuals or groups that are likely to affect or be affected by a proposed action,

and sorting them according to their impact on the action and the impact the action will have on them.

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used to assess how the interests of those stakeholders should be addressed in a project plan, policy, program, or other action.

BENEFITS OF USING A STAKEHOLDER-BASED APPROACH You can use the opinions of the most powerful stakeholders to shape your projects at

an early stage. Not only does this make it more likely that they will support you, their input can also improve the quality of your project

Gaining support from powerful stakeholders can help you to win more resources –fthis makes it more likely that your projects will be successful

By communicating with stakeholders early and frequently, you can ensure that they fully understand what you are doing and understand the benefits of your project –this means they can support you actively when necessary

You can anticipate what people's reaction to your project may be, and build into your plan the actions that will win people's support.

TYPES OF STAKEHOLDERS

Primary stakeholders: are those ultimately affected, either positively or negatively by an actions.

Secondary stakeholders: Those indirectly affected by an actions.y y

Key stakeholders: who can also belong to the first two groups have significant influence upon or importance within project context.

STAKEHOLDER MAPPING

What is it?

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3

STAKEHOLDER MANAGEMENT & MAPPING

Identify conflicts / potential conflicts, gaps, contradictions or incompatibilities between stakeholder requirements, so that a reconciliation strategy can be planed

Ensuring ongoing communication, two-way information access, monitor changes in engagement, attitude and/or influence.

STAKEHOLDER ENGAGEMENT MODEL

STAKEHOLDER MAPPING CONSIDERATION

Its never too early to start

Not all stakeholders need to be moved

Stakeholder documents are live documentsStakeholder documents are live documents

Stakeholder documents are business sensitive

They are subjective

More information=> accurate assessment

STEP 1 – IDENTIFY YOUR STAKEHOLDERS

The first step in your Stakeholder Analysis is to brainstorm who your stakeholders are.

As part of this, think of all the people who are affected by your work, who have influence or power over it, or have an interest in its successful or unsuccessful conclusion.

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STEP 2 – PRIORITIZE YOUR STAKEHOLDERS

You may now have a long list of people and organizations that are affected by your work. Some of these may have the power either to block or advance. Some may be interested in what you are doing, others may not care.

Map out your stakeholders, classify them by their power over your work and by their interest in your work.

For example, your boss is likely to have high power and influence over your projects and high interest. Your family may have high interest, but are unlikely to have power over it.

Someone's position on the grid shows you the actions you have to take with them:

Hi h i t t d l th th l t f ll d k High power, interested people: these are the people you must fully engage and make the greatest efforts to satisfy.

High power, less interested people: put enough work in with these people to keep them satisfied, but not so much that they become bored with your message.

Low power, interested people: keep these people adequately informed, and talk to them to ensure that no major issues are arising. These people can often be very helpful with the detail of your project.

Low power, less interested people: again, monitor these people, but do not bore them with excessive communication.

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STEP 3 – UNDERSTAND YOUR KEY STAKEHOLDERS

You now need to know more about your key stakeholders. You need to know how they are likely to feel about and react to your project. You also need to know how best to engage them in your project and how best to communicate with them.

KEY QUESTIONS THAT CAN HELP YOU UNDERSTAND YOUR STAKEHOLDERS ARE:What financial or emotional interest do they have in the outcome of your work? Is it positive

or negative?

What motivates them most of all?

What information do they want from you?

How do they want to receive information from you? What is the best way of communicating How do they want to receive information from you? What is the best way of communicating your message to them?

What is their current opinion of your work? Is it based on good information?

Who influences their opinions generally, and who influences their opinion of you? Do some of these influencers therefore become important stakeholders in their own right?

If they are not likely to be positive, what will win them around to support your project?

If you don't think you will be able to win them around, how will you manage their opposition?

Who else might be influenced by their opinions? Do these people become stakeholders in their own right?

A very good way of answering these questions is to talk to your stakeholders directly

summarize the understanding you have gained on the stakeholder map, so that you can easily see which stakeholders are expected to be blockers or critics, and which stakeholders are likely to be advocates and supporters or your project.

color coding: showing advocates and supporters in green, blockers and critics in red, and others who are neutral in orangeothers who are neutral in orange

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EXAMPLE 7.2

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End of Class

Report by Wednesday of today’s activity (meray concerns)

Example This example is taken from Lusthaus et al (1999) Stakeholder Assessment,Tool 2 p86. Purpose The purpose of this option is to help you identify stakeholders, their inter-relationships and their interest(s) in the project and its evaluation.

STAKEHOLDER CATEGORY INTERESTS PARTICIPATION OR ROLE

Instructions: 1) Fill in the names of the stakeholders in the first column. 2) Identify each stakeholder's category. These might be funders, employees, senior leadership, or the organization's partners. You should customize your categories to suit the (project’s/evaluand’s) identified stakeholders. You might also indicate whether a stakeholder:

Is an integral part of the (project); Is interested in, and committed to, the (project/evaluand); Knows the (project/evaluand) but is not committed to it; or Has a vested interest in destroying the (project/evaluand), that is, competitors, etc.

3) Indicate each stakeholder's interest in the evaluation results, that is, whether a stakeholder

Will use the results for planning; Will use them to support the (project/evaluand); or Will use the (evaluation) to design new programs, introduce change, or develop future

strategies, etc. Each stakeholder may have several interests. 4) Identify each stakeholder's possible participation or role in the (evaluation), that is, whether the stakeholder can:

be a data or information provider; make a (decision/judgement based) on the findings of the evaluation; or become a beneficiary of change arising from the (evaluation), etc.

(A lead up exercise that can facilitate the assessment is the Mapping the Stakeholders in Lusthaus et al (1999) Chapter 1, p. 9.)

Toward a Theory of Stakeholder Identification and Salience: Defining the Principle of Whoand What Really CountsAuthor(s): Ronald K. Mitchell, Bradley R. Agle, Donna J. WoodSource: The Academy of Management Review, Vol. 22, No. 4 (Oct., 1997), pp. 853-886Published by: Academy of ManagementStable URL: http://www.jstor.org/stable/259247Accessed: 25/09/2009 16:33

Your use of the JSTOR archive indicates your acceptance of JSTOR's Terms and Conditions of Use, available athttp://www.jstor.org/page/info/about/policies/terms.jsp. JSTOR's Terms and Conditions of Use provides, in part, that unlessyou have obtained prior permission, you may not download an entire issue of a journal or multiple copies of articles, and youmay use content in the JSTOR archive only for your personal, non-commercial use.

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t Academy of Management Review 1997, Vol. 22, No. 4, 853-886.

TOWARD A THEORY OF STAKEHOLDER IDENTIFICATION AND SALIENCE: DEFINING THE

PRINCIPLE OF WHO AND WHAT REALLY COUNTS

RONALD K. MITCHELL University of Victoria

BRADLEY R. AGLE DONNA J. WOOD

University of Pittsburgh

Stakeholder theory has been a popular heuristic for describing the management environment for years, but it has not attained full theoretical status. Our aim in this article is to contribute to a theory of stakeholder identification and salience based on stakeholders possessing one or more of three relationship attributes: power, legitimacy, and urgency. By combining these attributes, we generate a typology of stakeholders, propositions concerning their salience to managers of the firm, and research and management implications.

Since Freeman (1984) published his landmark book, Strategic Man- agement: A Stakeholder Approach, the concept of "stakeholders" has become embedded in management scholarship and in managers' thinking. Yet, as popular as the term has become and as richly descriptive as it is, there is no agreement on what Freeman (1994) calls "The Principle of Who or What Really Counts." That is, who (or what) are the stakeholders of the firm? And to whom (or what) do managers pay attention? The first question calls for a normative theory of stakeholder identification, to explain logically why managers should consider certain classes of entities as stakeholders. The second question calls for a descriptive theory of stakeholder salience, to explain the conditions under which managers do consider certain classes of entities as stakeholders.

Stakeholder theory, reviewed in this article, offers a maddening variety of signals on how questions of stakeholder identification might be answered. We will see stakeholders identified as primary or secondary

We thank the members of the Second Toronto Conference on Stakeholder Theory, spon- sored by the Clarkson Centre for Business Ethics at the University of Toronto, where the centrality of these three attributes to a theory of stakeholder-manager relationships was first noted. We also recognize the contribution of various working groups in SIM and IABS and are grateful for the comments provided by A. R. Elangoven and Barry Mitnick, the intellectual and financial support of Fritz Faulhaber, and the valuable insights of the consulting editor and the anonymous reviewers.

853

854 Academy of Management Review October

stakeholders; as owners and nonowners of the firm; as owners of capital or owners of less tangible assets; as actors or those acted upon; as those existing in a voluntary or an involuntary relationship with the firm; as rights-holders, contractors, or moral claimants; as resource providers to or dependents of the firm; as risk-takers or influencers; and as legal principals to whom agent-managers bear a fiduciary duty. In the stakeholder literature there are a few broad definitions that attempt to specify the empirical reality that virtually anyone can affect or be affected by an organization's actions. What is needed is a theory of stakeholder identification that can reliably separate stakeholders from nonstakeholders.

Also in the stakeholder literature are a number of narrow definitions that attempt to specify the pragmatic reality that managers simply cannot attend to all actual or potential claims, and that propose a variety of priorities for managerial attention. In this article we suggest that the question of stakeholder salience-the degree to which managers give priority to competing stakeholder claims-goes beyond the question of stakeholder identification, because the dynamics inherent in each relationship involve complex considerations that are not readily explained by the stakeholder framework as it currently stands. What is needed also is a theory of stakeholder salience that can explain to whom and to what managers actually pay attention.

Among the various ways of identifying stakeholders, as well as in the agency, behavioral, ecological, institutional, resource dependence, and transaction cost theories of the firm, we have found no single attribute within a given theory that can guide us reliably on these issues. However, we find that one can extract from these literatures the idea that just a few attributes can be used to identify different classes of stakeholders in a firm's environment. We begin our analysis with Freeman's definition of stakeholder-"any group or individual who can affect or is affected by the achievement of the organization's objectives" (1984: 46)-and develop a theory of stakeholder identification drawn from these various theoretical literatures. We start with a broad definition so that no stakeholders, potential or actual, are excluded from analysis arbitrarily or a priori. We then propose that classes of stakeholders can be identified by their possession or attributed possession of one, two, or all three of the following attributes: (1) the stakeholder's power to influence the firm, (2) the legitimacy of the stakeholder's relationship with the firm, and (3) the urgency of the stakeholder's claim on the firm. This theory produces a comprehensive typology of stakeholders based on the normative assumption that these variables define the field of stakeholders: those entities to whom managers should pay attention.

Building upon this typology, we further propose a theory of stakeholder salience. In this theory we suggest a dynamic model, based upon the identification typology, that permits the explicit recognition of situ- ational uniqueness and managerial perception to explain how managers prioritize stakeholder relationships. We demonstrate how the identifica-

1997 Mitchell, Agle, and Wood 855

tion typology allows predictions to be made about managerial behavior with respect to each class of stakeholder, as well as predictions about how stakeholders change from one class to another and what this means to managers. In the theory of stakeholder salience, we do not argue that managers should pay attention to this or that class of stakeholders. Rather, we argue that to achieve certain ends, or because of perceptual factors, managers do pay certain kinds of attention to certain kinds of stakeholders. Knowing what types of stakeholders actually exist, which our identification typology facilitates, and why managers respond to them the way they do, which our notion of salience clarifies, sets the stage for future work in stakeholder theory that specifies how and under what circumstances managers can and should respond to various stakeholder types.

The argument proceeds as follows. First, we review the stakeholder literature, laying out the various explicit and implicit positions on "The Principle of Who or What Really Counts." We then present our defense of the three key attributes-power, legitimacy, and urgency-as identifiers of stakeholder classes and briefly examine the major organizational theories to discern how they handle these three crucial variables. Next we introduce managers and salience into the discussion and present our analysis of the stakeholder classes that result from possession of one, two, or three of these attributes, giving special attention to the managerial implications of the existence and salience of each stakeholder class. Fi- nally, we further illustrate the theory's dynamic qualities by showing how stakeholders can shift from one class to another, with important consequences for managers and the firm itself, and we explore the research questions and directions that emerge from the theory.

STAKEHOLDER THEORY-STATE OF THE ART

For more than a decade the stakeholder approach to understanding the firm in its environment has been a powerful heuristic device, intended to broaden management's vision of its roles and responsibilities beyond the profit maximization function to include interests and claims of non- stockholding groups. Stakeholder theory, in contrast, attempts to articulate a fundamental question in a systematic way: which groups are stakeholders deserving or requiring management attention, and which are not? In this section we examine how scholars have so far answered these central questions. Who is a stakeholder, and what is a stake? What does stakeholder theory offer that is not found in other theories of the firm?

Who Is a Stakeholder, and What Is a Stake?

There is not much disagreement on what kind of entity can be a stakeholder. Persons, groups, neighborhoods, organizations, institutions, societies, and even the natural environment are generally thought to qualify as actual or potential stakeholders. We find that it is the view


taken about the existence and nature of the stake that presents an area of argument, because it is upon the basis of "stake" that "what counts" is ultimately decided.

Early vagueness in definition. In an early statement Jones defined corporate social responsibility as "the notion that corporations have an obligation to constituent groups in society other than stockholders and beyond that prescribed by law or union contract, indicating that a stake may go beyond mere ownership" (1980: 59-60). He then asked the pragmatic questions stakeholder theory still seeks to answer: "What are these groups? How many of these groups must be served? Which of their interests are most important? How can their interests be balanced? How much corporate money should be allotted to serve these interests?" (1980: 60).

These questions are still being explored in stakeholder literature and management thinking. Alkhafaji, for example, defines stakeholders as "groups to whom the corporation is responsible" (1989: 36). Thompson, Wartick, and Smith define stakeholders as groups "in relationship with an organization" (1991: 209). Most scholars, however, have attempted to specify a more concrete stakeholder definition, albeit with limited success.

Broad or narrow view? Windsor (1992) correctly points out that stakeholder theorists differ considerably on whether they take a broad or narrow view of a firm's stakeholder universe. Freeman and Reed (1983) recognized early on that there would be serious differences of opinion about broad versus narrow definitions of "Who or What Really Counts." Their broad definition of a stakeholder as an individual or group who "can affect the achievement of an organization's objectives or who is affected by the achievement of an organization's objectives" (1983: 91) is virtually identical to Freeman's (1984) definition. And their narrow definition re- verted to the language of the Stanford Research Institute (1963), defining stakeholders as those groups "on which the organization is dependent for its continued survival" (1983: 91).

Freeman's now-classic definition is this: "A stakeholder in an organization is (by definition) any group or individual who can affect or is affected by the achievement of the organization's objectives" (1984: 46). This is certainly one of the broadest definitions in the literature, for it leaves the notion of stake and the field of possible stakeholders unam- biguously open to include virtually anyone. In this definition the basis of the stake can be unidirectional or bidirectional-"can affect or is affected by"-and there is no implication or necessity of reciprocal impact, as definitions involving relationships, transactions, or contracts require. Ex- cluded from having a stake are only those who cannot affect the firm (have no power) and are not affected by it (have no claim or relationship).

In contrast, Clarkson offers one of the narrower definitions of stakeholders as voluntary or involuntary risk-bearers: "Voluntary stakeholders bear some form of risk as a result of having invested some form of capital, human or financial, something of value, in a firm. Involuntary stakehold-


ers are placed at risk as a result of a firm's activities. But without the element of risk there is no stake" (1994: 5). A stake, in this sense, is only something that can be lost. The use of risk to denote stake appears to be a way to narrow the stakeholder field to those with legitimate claims, regardless of their power to influence the firm or the legitimacy of their relationship to the firm. This search for legitimacy, we argue later, is necessary to understand fully a firm's stakeholder environment, but it also can be a powerful blinder to the real impact of stakeholder power and claim urgency. We argue, in contrast to the position of all those who appear to focus primarily on legitimacy, that this narrower view captures only one key attribute of stakeholder salience to managers.

Between the broad and narrow are many other efforts to define what constitutes a stakeholder. The range of definitions as it has developed chronologically appears in Table 1.

Major differences between broad and narrow views. Narrow views of stakeholders are based on the practical reality of limited resources, limited time and attention, and limited patience of managers for dealing with external constraints. In general, narrow views of stakeholders attempt to define relevant groups in terms of their direct relevance to the firm's core economic interests. For example, several scholars define stakeholders in terms of their necessity for the firm's survival (Bowie, 1988; Freeman & Reed, 1983; Ndsi, 1995); as noted, Clarkson (1995) defines stakeholders as those who have placed something at risk in relationship with the firm, whereas Freeman and Evan (1990), Hill and Jones (1992), and Cornell and Shapiro (1987) speak of stakeholders as contractors or participants in exchange relationships.

A few scholars narrow the field of relevant groups in terms of their moral claims, arguing that the essence of stakeholder management should be the firm's participation in creating and sustaining moral relationships (Freeman, 1994; Wicks, Gilbert, & Freeman, 1994), or the firm's fulfilling its affirmative duty to stakeholders in terms of fairly distributing the harms and benefits of the firm's actions (Donaldson & Preston, 1995; Evan & Freeman, 1988; Langtry, 1994). In any case, we see those favoring a narrow definition of stakeholders as searching for a "normative core" of legitimacy so that managers can be advised to focus on the claims of a few legitimate stakeholders.

The broad view of stakeholders, in contrast, is based on the empirical reality that companies can indeed be vitally affected by, or they can vitally affect, almost anyone. But it is bewilderingly complex for managers to apply. The idea of comprehensively identifying stakeholder types, then, is to equip managers with the ability to recognize and respond effectively to a disparate, yet systematically comprehensible, set of entities who may or may not have legitimate claims, but who may be able to affect or are affected by the firm nonetheless, and thus affect the interests of those who do have legitimate claims.

The ultimate aim of stakeholder management practices, according to


TABLE 1 Who Is a Stakeholder? A Chronology

Source Stake

Stanford memo, 1963 "those groups without whose support the organization would cease to exist" (cited in Freeman & Reed, 1983, and Freeman, 1984)

Rhenman, 1964 "are depending on the firm in order to achieve their personal goals and on whom the firm is depending for its existence" (cited in Nasi, 1995)

Ahlstedt & "driven by their own interests and goals are participants in a firm, and thus Jahnukainen, 1971 depending on it and whom for its sake the firm is depending" (cited in

Nasi, 1995) Freeman & Reed, Wide: "can affect the achievement of an organization's objectives or who is

1983: 91 affected by the achievement of an organization's objectives" Narrow: "on which the organization is dependent for its continued survival"

Freeman, 1984: 46 "can affect or is affected by the achievement of the organization's objectives" Freeman & Gilbert, "can affect or is affected by a business"

1987: 397 Cornell & Shapiro, "claimants" who have "contracts"

1987: 5 Evan & Freeman, "have a stake in or claim on the firm"

1988: 75-76 Evan & Freeman, "benefit from or are harmed by, and whose rights are violated or respected

1988: 79 by, corporate actions" Bowie, 1988: 112, n. 2 "without whose support the organization would cease to exist" Alkhafaji, 1989: 36 "groups to whom the corporation is responsible" Carroll, 1989: 57 "asserts to have one or more of these kinds of stakes"-"ranging from an

interest to a right (legal or moral) to ownership or legal title to the company's assets or property"

Freeman & Evan, contract holders 1990

Thompson et al., in "relationship with an organization" 1991: 209

Savage et al., 1991: "have an interest in the actions of an organization and ... the ability to 61 influence it"

Hill & Jones, 1992: "constituents who have a legitimate claim on the firm ... established through 133 the existence of an exchange relationship" who supply "the firm with

critical resources (contributions) and in exchange each expects its interests to be satisfied (by inducements)"

Brenner, 1993: 205 "having some legitimate, non-trivial relationship with an organization [such as] exchange transactions, action impacts, and moral responsibilities"

Carroll, 1993: 60 "asserts to have one or more of the kinds of stakes in business"-may be affected or affect ...

Freeman, 1994: 415 participants in "the human process of joint value creation" Wicks et al., 1994: "interact with and give meaning and definition to the corporation"

483 Langtry, 1994: 433 the firm is significantly responsible for their well-being, or they hold a moral

or legal claim on the firm Starik, 1994: 90 'can and are making their actual stakes known"-"are or might be influenced

by, or are or potentially are influencers of, some organization" Clarkson, 1994: 5 "bear some form of risk as a result of having invested some form of capital,

human or financial, something of value, in a firm" or "are placed at risk as a result of a firm's activities"

Clarkson, 1995: 106 "have, or claim, ownership, rights, or interests in a corporation and its activities"

Nasi, 1995: 19 "interact with the firm and thus make its operation possible" Brenner, 1995: 76, n. 1 "are or which could impact or be impacted by the firm/organization" Donaldson & Preston, "persons or groups with legitimate interests in procedural and/or substantive

1995: 85 aspects of corporate activity"


this view, could be firm centered or system centered; that is, managers might want to know about all of their stakeholders for firm-centered purposes of survival, economic well-being, damage control, taking advantage of opportunities, "doing in" the competition, winning friends and influencing public policy, coalition building, and so forth. Or, in contrast, managers might want an exhaustive list of all stakeholders in order to participate in a fair balancing of various claims and interests within the firm's social system. Both the former public affairs approach and the latter social responsibility approach require broad knowledge of actual and potential actors and claimants in the firm's environment.

Claimants versus influencers. In order to clarify the term "stake," we need to differentiate between groups that have a legal, moral, or pre- sumed claim on the firm and groups that have an ability to influence the firm's behavior, direction, process, or outcomes. Savage, Nix, Whitehead, and Blair (1991) consider two attributes to be necessary to identify a stakeholder: (1) a claim and (2) the ability to influence a firm. Brenner (1993) and Starik (1994), however, pose these attributes as either/or components of the definition of those with a stake.

In our view this is a muddled set, confusing and contrasting two of the three criteria we see as important. Influencers have power over the firm, whether or not they have valid claims or any claims at all and whether or not they wish to press their claims. Claimants may have legitimate claims or illegitimate ones, and they may or may not have any power to influence the firm. Power and legitimacy are different, sometimes overlapping dimensions, and each can exist without the other. A theory of stakeholder identification must accommodate these differences.

Actual versus potential relationship. Another crucial question leading to the comprehensibility of the term "stake" is whether an entity can be a stakeholder without being in actual relationship with the firm. Some scholars (e.g., Ring, 1994) emphatically answer, " No." We argue that, on the contrary, the potential relationship can be as relevant as the actual one. Clarkson's (1994) idea of involuntary stakeholders as those with something not willfully placed at risk addresses the potentiality issue somewhat. Starik quite clearly includes potential when he refers to stakeholders as those who "are or might be influenced by, or are or potentially are influencers of, some organization" (1994: 90). We suggest that a theory of stakeholder identification and salience must somehow account for latent stakeholders if it is to be both comprehensive and useful, because such identification can, at a minimum, help organizations avoid problems and perhaps even enhance effectiveness.

Power, dependence, and reciprocity in relationships. If the firm and a stakeholder have a relationship, what is the nature of that relationship? The literature offers a confusing jumble of answers to this question, but most answers use a power-dependence frame of some sort. As Table 2 shows, some definitions focus on the firm's dependency on stakeholders for its survival; some focus on the stakeholder's dependency on the firm


TABLE 2 A Sorting of Rationales for Stakeholder Identification

A Relationship Exists The firm and stakeholder are in relationship: Thompson et al., 1991: 209-in "relationship with an organization" Brenner, 1993: 205-"having some legitimate, non-trivial relationship with an

organization [such as] exchange transactions, action impacts, and moral responsibilities"

Freeman, 1994: 415-participants in "the human process of joint value creation" Wicks et al., 1994: 483-"interact with and give meaning and definition to the

corporation"

The stakeholder exercises voice with respect to the firm: Starik, 1994: 90-"can and are making their actual stakes known"-"are or might be

influenced by, or are or potentially are influencers of, some organization"

Power Dependence: Stakeholder Dominant

The firm is dependent on the stakeholder: Stanford memo, 1963-"those groups without whose support the organization would

cease to exist" (cited in Freeman & Reed, 1983, and Freeman, 1984) Freeman & Reed, 1983: 91-Narrow: "on which the organization is dependent for its

continued survival" Bowie, 1988: 112, n. 2-"without whose support the organization would cease to exist" Nasi, 1995: 19-"interact with the firm and thus make its operation possible"

The stakeholder has power over the firm: Freeman, 1984: 46-"can affect or is affected by the achievement of the organization's

objectives" Freeman & Gilbert, 1987: 397-"can affect or is affected by a business" Savage et al., 1991: 61-"have an interest in the actions of an organization and ... the

ability to influence it" Carroll, 1993: 60-"asserts to have one or more of the kinds of stakes in business"-may

be affected or affect ... Starik, 1994: 90-"can and are making their actual stakes known"-"are or might be

influenced by, or are or potentially are influencers of, some organization" Brenner, 1995: 76, n. 1-"are or which could impact or be impacted by the

firm/organization"

Power Dependence: Firm Dominant

The stakeholder is dependent on the firm: Langtry, 1994: 433-the firm is significantly responsible for their well-being, or they hold

a moral or legal claim on the firm

The firm has power over the stakeholder: Freeman & Reed, 1983: 91-Wide: "can affect the achievement of an organization's

objectives or who is affected by the achievement of an organization's objectives" Freeman, 1984: 46-"can affect or is affected by the achievement of the organization's

objectives" Freeman & Gilbert, 1987: 397-"can affect or is affected by a business" Carroll, 1993: 60-"asserts to have one or more of the kinds of stakes in business"-may

be affected or affect ...


TABLE 2 (continued)

Starik, 1994: 90-"can and are making their actual stakes known"-"are or might be influenced by, or are or potentially are influencers of, some organization"

Brenner, 1995: 76, n. 1.-"are or which could impact or be impacted by the firm/organization"

Mutual Power-Dependence Relationship

The firm and stakeholder are mutually dependent: Rhenman, 1964-"are depending on the firm in order to achieve their personal goals and

on whom the firm is depending for its existence" (cited in Nasi, 1995) Ahlstedt & Jahnukainen, 1971-"driven by their own interests and goals are participants

in a firm, and thus depending on it and whom for its sake the firm is depending" (cited in Nasi, 1995)

Basis for Legitimacy of Relationship

The firm and stakeholder are in contractual relationship: Cornell & Shapiro, 1987: 5-"claimants" who have "contracts" Carroll, 1989: 57-"asserts to have one or more of these kinds of stakes"-"ranging from

an interest to a right (legal or moral) to ownership or legal title to the company's assets or property"

Freeman & Evan, 1990-contract holders Hill & Jones, 1992: 133-"constituents who have a legitimate claim on the firm ...

established through the existence of an exchange relationship" who supply "the firm with critical resources (contributions) and in exchange each expects its interests to be satisfied (by inducements)"

The stakeholder has a claim on the firm: Evan & Freeman, 1988: 75-76-"have a stake in or claim on the firm" Alkhafaji, 1989: 36-"groups to whom the corporation is responsible" Carroll, 1989: 57-"asserts to have one or more of these kinds of stakes"-"ranging from


Hill & Jones, 1992: 133-"constituents who have a legitimate claim on the firm ... established through the existence of an exchange relationship" who supply "the firm with critical resources (contributions) and in exchange each expects its interests to be satisfied (by inducements)"

Langtry, 1994: 433-the firm is significantly responsible for their well-being, or they hold a moral or legal claim on the firm

Clarkson, 1995: 106-"have, or claim, ownership, rights, or interests in a corporation and its activities"

The stakeholder has something at risk: Clarkson, 1994: 5-"bear some form of risk as a result of having invested some form of

capital, human or financial, something of value, in a firm" or "are placed at risk as a result of a firm's activities"

The stakeholder has a moral claim on the firm: Evan & Freeman, 1988: 79-"benefit from or are harmed by, and whose rights are

violated or respected by, corporate actions" Carroll, 1989: 57-"asserts to have one or more of these kinds of stakes"-"ranging from



TABLE 2 (continued)

Langtry, 1994: 433-the firm is significantly responsible for their well-being, or they hold a moral or legal claim on the firm


Donaldson & Preston, 1995: 85-"identified through the actual or potential harms and benefits that they experience or anticipate experiencing as a result of the firm's actions or inactions"

Stakeholder Interests-Legitimacy Not Implied The stakeholder has an interest in the firm: Carroll, 1989: 57-"asserts to have one or more of these kinds of stakes"-"ranging from


Savage et al., 1991: 61-"have an interest in the actions of an organization and ... have the ability to influence it"

Carroll, 1993: 60-"asserts to have one or more of the kinds of stakes in business"-may be affected or affect ...


for upholding its rights, minimizing harms, or achieving its interest; and some focus on the mutuality of power-dependence relations (although, interestingly, we found no definition that emphasized mutual power, and only two from Scandinavia that emphasized mutual dependence).

As shown, a broad-view sorting of stakeholders along previously defined dimensions is still somewhat overwhelming.

Sorting criteria. Thus, although Freeman's (1984) definition is widely cited in the literature, it is not accepted universally among scholars working in the stakeholder minefields. Narrowing the range of stakeholders requires applying some acceptable and justifiable sorting criteria to the field of possibilities. Some additional approaches are relationship based, built on acknowledged transactional conditions, such as the existence of a legal or implied contract, an exchange relationship, or an identifiable power-dependence relationship. Others are claim based, citing the existence or attribution of a legal or moral right, a real or attributed benefit or harm, or merely an interest.

Overall, the information in Table 2 suggests that scholars who attempt to narrow the definition of stakeholder emphasize the claim's legitimacy based upon contract, exchange, legal title, legal right, moral right, at-risk status, or moral interest in the harms and benefits generated by company actions and that, in contrast, scholars who favor a broad definition emphasize the stakeholder's power to influence the firm's behavior, whether or not there are legitimate claims. As a bridging concept, we argue that the broad concept of stakeholder management must be better defined in order to serve the narrower interests of legitimate stake-


holders. Otherwise, influencing groups with power over the firm can dis- rupt operations so severely that legitimate claims cannot be met and the firm may not survive. Yet, at the same time, it is important to recognize the legitimacy of some claims over others. Power and legitimacy, then, are necessarily core attributes of a comprehensive stakeholder identification model. We argue that when these attributes are evaluated in light of the compelling demands of urgency, a systematic, comprehensible, and dynamic model is the result.

What Added Value Does a Theory of Stakeholder Identification Offer?

As we see from the preceding discussion of the stakeholder literature, one can extract just a few attributes to identify different classes of stakeholders that are salient to managers in certain respects. We also can see that stakeholder power and legitimacy of the claim frequently are treated as competing explanations of stakeholder status, when instead they are partially intersecting variables. Interestingly, this conceptual competition between power and legitimacy is reflected in virtually every major theory of the firm-particularly in agency, behavioral, institutional, population ecology, resource dependence, and transaction cost theories. This state- of-the-field provides an opportunity for a theory of stakeholder identification to move us forward by showing how power and legitimacy interact and, when combined with urgency, create different types of stakeholders with different expected behavioral patterns regarding the firm.

Agency, resource dependence, and transaction cost theories are particularly helpful in explaining why power plays such an important role in the attention managers give to stakeholders. The central problem agency theory addresses is how principals can control the behavior of their agents to achieve their, rather than the agent's, interests. The power of agents to act in ways divergent from the interests of principals may be limited by use of incentives or monitoring (Jensen & Meckling, 1976), so that managers are expected to attend to those stakeholders having the power to reward and/or punish them. Resource dependence theory suggests that power accrues to those who control resources needed by the organization, creating power differentials among parties (Pfeffer, 1981), and it confirms that the possession of resource power makes a stakeholder important to managers. Transaction cost theory proposes that the power accruing to economic actors with small numbers bargaining advantages will affect the nature of firm governance and structure (William- son, 1975, 1985). That is, stakeholders outside the firm boundary who participate in a very small competitive set can increase transaction costs to levels that justify their absorption into the firm, where the costs of hierarchy are lower than the transaction costs of market failure-a clear indication of their significance to managers (Jones & Hill, 1988).

These three organizational theories teach us why power is a crucial variable in a theory of stakeholder-manager relations. But, as previously


noted, power alone does not help us to fully understand salience in the stakeholder-manager relationship. There remain stakeholders who do not have power, but who nevertheless matter to firms and managers. Other means to identify "Who or What Really Counts" are needed.

Organizational theories with an open-system orientation (Scott, 1987), including institutional and population ecology theories, help us to understand the crucial effects of the environment upon organizations, but they are less helpful when it comes to understanding power in stakeholder- manager relationships. In both theories organizational legitimacy is linked closely with survival (see Meyer & Rowan, 1977, and Carroll & Hannan, 1989, respectively). In the socially constructed world within which managers engage stakeholders, these two theories suggest that "legitimate" stakeholders are the ones who "really count." Under institutional theory, "illegitimacy" results in isomorphic pressures on organizations that operate outside of accepted norms (DiMaggio & Powell, 1983). Under population ecology theory, lack of legitimacy results in organizational mortality (Carroll & Hannan, 1989). According to these two theories, legitimacy figures heavily in helping us to identify stakeholders that merit managerial attention. However, emphasizing legitimacy and ignor- ing power leave major gaps in a stakeholder identification scheme, because some legitimate stakeholders have no influence.

A final attribute that profoundly influences managerial perception and attention, although not the primary feature of any particular organizational theory, is implicit in each. Agency theory treats this attribute in terms of its contribution to cost, as does transaction cost theory. Behav- ioral theory (Cyert & March, 1963) treats it as a consequence of unmet "aspirations." Institutional, resource dependence, and population ecology theories treat it in terms of outside pressures on the firm. This attribute is urgency, the degree to which stakeholder claims call for immediate attention. Whether dealing with the prevention of losses, the pursuit of goals, or selection pressures, one constant in the stakeholder-manager relationship is the attention-getting capacity of the urgent claim. Urgency, as we discuss below, adds a catalytic component to a theory of stakeholder identification, for urgency demands attention.

In summary, it is clear that no individual organizational theory offers systematic answers to questions about stakeholder identification and salience, although most such theories have much to tell us about the role of power or legitimacy (but not both) in stakeholder-manager relations. Ur- gency, in contrast, is not a main focus of any organizational theory, but it is critical nonetheless to any theory that purports to identify stakeholders and to explain the degree of attention paid to them by managers. There- fore, we suggest that to better understand "The Principle of Who and What Really Counts," we need to evaluate stakeholder-manager relationships systematically, both actual and potential, in terms of the relative absence or presence of all or some of the attributes: power, legitimacy, and/or urgency.


Defining Stakeholder Attributes

Power. Most current definitions of power derive, at least in part, from the early Weberian idea that power is "the probability that one actor within a social relationship would be in a position to carry out his own will despite resistance" (Weber, 1947). Pfeffer rephrases Dahl's (1957) definition of power as "a relationship among social actors in which one social actor, A, can get another social actor, B, to do something that B would not otherwise have done" (1981: 3). Like Pfeffer and Weber, we concur that "power may be tricky to define, but it is not that difficult to recognize: '[it is] the ability of those who possess power to bring about the outcomes they desire' " (Salancik & Pfeffer, 1974: 3). This leads to the following question: How is power exercised, or, alternatively, what are the bases of power?

French and Raven's (1960) typology of power bases is one framework commonly cited in the organizational literature in answer to this question, but from a sociological perspective it is messy, for there is not a sorting logic at work to create the mutually exclusive and exhaustive categories a true typology requires. Etzioni (1964) suggests a logic for the more pre- cise categorization of power in the organizational setting, based on the type of resource used to exercise power: coercive power, based on the physical resources of force, violence, or restraint; utilitarian power, based on material or financial resources; and normative power, based on symbolic resources.'

Therefore, a party to a relationship has power, to the extent it has or can gain access to coercive, utilitarian, or normative means, to impose its will in the relationship. We note, however, that this access to means is a

Etzioni explains these types of power as follows:

The use of a gun, a whip, or a lock is physical since it affects the body; the threat to use physical sanctions is viewed as physical because the effect on the subject is similar in kind, though not in intensity, to the actual use. Control based on application of physical means is ascribed as coercive power.

Material rewards consist of goods and services. The granting of symbols (e.g. money) which allow one to acquire goods and services is classified as material because the effect on the recipient is similar to that of material means. The use of material means for control purposes constitutes utilitarian power.

Pure symbols are those whose use does not constitute a physical threat or a claim on material rewards. These include normative symbols, those of prestige and esteem; and social symbols, those of love and acceptance. When physical contact is used to symbolize love, or material objects to symbolize prestige, such contacts or objects are viewed as symbols because their effect on the recipient is similar to that of "pure" symbols. The use of symbols for control purposes is referred to as normative, normative-social, or social power. (1964: 59)


variable, not a steady state, which is one reason why power is transitory: it can be acquired as well as lost.

Legitimacy. It is apparent from our analysis in Table 2 that narrow- definition scholars, particularly those seeking a "normative core" for stakeholder theory, are focused almost exclusively on defining the basis of stakeholder legitimacy. Whether or not that core of legitimacy is to be found in something "at risk," or in property rights, in moral claims, or in some other construct, articulations of "The Principle of Who or What Real- ly Counts" generally are legitimacy based.

However, the notion of "legitimacy," loosely referring to socially accepted and expected structures or behaviors, often is coupled implicitly with that of power when people attempt to evaluate the nature of relationships in society. Davis, for example, distinguishes legitimate from illegitimate use of power by declaring, "In the long run, those who do not use power in a manner which society considers responsible will tend to lose it" (1973: 314). Many scholars seeking to define a firm's stakeholders narrowly also make an implicit assumption that legitimate stakeholders are necessarily powerful, when this is not always the case (e.g., minority stockholders in a closely held company), and that powerful stakeholders are necessarily legitimate (e.g., corporate raiders in the eyes of current managers).

Despite this common linkage, we accept Weber's (1947) proposal that legitimacy and power are distinct attributes that can combine to create authority (defined by Weber as the legitimate use of power) but that can exist independently as well. An entity may have legitimate standing in society, or it may have a legitimate claim on the firm, but unless it has either power to enforce its will in the relationship or a perception that its claim is urgent, it will not achieve salience for the firm's managers. For this reason we argue that a comprehensive theory of stakeholder salience requires that separate attention be paid to legitimacy as an attribute of stakeholder-manager relations.

Recently, Suchman (1995) has worked to strengthen the conceptual moorings of the notion of legitimacy, building upon Weber's functional- ism (1947), Parsons' structural-functional theory (1960), "open systems" theory (Scott, 1987), and institutional theory (DiMaggio & Powell, 1983). The definition that Suchman suggests is broad based and recognizes the evaluative, cognitive, and socially constructed nature of legitimacy. He defines legitimacy as "a generalized perception or assumption that the actions of an entity are desirable, proper, or appropriate within some socially constructed system of norms, values, beliefs, and definitions" (1995: 574).

Although this definition is imprecise and difficult to operationalize, it is representative of sociologically based definitions of legitimacy and contains several descriptions that are useful in our approach to stakeholder identification. Therefore, we accept and utilize Suchman's definition of legitimacy, recognizing that the social system within which legiti-


macy is attained is a system with multiple levels of analysis, the most common of which are the individual, organizational, and societal (Wood, 1991). This definition implies that legitimacy is a desirable social good, that it is something larger and more shared than a mere self-perception, and that it may be defined and negotiated differently at various levels of social organization.

Urgency. Viewing power and legitimacy as independent variables in stakeholder-manager relationships takes us some distance toward a theory of stakeholder identification and salience, but it does not capture the dynamics of stakeholder-manager interactions. We propose that adding the stakeholder attribute of urgency helps move the model from static to dynamic. "Urgency" is defined by the Merriam-Webster Dictionary as "caclling for immediate attention" or "pressing." We believe that urgency, with synonyms including "compelling," "driving," and "imperative," exists only when two conditions are met: (1) when a relationship or claim is of a time-sensitive nature and (2) when that relationship or claim is important or critical to the stakeholder. Thus, similar to Jones' (1993) description of moral intensity as a multidimensional construct, we argue that urgency is based on the following two attributes: (1) time sensitivity-the degree to which managerial delay in attending to the claim or relationship is unacceptable to the stakeholder, and (2) criticality-the importance of the claim or the relationship to the stakeholder. We define urgency as the degree to which stakeholder claims call for immediate attention.

Although it was virtually ignored until now in any explicit sense in the stakeholder literature, the idea of paying attention to various stakeholder relationships in a timely fashion has been a focus of issues management (Wartick & Mahon, 1994) and crisis management scholars for decades. Eyestone (1978) highlighted the speed with which an issue can become salient to a firm, and Cobb and Elder discussed the important role symbols play in creating time urgency: "Symbols such as 'Freedom Now' have an advantage because they connote a specific time commitment to action. If one is attempting to mobilize a public against some outside threat, one must emphasize the rapidity with which the opponent is gaining strength" (1972: 139).

However, although time sensitivity is necessary, it is not sufficient to identify a stakeholder's claim or "manager relationship" as urgent. In addition, the stakeholder must view its claim on the firm or its relationship with the firm as critical or highly important. Some examples of why a stakeholder would view its relationship with the firm as critical include the following:

* ownership-the stakeholder's possession of firm-specific assets, or those assets tied to a firm that cannot be used in a different way without loss of value (Hill & Jones, 1992; Williamson, 1985), making it very costly for the stakeholder to exit the relationship;


* sentiment-as in the case of easily traded stock that is held by generations of owners within a family, regardless of the stock's performance;

* expectation-the stakeholder's anticipation that the firm will continue providing it with something of great value (e.g., compensation and benefits in the case of employees); or

* exposure-the importance the stakeholder attaches to that which is at risk in the relationship with the firm (Clarkson, 1994).

Our theory does not specify why stakeholders assess their relationships with firms as critical. Furthermore, our theory does not attempt to predict the circumstances under which "time will be of the essence." Rather, when both factors are present, our theory captures the resulting multidimensional attribute as urgency, juxtaposes it with the attributes of power and legitimacy, and proposes dynamism in the systematic identification of stakeholders.

Additional Features of Stakeholder Attributes

Table 3 summarizes the constructs, definitions, and origins of the concepts discussed thus far in the article. To support a dynamic theory of stakeholder identification and salience, however, we need to consider several additional implications of power, legitimacy, and urgency. First, each attribute is a variable, not a steady state, and can change for any particular entity or stakeholder-manager relationship. Second, the existence (or degree present) of each attribute is a matter of multiple perceptions and is a constructed reality rather than an "objective" one. Third, an individual or entity may not be "conscious" of possessing the attribute or, if conscious of possession, may not choose to enact any implied behaviors. These features of stakeholder attributes, summarized below, are important to the theory's dynamism; that is, they provide a preliminary framework for understanding how stakeholders can gain or lose salience to a firm's managers:

1. Stakeholder attributes are variable, not steady state. 2. Stakeholder attributes are socially constructed, not objective, reality. 3. Consciousness and willful exercise may or may not be present.

Thus, with respect to power, for example, access to the means of influencing another entity's behavior is a variable, with both discrete and continuous features. As we argued earlier, power may be coercive, utilitarian, or normative-qualitatively different types that may exist independently or in combination. Each type of power may range from nonex- istent to complete. Power is transitory-it can be acquired as well as lost. Further, possession of power does not necessarily imply its actual or intended use, nor does possession of power imply consciousness of such possession by the possessor or "correct" perception of objective reality by the perceivers. An entity may possess power to impose its will upon a firm, but unless it is aware of its power and willing to exercise it on the firm, it is not a stakeholder with high salience for managers. Rather, latent power exists in stakeholder relationships, and the exercise of


TABLE 3 Key Constructs in the Theory of Stakeholder Identification and Salience

Construct Definition Sources

Stakeholder Any group or individual who can affect or is Freeman, 1984; Jones, affected by the achievement of the 1995; Kreiner & organization's objectives Bhambri, 1988

Power A relationship among social actors in which Dahl, 1957; Pfeffer, 1981; one social actor, A, can get another social Weber, 1947 actor, B, to do something that B would not have otherwise done

Bases Coercive-force/threat Etzioni, 1964 Utilitarian-material/incentives Normative-symbolic influences

Legitimacy A generalized perception or assumption that Suchman, 1995; Weber, the actions of an entity are desirable, 1947 proper, or appropriate within some socially constructed system of norms, values, beliefs, definitions

Bases Individual Wood, 1991 Organizational Societal

Urgency The degree to which stakeholder claims call Original-builds on the for immediate attention definition from the

Merriam-Webster Dictionary

Bases Time sensitivity-the degree to which Eyestone, 1978; managerial delay in attending to the Wartick & Mahon, claim or relationship is unacceptable to 1994 the stakeholder

Criticality-the importance of the claim or Original-asset the relationship to the stakeholder specificity from

Hill & Jones, 1992; Williamson, 1985

Salience The degree to which managers give priority to Original-builds on the competing stakeholder claims definition from the

Merriam-Webster Dictionary

stakeholder power is triggered by conditions that are manifest in the other two attributes of the relationship: legitimacy and urgency. That is, power by itself does not guarantee high salience in a stakeholder-manager relationship. Power gains authority through legitimacy, and it gains exercise through urgency.

Legitimacy, like power, is a variable rather than a steady state-a dynamic attribute of the stakeholder-manager relationship. It may be present or absent. If it is present, it is based upon a generalized virtue that is perceived for or attributed to a stakeholder at one or more social levels of analysis. Claimants may or may not correctly perceive the legitimacy of their claims; likewise, managers may have perceptions of stakeholder legitimacy that are at variance with the stakeholder's own perception.


Also, like the power attribute, legitimacy's contribution to stakeholder salience depends upon interaction with the other two attributes: power and urgency. Legitimacy gains rights through power and voice through urgency.

Finally, urgency is not a steady-state attribute but can vary across stakeholder-manager relationships or within a single relationship across time. As is true of power and legitimacy, urgency is a socially constructed perceptual phenomenon and may be perceived correctly or falsely by the stakeholder, the managers, or others in the firm's environment. For example, neighbors of a nuclear power plant that is about to melt down have a serious claim on that plant, but they may not be aware of the time pressure and criticality and, thus, may not act on their claim. Urgency by itself is not sufficient to guarantee high salience in the stakeholder- manager relationship. However, when it is combined with at least one of the other attributes, urgency will change the relationship and cause it to increase in salience to the firm's managers. Specifically, in combination with legitimacy, urgency promotes access to decision-making channels, and in combination with power, it encourages one-sided stakeholder action. In combination with both, urgency triggers reciprocal acknowledgment and action between stakeholders and managers.

These three features of stakeholder attributes-variable status, perceptual quality, and variable consciousness and will-lay the ground- work for a future analysis of the dynamic nature of stakeholder-manager relations. The common "bicycle-wheel" model of a firm's stakeholder environment does not begin to capture the ebb and flow of changes in stakeholder-manager relations or the fact that these relations are multilateral and often coalitional, not bilateral and independent. We explore the dynamic possibilities of the theory of stakeholder salience briefly in the concluding section, but it seems clear that a great deal more paradigm- atic development is now possible because of our ability to recognize theoretically that stakeholder-manager relations are not static but, rather, are in constant flux.

Managers' Role in the Theory

Cyert & March (1963) contributed to the management literature the notion of organizations as coalitions of individuals and organized "sub coalitions" (1963: 27), with "disparate demands, changing foci of attention, and limited ability to attend to all problems simultaneously" (1963: 43), which, under uncertainty, must seek feedback from the environment (1963: 12). Pfeffer & Salancik (1978) picked up the idea of organizations as coalitions of varying interests and contributed the notion that organizations are "other-directed" (1978: 257), being influenced by actors that control critical resources and have the attention of managers (1978: 259-260). In developing their stakeholder-agency model, Hill and Jones (1992) em- ployed the agency theory view of the firm as a nexus of contracts between stakeholders and managers at a central node, where managers


have the responsibility to reconcile divergent interests by making strategic decisions and allocating strategic resources in a manner that is most consistent with the claims of the other stakeholder groups (1992: 134). They write:

Whatever the magnitude of their stake, each stakeholder is a part of the nexus of implicit and explicit contracts that constitutes the firm. However, as a group, managers are unique in this respect because of their position at the centre of the nexus of contracts. Managers are the only group of stakeholders who enter into a contractual relationship with all other stakeholders. Managers are also the only group of stakeholders with direct control over the decision-making apparatus of the firm. (Hill & Jones, 1992: 134; emphasis in original)

The idea that the organization is an environmentally dependent coalition of divergent interests, which depends upon gaining the attention of (making claims upon) managers at the center of the nexus to effect reconciliations among stakeholders, suggests that the perspective of managers might be vital. We propose that, although groups can be identified reliably as stakeholders based on their possession of power, legitimacy, and urgency in relationship to the firm, it is the firm's managers who determine which stakeholders are salient and therefore will receive management attention. In short, one can identify a firm's stakeholders based on attributes, but managers may or may not perceive the stakeholder field correctly. The stakeholders winning management's attention will be only those the managers perceive to be highly salient.2

Therefore, if managers are central to this theory, what role do their own characteristics play? The propositions we present later suggest that the manager's perception of a stakeholder's attributes is critical to the manager's view of stakeholder salience. Therefore, we suggest, although space constraints prohibit systematic development here, that managerial characteristics are a moderator of the relationships presented in this article. For example, managers vary greatly in their environmental scanning practices (Daft, Sormunen, & Parks, 1988) and in their values (Ham- brick & Mason, 1984). Differences in managerial values are illustrative of the moderating effects of management characteristics (Frederick, 1995). Greer and Downey (1982) have found that managers' values relative to social regulation have a strong effect on how they react to stakeholders covered by these statutes. Another value theorists suggest as important in

2 We note, however, that Freeman and Evan view the firm "as a series of multilateral contracts among stakeholders" (1990: 342), with no central role for managers. This implies a network theory solution to the problem of systematic description, in comparison with the cognitive approach that we take. We make no representations about a fully networked, nonnexus approach. We merely suggest the sociology-organization theory approach as a logically developed "sorting system" for improving the descriptive capability of the stakeholder approach.


this relationship is management's sense of self-interest or self-sacrifice. Although some theorists have suggested that all behavior ultimately is self-interested (Dawkins, 1976; Wilson, 1974), several social scientists have questioned the common assumption of self-interest and have suggested that people often act in ways that benefit others, even to their own detriment (see Etzioni, 1988; Granovetter, 1985; Perrow, 1986). Like Perrow (1986) and Brenner and Cochran (1991), we treat managerial characteristics as a variable and suggest that it will be an important moderator of the stakeholder-manager relationship.

STAKEHOLDER CLASSES

Up to this point in the article, we have argued that a definition of "The Principle of Who or What Really Counts" rests upon the assumptions, first, that managers who want to achieve certain ends pay particular kinds of attention to various classes of stakeholders; second, that managers' perceptions dictate stakeholder salience; and third, that the various classes of stakeholders might be identified based upon the possession, or the attributed possession, of one, two, or all three of the attributes: power, legitimacy, and urgency. We now proceed to our analysis of the stakeholder classes that result from the various combinations of these attributes, as shown in Figure 1.

FIGURE 1 Qualitative Classes of Stakeholders

f X X > > Legitimacy

Urgency

8


We first lay out the stakeholder types that emerge from various combinations of the attributes: power, legitimacy, and urgency. Logically and conceptually, seven types are examined-three possessing only one attribute, three possessing two attributes, and one possessing all three attributes. We propose that stakeholders' possession of these attributes, upon further methodological and empirical work, can be measured reliably. This analysis allows and justifies identification of entities that should be considered stakeholders of the firm, and it also constitutes the set from which managers select those entities they perceive as salient. According to this model, then, entities with no power, legitimacy, or urgency in relation to the firm are not stakeholders and will be perceived as having no salience by the firm's managers.

In conjunction with the analysis of stakeholder types, and based on the assumption that managers' perceptions of stakeholders form the crucial variable in determining organizational resource allocation in response to stakeholder claims, we also present several propositions leading to a theory of stakeholder salience.

Therefore:

Proposition 1: Stakeholder salience will be positively related to the cumulative number of stakeholder attributes-power, legitimacy, and urgency-perceived by managers to be present.

The low salience classes (areas 1, 2, and 3), which we term "latent" stakeholders, are identified by their possession or attributed possession of only one of the attributes. The moderately salient stakeholders (areas 4, 5, and 6) are identified by their possession or attributed possession of two of the attributes, and because they are stakeholders who "expect something," we call them "expectant" stakeholders. The combination of all three attributes (including the dynamic relations among them) is the defining feature of highly salient stakeholders (area 7).

In this section we present our analysis of the stakeholder classes that the theory identifies, paying special attention to the managerial implications of the existence of each stakeholder class. We have given each class a descriptive name to facilitate discussion, recognizing that the names are less important than the theoretical types they represent. We invite the indulgence of the reader as we alliterate these descriptive names as a mnemonic device to promote recall and as a further means to suggest a starting point for future dialogue.

As Figure 2 illustrates, latent stakeholders are those possessing only one of the three attributes, and include dormant, discretionary, and demanding stakeholders. Expectant stakeholders are those possessing two attributes, and include dominant, dependent, and dangerous stakeholders. Definitive stakeholders are those possessing all three attributes. Finally, individuals or entities possessing none of the attributes are nonstakeholders or potential stakeholders.


FIGURE 2 Stakeholder Typology:

One, Two, or Three Attributes Present

POWER

/ \ ~~~~~~LEGITIMACY

/Dormant\ Laten StStakeholder 4

/ Dominant\ Sa oer takeholder

behavior and to manag l 7 m Discretionary l trbus aangerous Def init ve go Stakeholder s ttakeholder Saltakeholder s

Depgtaent Stakeholder le

Demanding \ Stakeholder / 8

only on ofthestakeholdeattributes-poNwnsetakrholder

Latent Stakeholders

With limited time, energy, and other resources to track stakeholder behavior and to manage relationships, managers may well do nothing about stakeholders they believe possess only one of the identifying attributes, and managers may not even go so far as to recognize those stakeholders' existence. Similarly, latent stakeholders are not likely to give any attention or acknowledgment to the firm. Hence:

Proposition la: Stakeholder salience will be low where only one of the stakeholder attributes-power, legitimacy, and urgency-is perceived by managers to be present.

In the next few paragraphs we discuss the reasoning behind this expectation as it applies to each class of latent stakeholder, and we also discuss the implications for managers.

Dormant stakeholders. The relevant attribute of a dormant stakeholder is power. Dormant stakeholders possess power to impose their will on a firm, but by not having a legitimate relationship or an urgent claim,


their power remains unused. Examples of dormant stakeholders are plen- tiful. For instance, power is held by those who have a loaded gun (coercive), those who can spend a lot of money (utilitarian), or those who can command the attention of the news media (symbolic). Dormant stakeholders have little or no interaction with the firm. However, because of their potential to acquire a second attribute, management should remain cog- nizant of such stakeholders, for the dynamic nature of the stakeholder- manager relationship suggests that dormant stakeholders will become more salient to managers if they acquire either urgency or legitimacy.

Although difficult, it is oftentimes possible to predict which dormant stakeholders may become salient. For example, while employees who have been fired or laid off from an organization could be considered by the firm to be dormant stakeholders, experience suggests that these stakeholders can seek to exercise their latent power. The multiple shootings at postal facilities by ex-U.S. mail employees (coercive), the filing of wrongful dismissal suits in the court system (utilitarian), and the increase in "speaking out" on talk radio (symbolic) all are evidence of such combinations.

Discretionary stakeholders. Discretionary stakeholders possess the attribute of legitimacy, but they have no power to influence the firm and no urgent claims. Discretionary stakeholders are a particularly interesting group for scholars of corporate social responsibility and performance (see Wood, 1991), for they are most likely to be recipients of what Carroll (1979) calls discretionary corporate social responsibility, which he later redefined as corporate philanthropy (Carroll, 1991). The key point regarding discretionary stakeholders is that, absent power and urgent claims, there is absolutely no pressure on managers to engage in an active relationship with such a stakeholder, although managers can choose to do so.

Not all recipients of corporate philanthropy are discretionary stakeholders-only those with neither power over nor urgent claims on the firm. Examples of discretionary stakeholders include beneficiaries of the Take- A-Taxi program in the Twin Cities, in which the Fingerhut company picks up the tab for anyone who feels they have consumed too much alcohol to drive, and nonprofit organizations, such as schools, soup kitchens, and hospitals, who receive donations and volunteer labor from such companies as Rhino Records, Timberland, Honeywell, JustDesserts, and Levi- Strauss.

Demanding stakeholders. Where the sole relevant attribute of the stakeholder-manager relationship is urgency, the stakeholder is described as "demanding." Demanding stakeholders, those with urgent claims but having neither power nor legitimacy, are the "mosquitoes buzzing in the ears" of managers: irksome but not dangerous, bothersome but not warranting more than passing management attention, if any at all. Where stakeholders are unable or unwilling to acquire either the power or the legitimacy necessary to move their claim into a more salient status, the "noise" of urgency is insufficient to project a stakeholder claim


beyond latency. For example, a lone millenarian picketer who marches outside the headquarters with a sign that says, "The end of the world is coming! Acme chemical is the cause!" might be extremely irritating to Acme's managers, but the claims of the picketer remain largely uncon- sidered.

Expectant Stakeholders

As we consider the potential relationship between managers and the group of stakeholders with two of the three identifying stakeholder attributes, we observe a qualitatively different zone of salience. In analyzing the situations in which any two of the three attributes-power, legitimacy, and urgency-are present, we cannot help but notice the change in momentum that characterizes this condition. Whereas one-attribute low- salience stakeholders are anticipated to have a latent relationship with managers, two-attribute moderate-salience stakeholders are seen as "ex- pecting something," because the combination of two attributes leads the stakeholder to an active versus a passive stance, with a corresponding increase in firm responsiveness to the stakeholder's interests. Thus, the level of engagement between managers and these expectant stakeholders is likely to be higher. Accordingly:

Proposition lb: Stakeholder salience will be moderate where two of the stakeholder attributes-power, legitimacy, and urgency-are perceived by managers to be present.

We describe the three expectant stakeholder classes (dominant, dependent, and dangerous) in the following paragraphs.

Dominant stakeholders. In the situation where stakeholders are both powerful and legitimate, their influence in the firm is assured, since by possessing power with legitimacy, they form the "dominant coalition" in the enterprise (Cyert & March, 1963). We characterize these stakeholders as "dominant," in deference to the legitimate claims they have upon the firm and their ability to act on these claims (rather than as a forecast of their intentions with respect to the firm-they may or may not ever choose to act on their claims). It seems clear to us, at least, that the expectations of any stakeholders perceived by managers to have power and legitimacy will "matter" to managers.

Thus, we might expect that dominant stakeholders will have some formal mechanism in place that acknowledges the importance of their relationship with the firm. For example, corporate boards of directors generally include representatives of owners, significant creditors, and community leaders, and there is normally an investor relations office to handle ongoing relationships with investors. Most corporations have a human resources department that acknowledges the importance of the firm-employee relationship. Public affairs offices are common in firms


that depend on maintaining good relationships with government. In addition, corporations produce reports to legitimate, powerful stakeholders, including annual reports, proxy statements, and, increasingly, environmental and social responsibility reports. Dominant stakeholders, in fact, are those stakeholders that so many scholars are trying to establish as the only stakeholders of the firm. In our typology dominant stakeholders expect and receive much of managers' attention, but they are by no means the full set of stakeholders to whom managers should or do relate.

Dependent stakeholders. We characterize stakeholders who lack power but who have urgent legitimate claims as "dependent," because these stakeholders depend upon others (other stakeholders or the firm's managers) for the power necessary to carry out their will. Because power in this relationship is not reciprocal, its exercise is governed either through the advocacy or guardianship of other stakeholders, or through the guidance of internal management values.

Using the case of the giant oil spill from the Exxon Valdez in Prince William Sound as an example, we can show that several stakeholder groups had urgent and legitimate claims, but they had little or no power to enforce their will in the relationship. To satisfy their claims these stakeholders had to rely on the advocacy of other, powerful stakeholders or on the benevolence and voluntarism of the firm's management. Included in this category were local residents, marine mammals and birds, and even the natural environment itself (Starik, 1993). For the claims of these dependent stakeholders to be satisfied, it was necessary for dominant stakeholders-the Alaska state government and the court system-to provide guardianship of the region's citizens, animals, and ecosystems. Here a dependent stakeholder moved into the most salient stakeholder class by having its urgent claims adopted by dominant stakeholders, illustrating the dynamism that can be modeled effectively using the theory and principles of stakeholder identification and salience suggested here.

Dangerous stakeholders. We suggest that where urgency and power characterize a stakeholder who lacks legitimacy, that stakeholder will be coercive and possibly violent, making the stakeholder "dangerous," liter- ally, to the firm. "Coercion" is suggested as a descriptor because the use of coercive power often accompanies illegitimate status.

Examples of unlawful, yet common, attempts at using coercive means to advance stakeholder claims (which may or may not be legitimate) include wildcat strikes, employee sabotage, and terrorism. For example, in the 1970s General Motors' employees in Lordstown, Ohio, welded pop cans to engine blocks to protest certain company policies. Other examples of stakeholders using coercive tactics include environmentalists spiking trees in areas to be logged and religious or political terrorists using bomb- ings, shootings, or kidnappings to call attention to their claims. The actions of these stakeholders not only are outside the bounds of legitimacy but are dangerous, both to the stakeholder-manager relationship and to the individuals and entities involved.


It is important for us to note that we, along with other responsible individuals, are very uncomfortable with the notion that those whose actions are dangerous, both to stakeholder-manager relationships as well as to life and well-being, might be accorded some measure of legitimacy by virtue of the typology proposed in this analysis. Notwithstanding our discomfort, however, we are even more concerned that failure to identify dangerous stakeholders would result in missed opportunities for mitigating the dangers and in lower levels of preparedness, where no accommodation is possible. Further, to maintain the integrity of our approach to better define stakeholders, we feel bound to "identify" dangerous stakeholders without "acknowledging" them, for, like most of our colleagues, we abhor their practices. We are fully aware that society's "refusal to acknowledge" after identification of a dangerous stakeholder, by coun- teracting terror in all its forms, is an effective counteragent in the battle to maintain civility and civilization. The identification of this class of stakeholder is undertaken with the support of this tactic in mind.

Definitive Stakeholders

Previously, we defined "salience" as the degree to which managers give priority to competing stakeholder claims. Thus:

Proposition lc: Stakeholder salience will be high where all three of the stakeholder attributes-power, legitimacy, and urgency-are perceived by managers to be present.

By definition, a stakeholder exhibiting both power and legitimacy already will be a member of a firm's dominant coalition. When such a stakeholder's claim is urgent, managers have a clear and immediate mandate to attend to and give priority to that stakeholder's claim. The most common occurrence is likely to be the movement of a dominant stakeholder into the "definitive" category.

For example, in 1993 stockholders (dominant stakeholders) of IBM, General Motors, Kodak, Westinghouse, and American Express became active when they felt that their legitimate interests were not being served by the managers of these companies. A sense of urgency was engendered when these powerful, legitimate stakeholders saw their stock values plummet. Because top managers did not respond sufficiently or appropriately to these definitive stakeholders, they were removed, thus dem- onstrating in a general way the importance of an accurate perception of power, legitimacy, and urgency; the necessity of acknowledgment and action that salience implies; and, more specifically, the consequences of the misperception of or inattention to the claims of definitive stakeholders.

Any expectant stakeholder can become a definitive stakeholder by acquiring the missing attribute. As we saw earlier, dependent Alaskan citizens became definitive stakeholders of Exxon by acquiring a powerful


ally in government. Likewise, the "dangerous" African National Congress became a definitive stakeholder of South African companies when it acquired legitimacy by winning free national elections.

RESEARCH AND MANAGEMENT CONSEQUENCES OF A DYNAMIC THEORY OF STAKEHOLDER IDENTIFICATION

In our analysis we have proposed that stakeholders possess some combination of three critical attributes: power, legitimacy, and urgency. We predict that the salience of a particular stakeholder to the firm's management is low if only one attribute is present, moderate if two attributes are present, and high if all three attributes are present.

Dynamism in Stakeholder-Manager Relations

As our earlier discussion demonstrates, latent stakeholders can increase their salience to managers and move into the "expectant stakeholder" category by acquiring just one of the missing attributes. If the stakeholder is particularly clever, for example, at coalition building, political action, or social construction of reality, that stakeholder can move into the "definitive stakeholder" category (characterized by high salience to managers), starting from any position-latent, expectant, or potential.

Static maps of a firm's stakeholder environment are heuristically useful if the intent is to raise consciousness about "Who or What Really Counts" to managers or to specify the stakeholder configuration at a particular time point. But even though most theorists might try for static clarity, managers should never forget that stakeholders change in salience, requiring different degrees and types of attention depending on their attributed possession of power, legitimacy, and/or urgency, and that levels of these attributes (and thereby salience) can vary from issue to issue and from time to time.

We can observe an example of stakeholder dynamism in recent events in South Africa. The African National Congress (ANC) began as a group with an urgent claim but not a legitimate one, given the ruling South African culture and government, and it had no power. At first it was a latent, demanding stakeholder. The ANC next moved into the "dangerous category" by using coercive power. However, this did not lead to definitive status. It was only by acquiring legitimacy while relinquishing the use of coercive power, and thus becoming a dependent stakeholder, that the ANC was able to achieve definitive status, high salience, and eventual success.

Thus, when the ANC moved its urgent claim into the world environment, the claim's legitimacy was established, and the ANC, as well as the South Africans it represented, became an expectant, dependent stakeholder of the multinational enterprises (MNEs) located in South Africa. As a dependent stakeholder, the ANC was able to acquire the protection, advocacy, and guardianship of more salient stakeholders (especially


investors). With the powerful advocacy of these stakeholders, the ANC moved into the "definitive" zone of the stakeholder attribute model for South African MNEs. In fact, it is now widely acknowledged that the worldwide divestment/disinvestment movement, led by MNE stockholders, was a major force in the transformation of the South African system of government and the rise to political power of the ANC (e.g., see Paul, 1992).

Another example of dynamism in stakeholder attributes is offered by Ndsi, Ndsi, and Savage (1994). This case, involving a business owner, workers, and the courts, illustrates how a dependent stakeholder worker group (one with a legitimate and urgent claim) can increase its salience to a firm's managers by aligning itself with other stakeholders (in this case, a union and the courts) who have the power to impose their will upon a stubborn business owner.

Thus, using our identification typology, we are able to explain stakeholder salience and dynamism systematically. This new capability has implications for management, research, and for the future of the stakeholder framework.

Implications for Management, Research, and Future Directions

On the basis of the model we develop in this article, we can envision refinements in long-standing management techniques designed to assist managers in dealing with multiple stakeholders' interests. Presently, management techniques based on the stakeholder heuristic are being utilized to help managers deal effectively with multiple stakeholder relationships. Current methods include identification of stakeholder roles (e.g., employees, owners, communities, suppliers, and customers), analysis of stakeholder interests, and evaluation of the type and level of stakeholder power (e.g., see current textbooks by Carroll, 1993; Frederick, Post, Lawrence, & Weber, 1996; and Wood, 1994).

The approach introduced in this paper has the potential to improve upon current practice. To current techniques that emphasize power and interests, the model we suggest adds the vital dimensions of legitimacy and urgency. Further, this model enables a more systematic sorting by managers of stakeholder-manager relationships as these relationships attain and relinquish salience in the dynamics of ongoing business. In addition, our three-attribute model permits managers to map the legitimacy of stakeholders and therefore to become sensitized to the moral implications of their actions with respect to each stakeholder. In this sense, our model supports and initiates normative thought in the managerial context. Thus, these refinements contribute to the potential effectiveness of managers as they deal with multiple stakeholder interests. And, as these refinements find their way into accepted practice, we can further envision subsequent rounds of inquiry, which test whether "new maps" result in "new methods."

Stakeholder theory, we believe, holds the key to more effective management and to a more useful, comprehensive theory of the firm in society.


Focusing attention on salience in the manager-stakeholder relationships existing in a firm's environment appears to be a productive strategy for researchers and managers alike in realizing these aspirations. The stakeholder identification typology we have developed here is amenable to empirical operationalization and to the generation of testable hypotheses concerning, for example, predictions about the circumstances under which a stakeholder in one category might attempt to acquire a missing attribute and thus enhance its salience to a firm's managers. We have not developed such operational definitions and hypotheses here, for lack of space, but we believe that such development is the next logical step in articulating completely "The Principle of Who or What Really Counts."

Specifically, we call for empirical research that answers these questions: Are present descriptions of stakeholder attributes adequate? Do the inferences we make herein hold when examining real stakeholder- manager relationships? Are there models of interrelationships among the variables identified here (and possible others) that reveal more subtle, but perhaps more basic, systematics? We realize that for these and other such questions to be addressed, item and scale development, demographic calibration, and second-order model building, among other things, are necessary.

In the process we hope that additional clarity can be achieved at the conceptual level as well. We ask, what are the implications of this model and its subsequent tests for additional research on power, legitimacy, and urgency? More importantly, are power, legitimacy, and urgency really the correct and parsimonious set of variables in understanding stakeholder- manager relationships? We acknowledge that despite their level of emphasis in the second Toronto conference, and despite our logical and theoretical justification of their importance in developing a more inferen- tial and empirically based stakeholder theory, other stakeholder attributes also may be well suited to stakeholder analysis-and we call for the critical evaluation of our choices.

Finally, in attempting to build momentum in the development of stakeholder theory, we are acutely aware that we have necessarily made sweeping assumptions that, for the sake of clarity in a preliminary ar- ticulation, are passed over, with the implicit understanding that for the theory to hold, these must be revisited and assessed. For example, we assume and argue that power and legitimacy are distinct attributes. But some might cast one as a subset of the other. To build our identification typology, we treat each attribute as "present or absent," when it is clear that each operates on a continuum or series of continua. Each of these issues, and others like them, point toward additional inquiry that can enrich the theory and add to its usefulness.

Conclusion: The Search for Legitimacy in Stakeholder Theory

Many stakeholder scholars, in attempting to narrow the range of "Who or What Really Counts" in a firm's stakeholder environment, are


searching for the bases of legitimacy in stakeholder-manager relationships. When scholars such as Freeman, Clarkson, Donaldson, Preston, and Dunfee argue that stakeholder theory must articulate a "normative core," they are looking for a compelling reason why some claims and some relationships are legitimate and worthy of management attention and why others are not. They discount the importance of power in stakeholder-manager relations, arguing that the important thing is whether the stakeholder has legitimate (e.g., moral, legal, and property-based) claims.

The theory of stakeholder identification and salience developed in this article in no way discredits this search for a legitimate normative core for stakeholder theory. It makes sense to articulate theoretically why certain groups will hold legitimate, possibly stable claims on managers and firm; these are the stakeholders who should really count. Our aim, however, is to expand scholarly and management understanding beyond legitimacy to incorporate stakeholder power and urgency of a claim, because these attributes of entities in a firm's environment-and their dynamism over periods of time or variation in issues-will make a critical difference in managers' ability to meet legitimate claims and protect legitimate interests. We offer this preliminary theory as a way of understanding which stakeholders do really count.

In 1978 William C. Frederick (in a paper subsequently published in 1994) observed that business and society scholarship was in a transition from a moral focus on social responsibility (CSR1) to an amoral focus on social responsiveness (CSR2). When stakeholder theory focuses only on issues of legitimacy, it acquires the fuzzy moral flavor of CSR1. Focusing only on stakeholder power, however, as several major organizational theories would lead us to do, yields the amorality and self-interested action focus of CSR2. Instead, we propose a merger.

In sum, we argue that stakeholder theory must account for power and urgency as well as legitimacy, no matter how distasteful or unsettling the results. Managers must know about entities in their environment that hold power and have the intent to impose their will upon the firm. Power and urgency must be attended to if managers are to serve the legal and moral interests of legitimate stakeholders.

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Kreiner, P., & Bhambri, A. 1988. Influence and information in organization-stakeholder relationships. Academy of Management Best Paper Proceedings: 319-323. Anaheim, CA.

Langtry, B. 1994. Stakeholders and the moral responsibilities of business. Business Ethics Quarterly, 4: 431-443.

Meyer, J. W., & Rowan, B. 1977. Institutional organizations: Formal structures as myth and ceremony. American Journal of Sociology, 80: 340-363.


Ndsi, J. 1995. What is stakeholder thinking? A snapshot of a social theory of the firm. In J. Ndsi (Ed.), Understanding stakeholder thinking: 19-32. Helsinki: LSR-Julkaisut Oy.

Ndsi, J., Ndsi, S., & Savage, G. T. 1994. A stubborn entrepreneur under pressure of a union and the courts: An analysis of stakeholder strategies in a conflict process. In S. Wartick & D. Collins (Eds.), Proceedings of the Fifth Annual Meeting of the International Association for Business and Society: 228-234. Hilton Head, SC.

Parsons, T. 1960. Structure and process in modern societies. New York: Free Press.

Paul, K. 1992. The impact of U.S. sanctions on Japanese business in South Africa: Further developments in the internationalization of social activism. Business & Society, 31: 51-58.

Perrow, C. 1986. Complex organizations: A critical essay. New York: Random House.

Pfeffer, J. 1981. Power in organizations. Marshfield, MA: Pitman.

Pfeffer, J., & Salancik, G. 1978. The external control of organizations: A resource dependence perspective. New York: Harper & Row.

Rhenman, E. 1964. Foeretagsdemokrati och foeretagsorganisation. Stockholm: Thule.

Ring, P. S. 1994. Fragile and resilient trust and their roles in cooperative interorganizational relationships. In J. Pasquero & D. Collins (Eds.), Proceedings of the Fourth Annual Meet- ing of the International Association for Business and Society: 107-113. San Diego.

Salancik, G. R., & Pfeffer, J. 1974. The bases and use of power in organizational decision- making: The case of universities. Administrative Science Quarterly, 19: 453-473.

Savage, G. T., Nix, T. H., Whitehead, C. J., & Blair, J. D. 1991. Strategies for assessing and managing organizational stakeholders. Academy of Management Executive, 5: 61-75.

Scott, W. R. 1987. Organizations: Rational, natural, and open systems. Englewood Cliffs, NJ: Prentice-Hall.

Starik, M. 1993. Is the environment an organizational stakeholder? Naturally! In J. Pasquero & D. Collins (Eds.), Proceedings of the Fourth Annual Meeting of the International As- sociation for Business and Society: 466-471. San Diego.

Starik, M. 1994. Essay by Mark Starik. Pp. 89-95 of The Toronto conference: Reflections on stakeholder theory. Business & Society, 33: 82-131.

Suchman, M. C. 1995. Managing legitimacy: Strategic and institutional approaches. Acad- emy of Management Review, 20: 571-610.

Thompson, J. K., Wartick, S. L., & Smith, H. L. 1991. Integrating corporate social performance and stakeholder management: Implications for a research agenda in small business. Research in Corporate Social Performance and Policy, 12: 207-230.

Wartick, S. L., & Mahon, J. M. 1994. Toward a substantive definition of the corporate issue construct: A review and synthesis of the literature. Business & Society, 33: 293-311.

Weber, M. 1947. The theory of social and economic organization. New York: Free Press.

Wicks, A. C., Gilbert, D. R., Jr., & Freeman, R. E. 1994. A feminist reinterpretation of the stakeholder concept. Business Ethics Quarterly, 4(4): 475-497.

Williamson, 1975. Markets and hierarchies. New York: Free Press.

Williamson, 1985. The economic institutions of capitalism. New York: Free Press.

Wilson, E. 0. 1974. Ecology, evolution and population biology, readings from Scientific American. San Francisco: W. H. Freeman.

Windsor, D. 1992. Stakeholder management in multinational enterprises. In S. N. Brenner & S. A. Waddock (Eds.), Proceedings of the Third Annual Meeting of the International As- sociation for Business and Society: 121-128. Leuven, Belgium.

Wood, D. J. 1991. Corporate social performance revisited. Academy of Management Review 16: 691-718.

Wood, D. J. 1994. Business and Society (2nd ed.). New York: HarperCollins.


Ronald K. Mitchell is an assistant professor in the Faculty of Business at the University of Victoria. He received his Ph.D. from the University of Utah. His research interests focus on entrepreneurship-specifically, the study of expert information processing theory, strategic management, and stakeholder theory as they apply to entrepreneurs, ventures, and the venturing environment.

Bradley R. Agle is an assistant professor of management at the Katz Graduate School of Business, University of Pittsburgh. He received his Ph.D. from the Univer- sity of Washington. His research interests include strategic leadership, with particular emphasis on its ethical dimension, moral development, stakeholder theory, and corporate social performance.

Donna J. Wood is a professor of business administration at the Katz Graduate School of Business, University of Pittsburgh. She is a founder and rising president of the International Association for Business and Society (IABS) and has served as Chair of the Social Issues in Management Division of the Academy of Management. Cur- rently, she is Editor of the IABS journal, Business & Society. Her research interests focus on corporate social performance and stakeholder theory, international business and society, collaborative social problem solving, business ethics, and business-government relations.

Lecture 08

Engr. Tufail Ali Zubedi

• Class Activity Report ??

– Jai / Saleha – Evening Group/ Rabab / Shahreyar

• Guidelines for the Preparation and Review of Environmental Reports

• Quiz 02 next class lectures 5,6,7,8

• Handout for next class

• How class tasks will be evaluated?

• Two Parameters

– Timely Completion

– Completeness

• Percentage => 10 report / 10 presentation

Guidelines for the Preparation and Review of Environmental Reports


1

1. INTRODUCTION

3

1.1 Context

This guideline is part of a package of regulations and guidelines which include: • The Pakistan Environmental Protection Ordinance 1997 • Policy and Procedures for filing, review and approval of environmental

assessments • Guidelines for the preparation and review of Environmental Reports • Guidelines for public participation • Guidelines for sensitive and critical areas • Pakistan environmental legislation and the National Environmental Quality

Standards (NEQS) • Detailed sectoral guidelines This guideline should not be read on its own, but in the context of the overall

package.

4

1.1 Context

• The reader will be aware that few Environmental

Reports meet the high standards described in this guideline, which presents a picture of "an ideal Environmental Report".

• In practice Environmental Reports will fall short of this ideal. Nevertheless, it is important to clearly set out what is desired, so that the quality and standard of Environmental Reports in Pakistan improves over time.

5

1.2 Scope

• The scope of this guideline is confined to those aspects of environmental report preparation and review which are of a general nature.

• Sector specific provisions are not included, nor is the subject of public consultation, which is dealt with separately.

6

1.2 Scope

• Although the Initial Environmental Examination is detailed early in the Guideline (Section 2), the material in all the other Sections applies to both IEE’s and to EIA’s.

• For example, the discussion of mitigation and impact management in Section 4 will apply to those few impacts described in an IEE, as well as the more significant impacts which may be described in an EIA.

7

1.4 Making environmental assessment credible and fair

• No matter who prepares the Environmental report, some bias will exist. And bias is not restricted to proponents, nor to Agencies and Departments, but will be present in every NGO or community member who contributes or comments on an Environmental Report.

• Full public involvement provides a counterbalance to bias, and some further measures will also assist in making the environmental assessment process transparent, accessible and accountable to the public.

11


These measures include:

• a requirement for the proponent to register all consultants’ names and their terms of reference with the Responsible Authority;

• the listing of all consultants, their expertise and responsibilities in the environmental report;

• publishing the terms of reference in the environmental report;

• making all environmental reports available to the public;

• publishing lists of decisions–including the requirement for an EIA and the final outcome of environmental approval–along with the public availability of any recommendations for mitigation and impact management plans.

12


• Where a proponent is concerned to ensure that confidential information, such as the details of a new manufacturing process, is not made available to competitors, such information need not be detailed in the Environmental Report, but made available to the Responsible Authority on a confidential basis.

13

2. COMMENCING ENVIRONMENTAL ASSESSMENT

19

2.1 The purpose of the IEE

• An IEE is required for projects in Schedule B of the "Policy and Procedures for the filing, review and approval of environmental assessments". The Pakistan Environmental Protection Ordinance 1997 gives the following definition: "initial environmental examination" means a preliminary environmental review of the reasonably foreseeable qualitative and quantitative impacts on the environment of a proposed project to determine whether it s likely to cause an adverse environmental effect for requiring preparation of an environmental impact assessment."

20


• An IEE is a relatively simple document, which systematically considers all the likely impacts arising from a proposal, identifies which impacts need further consideration, and for those impacts provides mitigation measures which reduce the impacts to an acceptable level.

• Where the IEE reveals more significant impacts, the Responsible Authority, in conjunction with the EPA, will determine the need for an EIA.

21


• In such circumstances, the Responsible Authority shall provide, in writing, the reasons why an EIA is required (e.g. the number and magnitude of impacts, the sensitivity of the proposed site, the level of community concern).

• The IEE will not usually require public advertisement and comment, but it remains a publicly accessible document, available to any person who wishes to inspect it at the offices of the Responsible Authority.

22


• The IEE process is also to be followed for projects requiring EIA. Here, the IEE process of systematically considering all the likely impacts is used as a means of early identification of issues in order to prepare Terms of Reference for the EIA.

• In such cases, the formal documentation of the IEE Report is not undertaken, but replaced by the EIA preparation and reporting.

23


• It is important not only to cover the environmental issues known at the inception of the study, but also to allow the breadth and flexibility so that new issues can be identified and, if significant, be addressed.

• However it is also important to frame the investigation so that time and resources are concentrated in areas where potential impacts are likely to be found.

• The work must be focused on the issues which are critical to decisions about whether the project should proceed, and under what conditions.

24

2.2 Steps in the IEE Preparation

• At the earliest possible time, proponents should consult with the Responsible Authority to confirm the categorization of the project, and to ensure that they are aware of the procedures that apply.

• Proponents may have already engaged consultants at this time, and should be aware that the proper specification of the consultant’s task will only become clear as the work on the IEE and other scoping activity is undertaken.

• Proponents and their consultants will visit the site, talk with local people about their values and the proposal, collect available data, and consult with other Departments and Agencies.

25


• The degree of effort expended in these and subsequent steps needs to be matched to the likely impacts of the proposal, the scale of the development, the sensitivity of the site, and the level of concerns held by the community.

• The information provided in Guideline on "Assessing Impacts", "Mitigation and Impact Management" and indeed all the other Sections, apply equally to projects subject to IEE or EIA.

26


• Environmental assessment is most effective when even preliminary findings are made available early in the preparation process.

• At that time, alternatives which might be desirable from an environmental viewpoint can be considered realistically, and implementation and operating plans can be designed to respond to critical environmental issues in a cost-effective manner.

27


• Later on, making a major design change or selecting an alternative proposal—or deciding not to proceed at all with a project—becomes very expensive. Even more costly are delays in implementation of a project because of environmental issues which were not considered during design. Consequently, integration between environmental assessment and feasibility studies is essential.

• The environmental assessment team should provide for frequent coordination meetings with the feasibility study team to exchange information.

28

2.3 Format of the IEE

29

(A) Executive summary

• Provide an executive summary where the IEE is more than 30 pages long.

30

(B) Introduction

This section should include the following: • Purpose of the report, including identification of

the project and the Proponent (including a contact person, and details of any Consultant associated with the IEE preparation), a brief description of the nature, size, and location of the project, and other pertinent background information.

• Extent of the IEE study, scope of the study, magnitude of effort, persons performing the study

31

(C) Description of project

Furnish sufficient details to give a brief but clear picture of the following (include only applicable items):

• Type and category of project. • Objectives of project. • Alternatives considered, and reasons for their rejection. • Location (use maps and photographs showing general

location, specific location, and project site layout. Include land uses on the site and surroundings, details of population centers and nearby dwellings, road access, topographic and vegetation features of the site, and other sensitive land uses such as national parks, wild life reserves or archaeological sites.)

32

(C) Description of project

• Size or magnitude of the operation, including capital cost, and associated activities.

• Proposed schedule for implementation. • Description of the project, including drawings showing

project layout, components of the project, etc. This information should be of the same extent as is included in feasibility reports, in order to give a clear picture of the project, its context and its operations.

• Details of restoration and rehabilitation plans at the end of the project life.

• Government approvals and leases required by the project.

33

(D) Description of environment (in area affected by project)

• Furnish sufficient information to give a brief but clear picture of the existing environmental resources including the following (to the extent practicable, including photographs where relevant):

• Physical resources – topography, soils, climate, surface water, groundwater,

geology/seismology;

• Ecological resources – fisheries, aquatic biology, wildlife, forests, rare or

endangered species;

34


• Human and Economic Development where applicable including, but not limited to: – population and communities—numbers, locations (summarise

information in map form), composition, employment – industries, including known major development proposals – infrastructure—including water supply, sewerage, flood

control/drainage, etc. – Institutions – transportation—roads, rail, harbours, airports, navigable rivers – land use planning—including dedicated use areas – power sources and transmission; – agricultural and mineral development.

35


• Quality of life values (including, but not limited to):

– socioeconomic values

– public health

– recreational resources and development

– aesthetic values

– archaeological or historic treasures

– cultural values

36

(E ) Screening of potential environmental impacts and mitigation

measures • Using the Sectoral guidelines, which contain a checklist of

environmental parameters for different sectors, screen out "no significant impacts" from those with significant adverse impact by reviewing each relevant parameter according to the following factors or operational stages. Mitigation measures, where appropriate, should also be recommended: – environmental problems due to project location; – environmental problems related to design; – environmental problems associated with the construction stage; – environmental problems resulting from project operations; – potential environmental enhancement measures; and – additional considerations.

37

(F) Environmental monitoring program and institutional

requirement • This section of the report must describe the

management plan and monitoring surveillance programs, including periodic progress reports to be established and continued by the proponent following granting of Environmental Approval.

• The Responsible Authority must be assured that all necessary environmental protection measures are carried out in future as planned.

• The program must be accompanied by the details of the institutional capacity of the proponent, including staff training and equipment which will be provided to ensure implementation and operations.

38

(G) Conclusions

• This section should include an evaluation of the screening process and should highlight whether significant environmental impacts exist which need further detailed study or an EIA.

• The IEE report should present the conclusions of the study briefly and concisely.

39

2.6 Generating alternatives

56


• A rigorous approach to the generation of alternatives is more commonly associated with proposals from the public sector, where the allocation of public funds and priorities is recognised as a legitimate public interest.

• Private sector proposals have not generally had the same attention paid to the matter of alternatives, since there has been the perception that the choice of project is a matter for the developer who is putting up the money.

• The considerations of alternatives will assume increasing importance, for both public and private sector projects, as sectoral policies are established, along with the implementation of policies for sustainability, strategic and cumulative impacts.

57


• Alternatives are generated and examined to determine the best method of achieving project objectives, while minimising environmental impacts. They can be grouped under such headings as: – Demand Alternatives (eg using energy more

efficiently rather than building more generating capacity);

– Activity Alternatives (eg providing public transport rather than increasing road capacity);

58


– Locational Alternatives, either for the entire proposal or for components (eg the location of a processing plant for a mine);

– Process Alternatives (eg the re-use of process water in an industrial plant, waste-minimising or energy efficient technology, different mining methods);

– Scheduling Alternatives (where a number of measures might play a part in an overall program, but the order they are scheduled will contribute to the effectiveness of the end result); and

– Input Alternatives (eg raw materials, energy sources–such as replacing high sulphur oil with low sulphur oil).

59


• The ‘no build’ alternative is often used as a base case against which to measure the relative performance of other alternatives.

• In this case the relative impacts of the other alternatives are expressed as changes to the base case.

• If, overall, all the alternatives were judged to have unacceptable performance, the decision might be to adopt none of them, and stay with the status quo–the ‘no build’.

• Alternatively a base case might be taken forward in its own right for evaluation against defined objectives.

60


• Not all alternatives will be investigated in the same level of detail.

• It is quite common to undertake a preliminary analysis of a wide set of alternatives to decide which ones should be taken forward for further consideration, and which ones should be discarded.

• In many EIA’s, the favoured alternative will be the only one examined in detail. It is not uncommon, however, for two or three alternatives to be examined and reported at the same level of detail.

61

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1

Guidelines for the Preparation and Review of Environmental Reports


1

1. INTRODUCTION

2

1.1 Context

This guideline is part of a package of regulations and guidelines which include:

• The Pakistan Environmental Protection Ordinance 1997• Policy and Procedures for filing, review and approval of environmental

assessments• Guidelines for the preparation and review of Environmental Reports• Guidelines for public participation• Guidelines for sensitive and critical areas• Pakistan environmental legislation and the National Environmental Quality

Standards (NEQS)• Detailed sectoral guidelines

This guideline should not be read on its own, but in the context of the overall package.

3

1.1 Context

• The reader will be aware that few Environmental• The reader will be aware that few Environmental Reports meet the high standards described in this guideline, which presents a picture of "an ideal Environmental Report".

• In practice Environmental Reports will fall short f thi id l N th l it i i t t tof this ideal. Nevertheless, it is important to

clearly set out what is desired, so that the quality and standard of Environmental Reports in Pakistan improves over time.

4

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2

1.2 Scope

• The scope of this guideline is confined to those t f i t l t tiaspects of environmental report preparation

and review which are of a general nature.

• Sector specific provisions are not included, nor is the subject of public consultation which isis the subject of public consultation, which is dealt with separately.

5

1.2 Scope

• Although the Initial Environmental Examination is detailed early in the Guideline (Section 2) thedetailed early in the Guideline (Section 2), the material in all the other Sections applies to both IEE’s and to EIA’s.

• For example, the discussion of mitigation and impact management in Section 4 will apply toimpact management in Section 4 will apply to those few impacts described in an IEE, as well as the more significant impacts which may be described in an EIA.

6

1.3 Integrated environmental assessment

• There is a growing awareness that the environmental impacts of a proposal cannot be considered in isolation.

• When significant impacts are identified in a proposal, a range of questions arise as to the best way to minimise the adverse effects—– can the project objectives be achieved in a different way, – should an alternative site be chosen, – is the technology appropriate, – and are prudent mitigating measures incorporated? h i ll b d h l f h i l• These questions go well beyond the role of the environmental assessment team, if they have no responsibility for technical, financial and economic aspects of the feasibility study.

7


• It is essential that there is close cooperation between those undertaking environmental assessment andthose undertaking environmental assessment, and those undertaking the other aspects of prefeasibility and feasibility studies.

• This cooperation must occur throughout the various stages of the project cycle, and not be confined to thestages of the project cycle, and not be confined to the mere bringing together of the various strands at the project approval stage.

8

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• The cooperation needs to be continuous, to allow for continuous project modification in response tocontinuous project modification in response to environmental issues, and to ensure that the environmental assessment continues to proceed on the basis of the emerging design concept for the project.

• In many cases, the cooperation will be facilitated when the various components of the feasibility study arethe various components of the feasibility study are undertaken in an integrated manner. Where this is not possible, then the activities should proceed in parallel.

9


• No matter who prepares the Environmental report, some bias will exist. And bias is not restricted tosome bias will exist. And bias is not restricted to proponents, nor to Agencies and Departments, but will be present in every NGO or community member who contributes or comments on an Environmental Report.

• Full public involvement provides a counterbalance to bias and some further measures will also assist inbias, and some further measures will also assist in making the environmental assessment process transparent, accessible and accountable to the public.

10


These measures include:

• a requirement for the proponent to register all consultants’ names and their terms of reference with the Responsible Authority;

• the listing of all consultants, their expertise and responsibilities in the environmental report;

• publishing the terms of reference in the environmental report;• making all environmental reports available to the public;making all environmental reports available to the public;• publishing lists of decisions–including the requirement for an EIA

and the final outcome of environmental approval–along with the public availability of any recommendations for mitigation and impact management plans.

11


• Where a proponent is concerned to ensure th t fid ti l i f ti h ththat confidential information, such as the details of a new manufacturing process, is not made available to competitors, such information need not be detailed in the Environmental Report, but made available to the Responsible Authority on a confidential basis.

12

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4

1.5 Relationship between environmental assessment and good

design• Good design practice will include careful consideration of

environmental issues. It may be asked why environmental y yassessment is necessary beyond good design.

• Experience in both industrialised and developing countries shows that there are two systematic difficulties in ensuring good design practice.

• The first of these lies in the lack of interest, and consideration during the planning and design process, shown by many project proponents in the possible effect of proposals on environmental resources.

• The second results from differences in design assumptions on impacts, and the actual outcomes when the project goes into operation. Environmental assessment should address both these difficulties.

13

1.6 Inter‐agency coordination

• Inter‐agency coordination is crucial to effective environmental assessment because environmentalenvironmental assessment because environmental issues, in their complexity and variety, are often intersectoral and regional.

• Those preparing Environmental Reports need to be aware of the policies, information sets, and requirements of key Federal and Provincial agencies.

• The range of agencies which need to be involved• The range of agencies which need to be involved clearly relates to the scale and magnitude of the proposal, and its likely resource requirements and impacts.

14

1.6 Inter‐agency coordination• Inter‐agency coordination is best achieved through inter‐agency meetings at key points in the environmental assessment process. A meeting at the time of scoping is vitally important:

• to inform all interested parties about the project and the intention to prepare an Environmental Report;

• to seek their views throughout the process;• to identify issues;• to discuss any special type of analysis required and data sources; and

• to draft Terms of Reference for an EIA.

15

1.7 Early consideration of strategic context

• The objectives of a proposal should always be clearly established at the beginning, along with the project relationship to broader

i l d l C id i h i istrategic plans and goals. Considering the strategic context is essential when selecting options for the proposal.

• Strategic mechanisms such as policies and plans which illustrate how the proposal has been developed, should be discussed in the Environmental Report so that the information is available and relevant. A i ti l t l ti t t i i t l• Any existing relevant cumulative or strategic environmental studies should be considered when formulating a proposal.

• Existing air and water studies, state of the environment reports and local and regional studies should be taken into consideration as applicable.

16

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5

1.7 Early consideration of strategic context

• All feasible alternatives that could satisfy the objectives of the proposal should be considered.

• When weighing up options, the biophysical, economic and social costs and benefits throughout the whole life cycle of the proposal should be considered.

• The ‘do‐nothing’ option should also be included in these considerations.

• Careful option selection can lower community concerns and reduce potential costs of mitigation and management p g grequired to control environmental impacts.

• Early adoption of sustainable development strategies can reduce possible conflicts, and additional costs and delays at later stages of the approval process.

17

2. COMMENCING ENVIRONMENTAL ASSESSMENT

18


• An IEE is required for projects in Schedule B of the "Policy and Procedures for the filing, review andPolicy and Procedures for the filing, review and approval of environmental assessments". The Pakistan Environmental Protection Ordinance 1997 gives the following definition: "initial environmental examination" means a preliminary environmental review of the reasonably foreseeable qualitative and quantitative impacts on the environment of a proposed q p p pproject to determine whether it s likely to cause an adverse environmental effect for requiring preparation of an environmental impact assessment."

19


• An IEE is a relatively simple document, which systematically considers all the likely impactssystematically considers all the likely impacts arising from a proposal, identifies which impacts need further consideration, and for those impacts provides mitigation measures which reduce the impacts to an acceptable level.

• Where the IEE reveals more significant impacts, the Responsible Authority, in conjunction with the EPA, will determine the need for an EIA.

20

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6


• In such circumstances, the Responsible Authority shall provide in writing the reasons why an EIA isshall provide, in writing, the reasons why an EIA is required (e.g. the number and magnitude of impacts, the sensitivity of the proposed site, the level of community concern).

• The IEE will not usually require public advertisement and comment, but it remains a ,publicly accessible document, available to any person who wishes to inspect it at the offices of the Responsible Authority.

21


• The IEE process is also to be followed for projects requiring EIA Here the IEE process ofprojects requiring EIA. Here, the IEE process of systematically considering all the likely impacts is used as a means of early identification of issues in order to prepare Terms of Reference for the EIA.

• In such cases the formal documentation of• In such cases, the formal documentation of the IEE Report is not undertaken, but replaced by the EIA preparation and reporting.

22


• It is important not only to cover the environmental issues known at the inception of the study, but also toissues known at the inception of the study, but also to allow the breadth and flexibility so that new issues can be identified and, if significant, be addressed.

• However it is also important to frame the investigation so that time and resources are concentrated in areas where potential impacts are likely to be found.

• The work must be focused on the issues which are• The work must be focused on the issues which are critical to decisions about whether the project should proceed, and under what conditions.

23

2.2 Steps in the IEE Preparation• At the earliest possible time, proponents should consult

with the Responsible Authority to confirm the i i f h j d h hcategorization of the project, and to ensure that they are

aware of the procedures that apply. • Proponents may have already engaged consultants at this

time, and should be aware that the proper specification of the consultant’s task will only become clear as the work on the IEE and other scoping activity is undertaken.

• Proponents and their consultants will visit the site, talk with l l l b h i l d h l lllocal people about their values and the proposal, collect available data, and consult with other Departments and Agencies.

24

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7


• The degree of effort expended in these and subsequent steps needs to be matched to thesubsequent steps needs to be matched to the likely impacts of the proposal, the scale of the development, the sensitivity of the site, and the level of concerns held by the community.

• The information provided in Guideline on "Assessing Impacts", "Mitigation and Impact Management" and indeed all the other Sections, apply equally to projects subject to IEE or EIA.

25


• Environmental assessment is most effective when even preliminary findings are madewhen even preliminary findings are made available early in the preparation process.

• At that time, alternatives which might be desirable from an environmental viewpoint can be considered realistically, and implementation and operating plans can beimplementation and operating plans can be designed to respond to critical environmental issues in a cost‐effective manner.

26


• Later on, making a major design change or selecting an alternative proposal—or deciding not to proceed at allalternative proposal or deciding not to proceed at all with a project—becomes very expensive. Even more costly are delays in implementation of a project because of environmental issues which were not considered during design. Consequently, integration between environmental assessment and feasibility studies is essential.

• The environmental assessment team should provide for frequent coordination meetings with the feasibility study team to exchange information.

27

2.3 Format of the IEE / EIA

28

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8

(A) Executive summary

• Provide an executive summary where the IEE i th 30 lis more than 30 pages long.

29

(B) Introduction

This section should include the following:• Purpose of the report including identification of• Purpose of the report, including identification of the project and the Proponent (including a contact person, and details of any Consultant associated with the IEE preparation), a brief description of the nature, size, and location of the project, and other pertinent background information.information.

• Extent of the IEE study, scope of the study, magnitude of effort, persons performing the study

30

(C) Description of projectFurnish sufficient details to give a brief but clear picture of the

following (include only applicable items):• Type and category of project.• Objectives of project.• Alternatives considered, and reasons for their rejection.• Location (use maps and photographs showing general

location, specific location, and project site layout. Include land uses on the site and surroundings, details of population centers and nearby dwellings road accesspopulation centers and nearby dwellings, road access, topographic and vegetation features of the site, and other sensitive land uses such as national parks, wild life reserves or archaeological sites.)

31

(C) Description of project• Size or magnitude of the operation, including capital cost, and associated activities.

• Proposed schedule for implementation.• Description of the project, including drawings showing project layout, components of the project, etc. This information should be of the same extent as is included in feasibility reports, in order to give a clear picture of the project, its context and its operations.D il f i d h bili i l h• Details of restoration and rehabilitation plans at the end of the project life.

• Government approvals and leases required by the project.

32

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• Furnish sufficient information to give a brief but clear picture of the existing environmentalclear picture of the existing environmental resources including the following (to the extent practicable, including photographs where relevant):

• Physical resources – topography, soils, climate, surface water, groundwater, geology/seismology;geo ogy/se s o ogy;

• Ecological resources – fisheries, aquatic biology, wildlife, forests, rare or endangered species;

33


• Human and Economic Development where applicable including, but not limited to:– population and communities—numbers, locations (summarise

information in map form), composition, employment– industries, including known major development proposals– infrastructure—including water supply, sewerage, flood

control/drainage, etc.– Institutions– transportation—roads, rail, harbours, airports, navigable rivers

l d l i i l di d di d– land use planning—including dedicated use areas– power sources and transmission;– agricultural and mineral development.

34


• Quality of life values (including, but not li it d t )limited to):– socioeconomic values– public health– recreational resources and development– aesthetic valuesaesthetic values– archaeological or historic treasures– cultural values

35

(E ) Screening of potential environmental impacts and mitigation

measures• Using the Sectoral guidelines, which contain a checklist of

environmental parameters for different sectors screen outenvironmental parameters for different sectors, screen out "no significant impacts" from those with significant adverse impact by reviewing each relevant parameter according to the following factors or operational stages. Mitigation measures, where appropriate, should also be recommended:– environmental problems due to project location;– environmental problems related to design;– environmental problems associated with the construction stage;environmental problems associated with the construction stage;– environmental problems resulting from project operations;– potential environmental enhancement measures; and– additional considerations.

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(F) Environmental monitoring program and institutional

requirement• This section of the report must describe the management plan and monitoring surveillancemanagement plan and monitoring surveillance programs, including periodic progress reports to be established and continued by the proponent following granting of Environmental Approval.

• The Responsible Authority must be assured that all necessary environmental protection measures are carried out in future as planned.

• The program must be accompanied by the details of the institutional capacity of the proponent, including staff training and equipment which will be provided to ensure implementation and operations.

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(G) Conclusions

• This section should include an evaluation of th i d h ld hi hli htthe screening process and should highlight whether significant environmental impacts exist which need further detailed study or an EIA.

• The IEE report should present the conclusions p pof the study briefly and concisely.

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2.4 Scoping

39

Scoping

• While the basis of determining the scope of an IEE or EIA in Pakistan derives from the Sectoral GuidelinesEIA in Pakistan derives from the Sectoral Guidelines provided in the package, and the checklists of likely impacts and mitigation measures contained in the Sectoral Guidelines, proponents and reviewers are cautioned against adopting a mechanistic approach to the scoping process.

• No technique can replace the thoughtful considerationNo technique can replace the thoughtful consideration of the proposal, its siting, and the physical and cultural environment in which it is proposed.

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Scoping• Scoping is a vital early step, which identifies the issues that

are likely to be important during the environmental d li i h h I hiassessment, and eliminates those that are not. In this way,

time and money are not wasted on unnecessary investigations.

• Scoping is a process of interaction between the interested public, government agencies and the proponent. Scoping refers to the process of identifying, as early as possible:– the appropriate boundaries of the environmental assessment;– the important issues and concerns;– the information necessary for decision‐making; and– the significant impacts and factors to be considered.

41

ScopingScoping can be used to:

– consider reasonable and practical alternatives;– inform potentially affected people of the proposal and alternatives;

– identify the possible effects on the environment of the proposal and alternatives;

– understand the values held by individuals and groups about the quality of the environment that might beabout the quality of the environment that might be affected by the proposal and the alternatives;

– evaluate the possible environmental effects and concerns expressed to determine whether, and how, to investigate them further;

42

Scoping

– define the boundaries of any required further assessment in time, space and subject matter;assessment in time, space and subject matter;

– determine the analytical methods and consultation procedures needed in any further assessment;

– organise, focus and communicate the potential impacts and concerns, to assist further analysis d d i i ki dand decision‐making; and

– establish the Terms of Reference to be used as the basis of the ongoingassessment.

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Scoping• Issues such as the geographical area to be considered, the time‐frame for impact analysis, the methodologies to be used, sources of existing information and information gaps should all be addressed. While scoping is seen as a distinct activity early in the environmental assessment process, review of the scope is a continuous activity that proceeds throughout the detailed environmental studies, the decision‐making , detailed design, implementation and g , g , pmonitoring.

• Unforeseen issues may arise at any of these stages, and will require further consideration.

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ScopingA typical list of steps for scoping is:• Prepare an outline of the scope, with headings such as:Prepare an outline of the scope, with headings such as:

– Objectives and description of the proposal– The context and setting of the proposal– Constraints– Alternatives– Issues– Public involvement (in scope), and– Timetable

• Further develop the outline of the scope through discussion with key stakeholders, assembling available information, and identifying information gaps.

45

Scoping• Make the outline and supporting information available to

those whose views are to be obtained.• Identify the issues of concern (cross‐reference with check

li i S l G id li )lists in Sectoral Guidelines).• Evaluate the concerns from both a technical and subjective

perspective, seeking to assign a priority to important issues.• Amend the outline to incorporate the agreed suggestions.• Develop a strategy for addressing and resolving each key

issue, including information requirements and terms of reference for further studies.

• Provide feedback on the way the comments have been incorporated.

(These steps are only indicative, and should be tailored to meet the requirements of the particular situation.)

46

Scoping

• It should be remembered that environmental assessment is a flexible process.assessment is a flexible process.

• There is no fixed inventory of issues to be examined in any particular environmental assessment; instead, careful scoping is essential to determine the key issues for each particular proposal.

• When prioritising issues, consideration should be given to their potential severity temporal or spatial extentto their potential severity, temporal or spatial extent, direct, indirect, secondary or cumulative impacts, and whether the impacts are continuous or intermittent, temporary or permanent, reversible or irreversible.

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2.5 Roles of stakeholders in the Scoping process

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The proponent:

• usually knows most about the proposal, and will have a strongly developed view about the factorshave a strongly developed view about the factors which will influence site selection and investment decisions.

• The scoping process will assist the proponent to recognise the perspective of others, to consider alternatives and issues of concern that are raised by those affected, and to make changes to the proposal which will both address the concerns raised and improve the proposal.

49

The Responsible Authority:

• has responsibility for providing guidelines, fi i th t i ti f j t dconfirming the categorisation of projects, and

checking that the Environmental Report meets the statutory requirements.

• The Responsible Authority will usually have a wealth of experience in environmental passessment, and knowledge of local conditions and data availability.

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Other Departments and Agencies:

• will contribute knowledge about specific issues within their jurisdictionissues within their jurisdiction.

• This knowledge may include specific legislation and policy frameworks, standards, data collections, methodologies, local knowledge and experience. Q i f l i h h l f• Quite often sectoral agencies have the role of providing approvals, permits or leases, so knowledge of their requirements is essential.

51

Environmental practitioners and experts:

• may act for the agencies involved, the t lt t biddi f thproponent, or consultants bidding for the

work, or they may belong to scientific, academic or professional bodies.

• The involvement and advice of these people can be of particular assistance in providing p p gspecialist knowledge.

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Those affected:• by the proposal may have a major role in identifying issues

and ensuring that local knowledge and values are understood.

• The views of those affected should be taken into account when choosing between alternatives, in deciding on the importance of issues, and in framing mitigation measures, compensation provisions and management plans.

• Affected communities may need help in understanding the proposal, its alternatives, and likely effects, and in dealing with the proposal and articulating their concerns. p p g

• They may need the provision of community liaison workers and financial resourcing to allow them to participate.

53

The wider community:

• including those indirectly affected, and local, ti l d ti i t ti l NGO’national and sometimes international NGO’s

and interest groups will also provide a source of useful information and values, which can assist the scoping process.

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2.6 Generating alternatives• A rigorous approach to the generation of alternatives is

more commonly associated with proposals from the public h h ll i f bli f d d i i i isector, where the allocation of public funds and priorities is

recognised as a legitimate public interest. • Private sector proposals have not generally had the same

attention paid to the matter of alternatives, since there has been the perception that the choice of project is a matter for the developer who is putting up the money.

• The considerations of alternatives will assume increasing i f b h bli d i jimportance, for both public and private sector projects, as sectoral policies are established, along with the implementation of policies for sustainability, strategic and cumulative impacts.

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• Alternatives are generated and examined to determine the best method of achievingdetermine the best method of achieving project objectives, while minimisingenvironmental impacts. They can be grouped under such headings as:– Demand Alternatives (eg using energy more efficiently rather than building more generatingefficiently rather than building more generating capacity);

– Activity Alternatives (eg providing public transport rather than increasing road capacity);

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2.6 Generating alternatives– Locational Alternatives, either for the entire proposal or for components (eg the location of a processing plant for a mine);

– Process Alternatives (eg the re‐use of process water in an industrial plant, waste‐minimising or energy efficient technology, different mining methods);

– Scheduling Alternatives (where a number of measures might play a part in an overall program, but the order they are scheduled will contribute to thethe order they are scheduled will contribute to the effectiveness of the end result); and

– Input Alternatives (eg raw materials, energy sources–such as replacing high sulphur oil with low sulphuroil).

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• The ‘no build’ alternative is often used as a base case against which to measure the relative performance ofagainst which to measure the relative performance of other alternatives.

• In this case the relative impacts of the other alternatives are expressed as changes to the base case.

• If, overall, all the alternatives were judged to have unacceptable performance, the decision might be to adopt none of them and stay with the status quo theadopt none of them, and stay with the status quo–the ‘no build’.

• Alternatively a base case might be taken forward in its own right for evaluation against defined objectives.

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• Not all alternatives will be investigated in the same level of detail.level of detail.

• It is quite common to undertake a preliminary analysis of a wide set of alternatives to decide which ones should be taken forward for further consideration, and which ones should be discarded.

• In many EIA’s, the favoured alternative will be the only one examined in detail It is not uncommon howeverone examined in detail. It is not uncommon, however, for two or three alternatives to be examined and reported at the same level of detail.

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2.7 Site Selection

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Site Selection

• While technical and operational aspects often dominate the initial selection of a site for a proposal,dominate the initial selection of a site for a proposal, proponents should give equal weight to the suitability of the site in terms of compatible land use and adequate buffer distances.

• While proximity to raw materials, transport, labour, markets, waste disposal options, and provision of services are all important, so too are adjacent landservices are all important, so too are adjacent land uses and the environmental sensitivity of the site.

• The principles of site selection are shown in Figure 1.

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Site Selection

• Initial site investigations can help ensure a t ti l it ’ it bilit b f dipotential site’s suitability before proceeding

with a more detailed assessment. The initial site investigations should exclude fundamentally unsuitable sites.

• Table 1 provides performance objectives and p p jfactors to be considered to determine separation distances.

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Table 1 Performance objectives and factorsto be considered to determine separation

distances.Land Use Performance objectives Factors for determining

appropriateti di tseparation distances

Environmentallysensitive areas

• Ensure the environmental qualities of the particular area are not compromised

— if mitigation measuresfail or an ‘incident’ occurs?

Residentialareas, hospitalsor schools

Protect residential amenity and health: odour, fumes, visual amenity, noise, dust, Seepage

•What is the likelihood of the performance objectives being achieved by the , , p g g ymitigation measuresalone?• What is the likelihood of the

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Land Use Performance objectives Factors for determining appropriateseparation distances

Surface waters

•Ensure that surface waters are protected from pollutants• Ensure that no existing or likely future uses of surface waters are

• Mitigation measures failing?• What is the likelihood of an ‘incident’ (eg accident, system failure, natural disaster) which will result in a failure to meet the performance objectives?waters are

compromised• Ensure that no significant impacts occur to flora or fauna which uses the waters• Ensure that the ecological value of the waters will bemaintained.

meet the performance objectives?• What ‘backup’ mitigation measures are available?• What is the likely geographical extent of impacts, taking into consideration the proposed performance of mitigation measures and the localenvironment?

Groundw •Ensure that there is no •What is the likely geographical extentGroundwaterrecharge zones

Ensure that there is no deterioration in the quality of the groundwater• Ensure that no existing or likelyfuture uses of groundwater areCompromised

What is the likely geographical extent of impacts if mitigation measures fail or an ‘incident’ occurs.• what separation distances are required to achieve the performanceobjectives;— under normal operational and mitigation performance conditions 65

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EIA Methods and EIA Methods and TechniquesTechniques

Engr. Tufail Ali ZubediEnvironmental Consultanthttp://www.SPMCpk.com/

The methods that are used to conduct the environmental impact assessment (EIA) of the Project SCOPING: identifies the issues that are likely to be important and eliminates those that are not. Scoping is the process of identifying the key Scoping is the process of identifying the key environmental issues and is perhaps the most important step in an EIA. Several groups, particularly decision makers, the local population and the scientific community, have an interest in helping to deliberate the issues which should be considered, and scoping is designed to canvass their views,

Scoping is important for two reasons. First, so that problems can be pinpointed early allowing mitigating design changes to be made before expensive detailed work is carried out. Second, to ensure that detailed prediction work is only carried out for important issues. It is not the purpose of an EIA to carry out exhaustive studies on all environmental impacts for all projects. If key issues are identified and a full scale EIA considered necessary then the scoping should include terms of reference for these further studies.

are◦ baseline studies, ◦ checklists, and◦ network diagrams.

main EIA techniques used in main EIA techniques used in scoping scoping

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Once the scoping exercise is complete and the major impacts to be studied have been identified, prediction work can start.Realistic and affordable mitigating measures cannot be proposed without first estimating the scope of the impacts, which should be in monetary terms

h ibl I h b i wherever possible. It then becomes important to quantify the impact of the suggested improvements by further prediction work. Clearly, options need to be discarded as soon as their unsuitability can be proved or alternatives shown to be superior in environmental or economic terms, or both. It is also important to test the "without project" scenario.

An important outcome of this stage will be recommendations for mitigating measures. This would be contained in the Environmental Impact Statement. Clearly the aim will be to introduce measures which minimize any identified adverse impacts and enhance positive impacts. Formal and i f l i ti li k d t b t bli h d informal communication links need to be established with teams carrying out feasibility studies so that their work can take proposals into account. Similarly, feasibility studies may indicate that some options are technically or economically unacceptable and thus environmental prediction work for these options will not be required.

Many mitigating measures do not define physical changes but require management or institutional changes or additional investment, such as for health services. ,Mitigating measures may also be procedural changes, for example, the introduction of, or increase in, irrigation service fees to promote efficiency and water conservation.

This phase of an EIA will require good management of a wide range of technical specialists with particular emphasis on:◦ • prediction methods;p ;◦ • interpretation of predictions, with and without mitigating measures;◦ • assessment of comparisons.◦ required level of accuracy of predictions

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Mathematical modellingExpert adviceChecklists, matrices, networks diagrams, graphical comparisons and overlaysgraphical comparisons and overlays

applying weightings◦ Numerical values, or weightings, can be applied to different environmental impacts to (subjectively) define their relative importance

economic techniques can provide insight economic techniques, can provide insight into comparative importance where different environmental impacts are to be compared, such as either losing more wetlands or resettling a greater number of people.

comparing optionscomparing options

An EIA involves prediction and thus uncertainty is an integral part.two types of uncertainty associated with environmental impact assessments: environmental impact assessments: ◦ that associated with the process and, ◦ that associated with predictions

Managing uncertaintyManaging uncertainty

The main types of uncertainty and the ways in which they can be minimized are discussed by de Jongh in Wathern(1988). They can be summarized as follows:• uncertainty of prediction: this is important at the data collection stage and the final certainty will only be resolved once implementation commences. Research can reduce the uncertainty;uncertainty;• uncertainty of values: this reflects the approach taken in the EIA process. Final certainty will be determined at the time decisions are made. Improved communications and extensive negotiations should reduce this uncertainty;• uncertainty of related decision: this affects the decision making element of the EIA process and final certainty will be determined by post evaluation. Improved coordination will reduce uncertainty.

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The accuracy of predictions is dependent on a variety of factors such as lack of data or lack of knowledge. It is important not to focus on predictions that are relatively easy to calculate at the expense of impacts that may be far more significant but difficult to be far more significant but difficult to analyse. Prediction capabilities are generally good in the physical and chemical sciences, moderate in ecological sciences and poor in social sciences. Surveys are the most wide-spread technique for estimating people's responses and possible future actions.

Baseline studiesBaseline studies using available data and local knowledge will be required for scoping. Once key issues have been identified, the need for further in-depth studies can be clearly identified and any p y yadditional data collection initiated.Specialists, preferably with local knowledge, will be needed in each key area identified. They will need to define further data collection, to ensure that it is efficient and targeted to answer specific questions, and to quantify impacts.

TechniquesTechniques

Simple checklist◦ List of environmental parameters with Yes/No

optionDescriptive Checklist◦ List of environmental parameters and guidelines on

how to measure parametershow to measure parametersScaling Checklist◦ Descriptive checklist with subjective scaling /

evaluationScaling Weighting Checklist◦ Scaling checklist with additional information for

subjective evaluation of each parameter wrt other parameters

ChecklistsChecklists

p

MatricesThe major use of matrices is to indicate cause and effect by listing activities along the horizontal axis and environmental parameters along the vertical axis. In this way the impacts of both individual components of projects as well as major alternatives can be

d Th i l i i l k compared. The simplest matrices use a single mark to show whether an impact is predicted or not. However it is easy to increase the information level by changing the size of the mark to indicate scale, or by using a variety of symbols to indicate different attributes of the impact.The greatest drawback of matrices are that they can only effectively illustrate primary impacts

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developed by Dr. Luna LeopoldThe matrix was designed for the assessment of impacts associated with almost any type of construction project. almost any type of construction project. Its main strength is as a checklist that incorporates qualitative information on cause-and-effect relationships but it is also useful for communicating results.

The Leopold MatrixThe Leopold Matrix

The Leopold system is an open-cell matrix containing 100 project actions along the horizontal axis and 88 environmental 'characteristics' and 'conditions' along the vertical axis. These are listed in Table 4.3, while the accompanying instructions are reproduced in Figure 4.2.Figure 4.2 indicates that for each cell in the matrix, a ranking system (scaled from 1 to 10) is given for the magnitude and for the importance of each possible impact.the importance of each possible impact.

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Network diagrams, are a useful and complementary form of illustration to matrices as their main purpose is to illustrate higher order impacts and to g pindicate how impacts are inter-related.

Network diagramsNetwork diagrams

A network diagram is a technique for illustrating how impacts are related and what the consequences of impacts are.there may be many and far reaching there may be many and far reaching secondary or tertiary consequences

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it is possible to predict the impact of higher irrigation efficiencies on the low flow regime of a river. However, there are secondary or tertiary consequences of a change in low flow that can be illustrated using network diagrams illustrated using network diagrams. For example, reduced low flows are likely to reduce the production of fish which may or may not be of importance depending on the value (either ecological or economic) of the fish. If fish are an important component of diet or income, the reduction may lead to a local reduction in the health status, impoverishment

d ibl i ti

ExampleExample

and possibly migration.

FIGURE 2 Graphical comparison of alternatives. The final choice of either option B or option C will depend on the 'weighting' chosen (Source: g g (Ahmad and Sammy, 1985)

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Overlays provide a technique for illustrating the geographical extent of different environmental impacts. Each overlay is a map of a single impact. For example, saline effected areas, deforested areas, limit of a groundwater pollution plume etc can be g p panalysed and clearly demonstrated to non experts. The original technique used transparencies. development of Geographic Information Systems (GIS) can make this technique particularly suitable for comparing options, pinpointing sensitive zones and proposing different areas or methods of land management.

OverlaysOverlays

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Mathematical modelling is one of the most useful tools for prediction work. It is the natural tool to assess both flow quantities and qualities.qAir Pollution = ??

Mathematical Mathematical modellingmodelling

Expert advice should be sought for predictions which are inherently non-numeric and is particularly suitable for estimating social and cultural impacts.

Local experience will provide invaluable insight. Expert opinions are also likely to be needed to assess the implications of any modellingpredictions.

Mathematical Model vs Expert Opinion ?

Expert adviceExpert advice

cost-benefit analysiscost-effectiveness analysis.Cost-utility analysis

Economic techniquesEconomic techniques

An EIA can provide information on the expected effects and quantify, to some extent, their importance. This information can be used by economists in the preparation of cost-benefit calculations. p pCost effectiveness analysis can also be used to determine what is the most efficient, least-cost method of meeting a given environmental objective; with costs including forgone environmental benefits. However, defining the objective may not be straightforwardstraightforward.

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Think of : ◦ The methods to conduct (EIA) of ___the Project

http://www.fao.org/docrep/v8350e/v8350e06.htmhttps://www.ceaa-acee.gc.ca/050/documents_staticpost/63169/93967/Sisson_EIA_July2013_Section_5-0_EIA_Methods.pdfhttp://www.scopenvironment.org/downloadpubs/scope5/chapter04.html#t4.5

Canadian Environmental Assessment Act (CEAA) and the New Brunswick Environmental Impact Assessment Regulation g

International LawsInternational Laws

EIA ReportEIA Report Legal Requirementsg q

Engr. Tufail Ali ZubediEngr. Tufail Ali Zubedihttp://www.SPMCpk.com/

Why?Why?

• To understand the legal boundaries of the EIA documentation

• To document the time of writing of EIA d d h / hi h l l• To understand what / which legal

requirements are applicable in the project scenario

• To ensure that all legal requirements are• To ensure that all legal requirements are covered.

What?Students ProjectStudents Project

Sami, Ameen, Saleha, waqar An coal terminal import, storage, transportation is to be installed at Port.

Amar, Waseem, Jai, Ahmer Pharmaceutical Active Ingredient import, storage and dry mixing / packing plant

Tabish, Shahreyar, Rabab, Farah Airport construction and operation of passenger, cargo terminal p g , g

Uzma, Babur, Amin. Raj Railway Terminal / Operation

New University with hostel accommodation, transportation in the heart of urban city .

New Industrial Estate in the outskirts of RYK

Develop project concept (2016‐04‐02), develop environmental screening checklist, environmental consideration during design, applicable national / international legal requirements(2016‐04‐09)

4.5 AN ANALYSIS OF THREE GENERAL APPROACHES TO ASSESSING IMPACTS

4.5.1 Introduction

Three general approaches, selected because they represent a range of options* for impact assessment, are discussed in this section:

-Leopold matrix -Overlays -Battelle environmental evaluation system

No connotation of endorsement is necessarily implied. Brief descriptions of some other approaches are to be found in Appendix 4.

4.5.2 The Leopold Matrix

4.5.2.1 Description

The pioneering approach to impact assessment, the Leopold matrix, was developed by Dr. Luna Leopold and others of the United States Geological Survey (Leopold et. al., 1971). The matrix was designed for the assessment of impacts associated with almost any type of construction project. Its main strength is as a checklist that incorporates qualitative information on cause-and-effect relationships but it is also useful for communicating results.

The Leopold system is an open-cell matrix containing 100 project actions along the horizontal axis and 88 environmental 'characteristics' and 'conditions' along the vertical axis. These are listed in Table 4.3, while the accompanying instructions are reproduced in Figure 4.2.

The list of project actions in Table 4.3 is more comprehensive than that given in Table 3.1, Chapter 3, but the assessor will find that many of the cells will not be used in any individual case. The 'characteristics' and 'conditions' in Table 4.3 are a combination of environmental effects and impacts, using the definitions adopted in Section 1.1.

Figure 4.2 indicates that for each cell in the matrix, a ranking system (scaled from 1 to 10) is given for the magnitude and for the importance of each possible impact.

Figure 4.2 Instruction for using the Leopold Matrix (Leopold et al., 1971)

(*An additional option is simulation modelling, to be discussed in Chapter 5)

Table 4.3 The Leopold Matrix (Leopold et al., 1971 ). Part I Lists the Project Actions (Arranged Horizontally in the Matrix); Part 2 Lists the Environmental 'Characteristics' and 'Conditions' (Arranged Vertically in the Matrix)

PART 1: Project Actions

A. MODIFICATION OF REGIME a) Exotic flora or fauna introduction b) Biological Controls c) Modification of habitat d) Alteration of ground cover e) Alteration of ground-water hydrology f) Alteration of drainage g) River control and flow codification

E. LAND ALTERATION a) Erosion control and terracing b) Mine sealing and waste control c) Strip mining rehabilitation d) Landscaping e) Harbour dredging f) Marsh fill and drainage

h) Canalization i) Irrigation j) Weather modification k) Burning l) Surface or paving m) Noise and vibration B. LAND TRANSFORMATION AND CONSTRUCTION a) Urbanization b) Industrial sites and buildings c) Airports d) Highways and bridges e) Roads and trails f) Railroads g) Cables and lifts h) Transmission lines, pipelines and corridors i) Barriers, including fencing j) Channel dredging and straightening k) Channel revetments l) Canals m) Dams and impoundments n) Piers, seawalls, marinas, & sea terminals o) Offshore structures p) Recreational structures q) Blasting and drilling r) Cut and fill s) Tunnels and underground structures C. RESOURCE EXRACTTION a) Blasting and drilling b) Surface excavation c) Sub-surface excavation and retorting d) Well drilling and fluid removal e) Dredging f) Clear cutting and other lumbering g) Commercial fishing and hunting D. PROCESSING a) Farming b) Ranching and grazing c) Feed lots d) Dairying e) Energy generation f) Mineral processing g) Metallurgical industry

F. RESOURCE RENEWAL a) Reforestation b) Wildlife stocking and management c) Ground-water recharge d) Fertilization application e) Waste recycling G. CHANGES IN TRAFFIC a) Railway b) Automobile c) Trucking d) Shipping e) Aircraft f) River and Canal traffic g ) Pleasure boating h) Trails i) Cables and lifts j) Communication k) Pipeline H. WASTE EMPLACEMENT AND TREATMENT a) Ocean dumping b) Landfill c) Emplacement of tailings, spoil and overburden d) Underground storage e) Junk disposal f) Oil-well flooding g) Deep-well emplacement h) Cooling-water discharge i) Municipal waste discharge including spray irrigation j) Liquid effluent discharge k) Stabilization and oxidation ponds l) Septic tanks, commercial &. domestic m) Stack and exhaust emission n) Spent lubricants I. CHEMICAL TREATMENT a) Fertilization b) Chemical deicing of highways, etc. c) Chemical stabilization of soil d) Weed control e) Insect control (pesticides)

h) Chemical industry i) Textile industry j) Automobile and aircraft k) Oil refining l) Food m) Lumbering n) Pulp and paper o) Product storage

J. ACCIDENTS a) Explosions b) Spills and leaks c) Operational failure OTHERS a) b)

PART 2: Environmental 'Characteristics' and 'Conditions'

A. PHYSICAL AND CHEMICAL CHARACTERISTICS

1. Earth a) Mineral resources b) Construction material c) Soils d) Landform e) Force fields & background radiation f) Unique physica1 features

2. Water 1) Surface b) Ocean c) Underground d) Qua1ity e) Temperature g) Snow, Ice, & permafrost

3. Atmosphere a) Quality (gases, particulates) b) Climate (micro, macro) c) Temperature

4. Processes a) Floods b) Erosion c) Deposition (sedimentation, precipitation) d) Solution e) Sorption (ion exchange, complexing) f) Compaction and settling g) Stability (slides, s1umps) h) Stress-strain (earthquake) f) Recharge i) Air movements

B. BIOLOGICAL CONDITIONS

1. Flora 1) Trees b) Shrubs c) Grass d) Crops e) Microf1ora f) Aquatic plants g) Endangered species h) Barriers i) Corridors

2. Fauna a) Birds b) Land anirnals including reptiles c) Fish & shellfish d) Benthic organisms e) Insects f) Microfauna g) Endangered species h) Barriers i) Corridors

C. CULTURAL FACTORS

1. Land use a) Wildemess & open spaces b) Wetlands

d) Landscape design e) Unique physical features f) Parks & reserves

c) Forestry d) Grazing e) Agriculture f) Residential g) Commercial h) Industrial i) Mining & quarrying

2.Recreation a) Hunting b) Fishing c) Boating d) Swimming e) Camping & hiking f) Picnicing g) Resorts

3. Aesthetics & Human Interest a) Scenic views and vistas b) Wilderness qualities c) Open space qualities

g) Monuments h) Rare & unique species or ecosystems i) Historical or archaeological sites and objects j) Presence of misfits

4. Cultural Status a) Cultural patterns (life style) b) Health and safety c) Employment d) Population density

5. Man-Made Facilities and Activities a) Structures b) Transportation network (movement, access) c) Utility networks d) Waste disposal e) Barriers f) Corridors

D. ECOLOGICAL RELATIONSHIPS SUCH AS:

1) Salinization of water resources b) Eutrophication c) Disease-insect vectors d) Food chains

e) Salinization of surficial material f) Brush encroachment g) Other

OTHERS a) b)

4.5.2.2 Identification

The Leopold matrix is comprehensive in covering both the physical-biological and the socio-economic environments. The list of 88 environmental characteristics is weak, however, from the point of view of structural parallelism and balance. For example, swimming (an activity) and water temperature (an indicator of state) are both included. In addition, the list is biased towards the physical-biological environment (67 entries).

The Leopold matrix is not selective, and includes no mechanism for focusing attention on the most critical human concerns. Related to this is the fact that the matrix does not

distinguish between immediate and long-term impacts, although separate matrices could be prepared for each time period of interest.

The principle of a mutually exclusive method is not preserved in the Leopold matrix, and there is substantial opportunity for double counting. This is a fault of the Leopold matrix in particular rather than of matrices in general.

4.5.2.3 Prediction

The method can accommodate both quantitative and qualitative data. It does not, however, provide a means for discriminating between them. In addition, the magnitudes of the predictions are not related explicitly to the 'with-action' and 'without-action' future states.

Objectivity is not a strong feature of the Leopold matrix. Each assessor is free to develop his own ranking system on the numerical scale ranging from l to 10.

The Leopold matrix contains no provision for indicating uncertainty resulting from inadequate data or knowledge. All predictions are treated as if certain to occur. Similarly, there is no way of indicating environmental variability, including the possibility of extremes that would present unacceptable hazards if they did occur, nor are the associated probabilities indicated.

The Leopold matrix is not efficient in identifying interactions. However, because the results are summarized on a single diagram, interactions may be perceived by the reader in some cases.

4.5.2.4 Interpretation

The Leopold matrix employs weights to indicate relative importance of effects and impacts. A weakness of the system is that it does not provide explicit criteria for assigning numerical values to these weights.

Synthesis of the predictions into aggregate indices is not possible, because the results are summarized in an 8,800 (88 by 100) cell matrix, with two entries in each cell _ one for magnitude and one for importance. Thus the decision maker could be presented with as many as 17,600 items for each alternative proposal for action.

4.5.2.5 Communication

By providing a visual display on a single diagram, the Leopold matrix may often be effective in communicating results. However, the matrix does not indicate the main issues or the groups of people most likely to be affected by the impact

4.5.2.6 Inspection Procedures

The matrix has no capability for making recommendations on inspection procedures to be followed after completion of the action.

4.5.2.7 Summary

Although the matrix approach has a number of limitations, it may often provide helpful initial guidance in designing further studies. In this connection, the assessor should feel free to modify the matrix to meet his particular needs. For initial screening of alternatives, we recommend that the number of cells be reduced, and that a series of matrices be prepared:

a. one set for environmental effects and another for impact indicators; b. one set for each of two or three future times of interest; c. one set for each of two or three alternatives.

Particular cells could be flagged if the assessor felt that an extreme condition might occur, even though the probability was very low, and footnotes could be used where appropriate.

A set of 8 or 12 such matrices might be a useful tool at the outset of an assessment, or whenever the resources of the assessor are limited.

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LECTURE 12STRATEGIC ENVIRONMENTAL ASSESSMENT

Engr. Tufail Ali Zubedi http://www.SPMCpk.com/

UNECE Protocol on Strategic Environmental Assessment

The UNECE Protocol on Strategic Environmental Assessment (the Protocol on SEA) establishes clear and transparent procedures for integrating environmental and health considerations into national development plans, programmes and legislation in such potentially polluting economic sectors as agriculture, energy, industry, transport, regional development, land use, waste management or water management.

Video

A short and visually attractive introduction to strategic environmental assessment (SEA) as outlined in the UNECE Protocol on SEA. The video presents SEA process, its benefits and its potential as a tool for greening economiesfor greening economies.It is produced by the UNECE within the framework of the EU funded programme ‘Greening the Economies in the European Neighbourhod’(EaPGREEN) in order to promote SEA and its use among national stakeholders of the EaP GREEN countries.

What is StrategicEnvironmental Assessment?

Strategic Environmental Assessment (SEA) is a systematic process for evaluating the environmental consequences of proposed policy, plan or programmeinitiatives in order to ensure they are fully included and appropriately addressed at the earliest appropriate stage of decision-making on par with economic and social considerations.

Aims of SEA

SEA helps decision makersto incorporate environmental and other sustainability objectives in the formulation of policies, plans and programmes,to gather and analyse the information necessary for g y ysound decision-making, including input from relevant stakeholders,to evaluate likely significant environmental and health effects of strategic options and proposed actions,to set conditions for environmentally sound implementation of strategic decisions.

Principles of effective SEA

SEA is an ex-ante (based on forecasts rather than actual results.) approach that is applied early in the formulation of proposals when major alternatives and options are still open and well before decisions are made. A number of guiding and procedural principles are gaining international acceptance and can be adapted to the context and circumstances of transitional countries.Principles of SEA application include:

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SEA should cover all proposed policies, plans and programmes likely to have significant environmental effects. It should have a scope proportionate to the importance of the issues, recognising the potential for addressing them at other tiers in the decision-making hierarchy.

SEA should be undertaken by proponents of a policy, plan or programme.

It should provide relevant information for formulation of proposals and for decision making.p p g

SEA should be integrated into the policy, plan and programme making process at key procedural stages. It should start as early as possible as an objectives-y p jled evaluation and provide input into all key stages of policy, plan or programme making. Figure 1 outlines the elements of process that can assist informed decision-making in support of sustainable development.

SEA should evaluate the environmental effects of a reasonable range of alternatives to the proposed initiative, recognising the scope of consideration will vary with the level of decision-making. It should identify the best practical environmental option, wherever possible and appropriate.

SEA should focus on the right issues at the right stages of the policy, plan and programmemaking process.

It should be carried out as a systematic, iterative y ,approach, consistent with the logic and structure of the policy plan and programme making.

SEA should facilitate early involvement of key stakeholders. It should apply appropriate, easy-to-use consultation techniques that are suitable for the target groups.

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SEA should use appropriate and cost-effective methods and techniques of analysis. It should gather information only in the amount and detail necessary for sound decision-making.

Opportunities for integrating of SEA into productionof plans, programs and policies (PPP)

PROTOCOL ON STRATEGIC ENVIRONMENTAL ASSESSMENTTO THE CONVENTION ON ENVIRONMENTAL IMPACT ASSESSMENTIN A TRANSBOUNDARY CONTEXT

The Parties to this Protocol,Recognizing the importance of integrating environmental, including health, considerations into the preparation and adoption of plans and p p p pprogrammes and, to the extent appropriate, policies and legislation,..

Protocol - Homework

Email and Read protocol and likely questions

Benefits of a Strategic Environmental Assessment Background to the development of SEA

During the last decade the world has witnessed a rapid, though controversial, evolution of the environmental policy agenda. Traditional environmental decision-making

Have developed sufficient legal mechanisms or methodological tools,It seeks to find solutions for critical environmental degradation,But it is not efficiently responding to the new challenges of the late 20th century.And it is not fully achieving the initially expected results regarding environmental soundness and integration with economic and social issues.

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Effort is dedicated to improving environmental performances, to increasing environmental awareness across development sectors, in public, governmental, or private decision-making, in inviting and guiding change in decisional attitudes and its in inviting and guiding change in decisional attitudes and its supporting values.

Significant environmental policy evolution is occurring not only in the developed world but also in the developing and transitional economies.Strategic Environmental Assessment (SEA) has been emerging in this context.

Project’s Environmental Impact Assessment (EIA), as currently practiced, is unable

to respond to increasing complexity and provide for global, sustainable and sound decision-making.

Such desilusion with the capacity of project' EIA to assist, as a single tool, sound environmental decision-making in a tiering system was the strongest argument that determined the need for SEA in its early days

the timing of decisions:Project’s EIA takes place at a stage when it is too late to consider the effects of policy and planning critical decisions; these happen in the absence of a systematic impact assessment process, which outcome could subsequently influence project planning and design;

the nature of decisions: the less concrete and more vague nature of policy and planning decisions, often its incremental nature, through small, sequential and iterative decisions that challenge rational and systematic processes was seen as a significant constraint to the operation of a pragmatic, technically focused, and rationally oriented tool such as EIA; a new impact assessment tool, inherently adaptable to more strategic, and often incremental, levels of decision-making, was therefore needed;

the level of information: at the policy and planning level often there are serious limitations in the availability of information, and a reasonable uncertainty regarding action implementation and respective timings; this impeded the satisfaction of project EIA needs, in terms of required detailed levels of information and certainty.

Box 2.1 SEA key historical initiatives1969 1969 The National Environmental Policy Act (NEPA) passed by the U.S. Congress,

mandating all federal agencies and departments to consider and assess the environmental effects of proposals for legislation and other major projects.

1978 1978 US Council for Environmental Quality (USCEQ) issues regulations for NEPA which apply to USAID and specific requirements for programmatic assessments

1989 1989 The World Bank adopted an internal directive (O.D. 4.00) on EIA which allows for the preparation of sectoral and regional Assessments

1990 1990 The European Economic Community issues the first proposal for a Directive on the Environmental Assessment of Policies, Plans and Programmes

1991 1991 The UNECE Convention on EIA in a Transboundary Context promotes the application of EA for policies, plans and Programmes

1991 1991 The OECD Development Assistance Committee adopted a principles calling for ifi t f l i d it i i t l i t fspecific arrangements for analysing and monitoring environmental impacts of programme

assistance1995 1995 The UNDP introduces the environmental overview as a planning tool

1997 1997 The Council of the European Union adopts a proposal for a Council Directive on the assessment of the effects of certain plans and programmes on the environment

2001 2001 The UNECE issues a draft protocol on Strategic Environmental Assessment applying to policies, plans and Programmes

2001 2001 Council of the European Union adopts the Council Directive2001 2001/42/CE on 27 June on the assessment of the effects of certain plans and programmes

on the environmentIUCN – promotes awareness on Strategic Environmental Assessment through it NIAP project.

2014 Sindh Environmental Protection Act 2014 was enacted to lay the foundation for Strategic Environmental Assessment in the Sindh province

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Box 2.2 Aims and objectives of SEA

To help achieve environmental protection and sustainabledevelopment by:• Consideration of environmental effects of proposed strategic actions• Identification of the best practicable environmental option• Early warning of cumulative effects and large-scale changes

To strengthen and streamline project EIA by:• Prior identification of scope of potential impacts and information needs• Clearance of strategic issues and concerns related to justification of proposals• Reducing the time and effort necessary to conduct individual reviews

To integrate the environment into sector-specific decision-makingby:• Promoting environmentally sound and sustainable proposals• Changing the way decisions are made

Source: UK-DETR, International Seminar on SEA, Lincoln, May 1998

Definition of SEA

An early and widely quoted definition of SEA, by Therivel et al., 1992, is:“the formalised, systematic and comprehensive process of evaluating the environmental impacts of p g pa policy, plan or programme and its alternatives, including the preparation of a written report on the findings of that evaluation, and using the findings in publicly accountable decision-making”.

This concept of SEA persisted in Sadler and Verheem, 1996 proposed definition:“SEA is a systematic process for evaluating the environmental consequences of proposed policy, q p p p y,plan or programme initiatives in order to ensure they are fully included and appropriately addressed at the earliest appropriate stage of decision-making on par with economic and social considerations”.

two other definitions are rather complementary and can be used:

“SEA of a proposed policy is an appraisal of the environmental impacts of a policy which is used in decision-making” (Thérivel, 1997). “SEA is an instrument that must be adapted to existing decision-making processes. It is more political than technical, and is related to concepts, rather than to activities with geographic and technological specifications.” (Partidário, 2000).

Table 1 - Main differences between SEA and EIA

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Box 6.1 SEA main procedural steps

1) Initiation (determine the need and type of SEA)2) Scoping (identify alternatives and impacts to be assessed)3) Policy Appraisal / Impacts Assessment4) Quality Review (seek input or advice from external institutions / experts)5) P blic Participation5) Public Participation6) Documentation (report on SEA conclusions)7) Decision-making (take SEA conclusions into account)8) Post-decision (identify follow-up measures of overall impact of projects, and measures resulting from policies, plans or programmes

(based on UNECE Task Force recommendations)

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PROTOCOL ON STRATEGIC ENVIRONMENTAL ASSESSMENT TO THE CONVENTION ON ENVIRONMENTAL IMPACT ASSESSMENT

IN A TRANSBOUNDARY CONTEXT

The Parties to this Protocol, Recognizing the importance of integrating

environmental, including health, considerations into the preparation and adoption of plans and programmes and, to the extent appropriate, policies and legislation,

Committing themselves to promoting sustainable

development and therefore basing themselves on the conclusions of the United Nations Conference on Environment and Development (Rio de Janeiro, Brazil, 1992), in particular principles 4 and 10 of the Rio Declaration on Environment and Development and Agenda 21, as well as the outcome of the third Ministerial Conference on Environment and Health (London, 1999) and the World Summit on Sustainable Development (Johannesburg, South Africa, 2002),

Bearing in mind the Convention on Environmental

Impact Assessment in a Transboundary Context, done at Espoo, Finland, on 25 February 1991, and decision II/9 of its Parties at Sofia on 26 and 27 February 2001, in which it was decided to prepare a legally binding protocol on strategic environmental assessment,

Recognizing that strategic environmental assessment

should have an important role in the preparation and adoption of plans, programmes, and, to the extent appropriate, policies and legislation, and that the wider application of the principles of environmental impact assessment to plans, programmes, policies and legislation will further strengthen the systematic analysis of their significant environmental effects,

Acknowledging the Convention on Access to

Information, Public Participation in Decision-making and Access to Justice in Environmental Matters, done at Aarhus, Denmark, on 25 June 1998, and taking note of the relevant paragraphs of the Lucca Declaration, adopted at the first meeting of its Parties,

Conscious, therefore, of the importance of providing

for public participation in strategic environmental assessment,

Acknowledging the benefits to the health and well-

being of present and future generations that will follow if the need to protect and improve people’s health is taken into account as an integral part of strategic environmental

assessment, and recognizing the work led by the World Health Organization in this respect,

Mindful of the need for and importance of enhancing

international cooperation in assessing the transboundary environmental, including health, effects of proposed plans and programmes, and, to the extent appropriate, policies and legislation,

Have agreed as follows:

Article 1

OBJECTIVE

The objective of this Protocol is to provide for a high level of protection of the environment, including health, by:

(a) Ensuring that environmental, including health,

considerations are thoroughly taken into account in the development of plans and programmes;

(b) Contributing to the consideration of

environmental, including health, concerns in the preparation of policies and legislation;

(c) Establishing clear, transparent and effective

procedures for strategic environmental assessment; (d) Providing for public participation in strategic

environmental assessment; and (e) Integrating by these means environmental,

including health, concerns into measures and instruments designed to further sustainable development.

Article 2

DEFINITIONS

For the purposes of this Protocol, 1. “Convention” means the Convention on Environmental Impact Assessment in a Transboundary Context.

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2. “Party” means, unless the text indicates otherwise, a Contracting Party to this Protocol. 3. “Party of origin” means a Party or Parties to this Protocol within whose jurisdiction the preparation of a plan or programme is envisaged. 4. “Affected Party” means a Party or Parties to this Protocol likely to be affected by the transboundary environmental, including health, effects of a plan or programme. 5. “Plans and programmes” means plans and programmes and any modifications to them that are:

(a) Required by legislative, regulatory or administrative provisions; and

(b) Subject to preparation and/or adoption by an

authority or prepared by an authority for adoption, through a formal procedure, by a parliament or a government. 6. “Strategic environmental assessment” means the evaluation of the likely environmental, including health, effects, which comprises the determination of the scope of an environmental report and its preparation, the carrying-out of public participation and consultations, and the taking into account of the environmental report and the results of the public participation and consultations in a plan or programme. 7. “Environmental, including health, effect” means any effect on the environment, including human health, flora, fauna, biodiversity, soil, climate, air, water, landscape, natural sites, material assets, cultural heritage and the interaction among these factors. 8. “The public” means one or more natural or legal persons and, in accordance with national legislation or practice, their associations, organizations or groups.

Article 3

GENERAL PROVISIONS 1. Each Party shall take the necessary legislative, regulatory and other appropriate measures to implement the provisions of this Protocol within a clear, transparent framework. 2. Each Party shall endeavour to ensure that officials and authorities assist and provide guidance to the public in matters covered by this Protocol. 3. Each Party shall provide for appropriate recognition of and support to associations, organizations or groups promoting environmental, including health, protection in the context of this Protocol.

4. The provisions of this Protocol shall not affect the right of a Party to maintain or introduce additional measures in relation to issues covered by this Protocol. 5. Each Party shall promote the objectives of this Protocol in relevant international decision-making processes and within the framework of relevant international organizations. 6. Each Party shall ensure that persons exercising their rights in conformity with the provisions of this Protocol shall not be penalized, persecuted or harassed in any way for their involvement. This provision shall not affect the powers of national courts to award reasonable costs in judicial proceedings. 7. Within the scope of the relevant provisions of this Protocol, the public shall be able to exercise its rights without discrimination as to citizenship, nationality or domicile and, in the case of a legal person, without discrimination as to where it has its registered seat or an effective centre of its activities.

Article 4

FIELD OF APPLICATION CONCERNING PLANS AND PROGRAMMES

1. Each Party shall ensure that a strategic environmental assessment is carried out for plans and programmes referred to in paragraphs 2, 3 and 4 which are likely to have significant environmental, including health, effects. 2. A strategic environmental assessment shall be carried out for plans and programmes which are prepared for agriculture, forestry, fisheries, energy, industry including mining, transport, regional development, waste management, water management, telecommunications, tourism, town and country planning or land use, and which set the framework for future development consent for projects listed in annex I and any other project listed in annex II that requires an environmental impact assessment under national legislation. 3. For plans and programmes other than those subject to paragraph 2 which set the framework for future development consent of projects, a strategic environmental assessment shall be carried out where a Party so determines according to article 5, paragraph 1. 4. For plans and programmes referred to in paragraph 2 which determine the use of small areas at local level and for minor modifications to plans and programmes referred to in paragraph 2, a strategic environmental assessment shall be carried out only where a Party so determines according to article 5, paragraph 1.

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5. The following plans and programmes are not subject to this Protocol:

(a) Plans and programmes whose sole purpose is to serve national defence or civil emergencies;

(b) Financial or budget plans and programmes.

Article 5

SCREENING 1. Each Party shall determine whether plans and programmes referred to in article 4, paragraphs 3 and 4, are likely to have significant environmental, including health, effects either through a case-by-case examination or by specifying types of plans and programmes or by combining both approaches. For this purpose each Party shall in all cases take into account the criteria set out in annex III. 2. Each Party shall ensure that the environmental and health authorities referred to in article 9, paragraph 1, are consulted when applying the procedures referred to in paragraph 1 above. 3. To the extent appropriate, each Party shall endeavour to provide opportunities for the participation of the public concerned in the screening of plans and programmes under this article. 4. Each Party shall ensure timely public availability of the conclusions pursuant to paragraph 1, including the reasons for not requiring a strategic environmental assessment, whether by public notices or by other appropriate means, such as electronic media.

Article 6

SCOPING 1. Each Party shall establish arrangements for the determination of the relevant information to be included in the environmental report in accordance with article 7, paragraph 2. 2. Each Party shall ensure that the environmental and health authorities referred to in article 9, paragraph 1, are consulted when determining the relevant information to be included in the environmental report. 3. To the extent appropriate, each Party shall endeavour to provide opportunities for the participation of the public concerned when determining the relevant information to be included in the environmental report.

Article 7

ENVIRONMENTAL REPORT 1. For plans and programmes subject to strategic environmental assessment, each Party shall ensure that an environmental report is prepared. 2. The environmental report shall, in accordance with the determination under article 6, identify, describe and evaluate the likely significant environmental, including health, effects of implementing the plan or programme and its reasonable alternatives. The report shall contain such information specified in annex IV as may reasonably be required, taking into account:

(a) Current knowledge and methods of assessment; (b) The contents and the level of detail of the plan

or programme and its stage in the decision-making process;

(c) The interests of the public; and (d) The information needs of the decision-making

body. 3. Each Party shall ensure that environmental reports are of sufficient quality to meet the requirements of this Protocol.

Article 8

PUBLIC PARTICIPATION 1. Each Party shall ensure early, timely and effective opportunities for public participation, when all options are open, in the strategic environmental assessment of plans and programmes. 2. Each Party, using electronic media or other appropriate means, shall ensure the timely public availability of the draft plan or programme and the environmental report. 3. Each Party shall ensure that the public concerned, including relevant non-governmental organizations, is identified for the purposes of paragraphs 1 and 4. 4. Each Party shall ensure that the public referred to in paragraph 3 has the opportunity to express its opinion on the draft plan or programme and the environmental report within a reasonable time frame. 5. Each Party shall ensure that the detailed arrangements for informing the public and consulting the public concerned are determined and made publicly available. For this purpose, each Party shall take into account to the extent appropriate the elements listed in annex V.

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Article 9

CONSULTATION WITH ENVIRONMENTAL AND HEALTH AUTHORITIES

1. Each Party shall designate the authorities to be consulted which, by reason of their specific environmental or health responsibilities, are likely to be concerned by the environmental, including health, effects of the implementation of the plan or programme. 2. The draft plan or programme and the environmental report shall be made available to the authorities referred to in paragraph 1. 3. Each Party shall ensure that the authorities referred to in paragraph 1 are given, in an early, timely and effective manner, the opportunity to express their opinion on the draft plan or programme and the environmental report. 4. Each Party shall determine the detailed arrangements for informing and consulting the environmental and health authorities referred to in paragraph 1.

Article 10

TRANSBOUNDARY CONSULTATIONS 1. Where a Party of origin considers that the implementation of a plan or programme is likely to have significant transboundary environmental, including health, effects or where a Party likely to be significantly affected so requests, the Party of origin shall as early as possible before the adoption of the plan or programme notify the affected Party. 2. This notification shall contain, inter alia:

(a) The draft plan or programme and the environmental report including information on its possible transboundary environmental, including health, effects; and

(b) Information regarding the decision-making

procedure, including an indication of a reasonable time schedule for the transmission of comments. 3. The affected Party shall, within the time specified in the notification, indicate to the Party of origin whether it wishes to enter into consultations before the adoption of the plan or programme and, if it so indicates, the Parties concerned shall enter into consultations concerning the likely transboundary environmental, including health, effects of implementing the plan or programme and the measures envisaged to prevent, reduce or mitigate adverse effects. 4. Where such consultations take place, the Parties concerned shall agree on detailed arrangements to ensure that the public concerned and the authorities referred to in article 9, paragraph 1, in the affected Party are informed

and given an opportunity to forward their opinion on the draft plan or programme and the environmental report within a reasonable time frame.

Article 11

DECISION 1. Each Party shall ensure that when a plan or programme is adopted due account is taken of:

(a) The conclusions of the environmental report;

(b) The measures to prevent, reduce or mitigate the adverse effects identified in the environmental report; and

(c) The comments received in accordance with articles 8 to 10. 2. Each Party shall ensure that, when a plan or programme is adopted, the public, the authorities referred to in article 9, paragraph 1, and the Parties consulted according to article 10 are informed, and that the plan or programme is made available to them together with a statement summarizing how the environmental, including health, considerations have been integrated into it, how the comments received in accordance with articles 8 to 10 have been taken into account and the reasons for adopting it in the light of the reasonable alternatives considered.

Article 12

MONITORING 1. Each Party shall monitor the significant environmental, including health, effects of the implementation of the plans and programmes, adopted under article 11 in order, inter alia, to identify, at an early stage, unforeseen adverse effects and to be able to undertake appropriate remedial action. 2. The results of the monitoring undertaken shall be made available, in accordance with national legislation, to the authorities referred to in article 9, paragraph 1, and to the public.

Article 13

POLICIES AND LEGISLATION 1. Each Party shall endeavour to ensure that environmental, including health, concerns are considered and integrated to the extent appropriate in the preparation of its proposals for policies and legislation that are likely to have significant effects on the environment, including health. 2. In applying paragraph 1, each Party shall consider the appropriate principles and elements of this Protocol.

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3. Each Party shall determine, where appropriate, the practical arrangements for the consideration and integration of environmental, including health, concerns in accordance with paragraph 1, taking into account the need for transparency in decision-making. 4. Each Party shall report to the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol on its application of this article.

Article 14

THE MEETING OF THE PARTIES TO THE CONVENTION SERVING AS THE MEETING OF THE PARTIES TO THE PROTOCOL 1. The Meeting of the Parties to the Convention shall serve as the Meeting of the Parties to this Protocol. The first meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall be convened not later than one year after the date of entry into force of this Protocol, and in conjunction with a meeting of the Parties to the Convention, if a meeting of the latter is scheduled within that period. Subsequent meetings of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall be held in conjunction with meetings of the Parties to the Convention, unless otherwise decided by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol. 2. Parties to the Convention which are not Parties to this Protocol may participate as observers in the proceedings of any session of the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol. When the Meeting of the Parties to the Convention serves as the Meeting of the Parties to this Protocol, decisions under this Protocol shall be taken only by the Parties to this Protocol. 3. When the Meeting of the Parties to the Convention serves as the Meeting of the Parties to this Protocol, any member of the Bureau of the Meeting of the Parties representing a Party to the Convention that is not, at that time, a Party to this Protocol shall be replaced by another member to be elected by and from amongst the Parties to this Protocol. 4. The Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall keep under regular review the implementation of this Protocol and, for this purpose, shall:

(a) Review policies for and methodological approaches to strategic environmental assessment with a view to further improving the procedures provided for under this Protocol;

(b) Exchange information regarding experience gained in strategic environmental assessment and in the implementation of this Protocol;

(c) Seek, where appropriate, the services and cooperation of competent bodies having expertise pertinent to the achievement of the purposes of this Protocol;

(d) Establish such subsidiary bodies as it considers necessary for the implementation of this Protocol;

(e) Where necessary, consider and adopt proposals

for amendments to this Protocol; and (f) Consider and undertake any additional action,

including action to be carried out jointly under this Protocol and the Convention, that may be required for the achievement of the purposes of this Protocol. 5. The rules of procedure of the Meeting of the Parties to the Convention shall be applied mutatis mutandis under this Protocol, except as may otherwise be decided by consensus by the Meeting of the Parties serving as the Meeting of the Parties to this Protocol. 6. At its first meeting, the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall consider and adopt the modalities for applying the procedure for the review of compliance with the Convention to this Protocol. 7. Each Party shall, at intervals to be determined by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol, report to the Meeting of the Parties to the Convention serving as the Meeting of the Parties to the Protocol on measures that it has taken to implement the Protocol.

Article 15

RELATIONSHIP TO OTHER INTERNATIONAL AGREEMENTS

The relevant provisions of this Protocol shall apply without prejudice to the UNECE Conventions on Environmental Impact Assessment in a Transboundary Context and on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters.

Article 16

RIGHT TO VOTE 1. Except as provided for in paragraph 2 below, each Party to this Protocol shall have one vote. 2. Regional economic integration organizations, in matters within their competence, shall exercise their right to vote with a number of votes equal to the number of their member States which are Parties to this Protocol. Such organizations shall not exercise their right to vote if their member States exercise theirs, and vice versa.

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Article 17

SECRETARIAT The secretariat established by article 13 of the Convention shall serve as the secretariat of this Protocol and article 13, paragraphs (a) to (c), of the Convention on the functions of the secretariat shall apply mutatis mutandis to this Protocol.

Article 18

ANNEXES The annexes to this Protocol shall constitute an integral part thereof.

Article 19

AMENDMENTS TO THE PROTOCOL 1. Any Party may propose amendments to this Protocol. 2. Subject to paragraph 3, the procedure for proposing, adopting and the entry into force of amendments to the Convention laid down in paragraphs 2 to 5 of article 14 of the Convention shall apply, mutatis mutandis, to amendments to this Protocol. 3. For the purpose of this Protocol, the three fourths of the Parties required for an amendment to enter into force for Parties having ratified, approved or accepted it, shall be calculated on the basis of the number of Parties at the time of the adoption of the amendment.

Article 20

SETTLEMENT OF DISPUTES The provisions on the settlement of disputes of article 15 of the Convention shall apply mutatis mutandis to this Protocol.

Article 21

SIGNATURE This Protocol shall be open for signature at Kiev (Ukraine) from 21 to 23 May 2003 and thereafter at United Nations Headquarters in New York until 31 December 2003, by States members of the Economic Commission for Europe as well as States having consultative status with the Economic Commission for Europe pursuant to paragraphs 8 and 11 of Economic and Social Council resolution 36 (IV) of 28 March 1947, and by regional economic integration organizations constituted by sovereign States members of the Economic Commission for Europe to which their member States have transferred

competence over matters governed by this Protocol, including the competence to enter into treaties in respect of these matters.

Article 22

DEPOSITARY The Secretary-General of the United Nations shall act as the Depositary of this Protocol.

Article 23

RATIFICATION, ACCEPTANCE, APPROVAL AND ACCESSION

1. This Protocol shall be subject to ratification, acceptance or approval by signatory States and regional economic integration organizations referred to in article 21. 2. This Protocol shall be open for accession as from 1 January 2004 by the States and regional economic integration organizations referred to in article 21. 3. Any other State, not referred to in paragraph 2 above, that is a Member of the United Nations may accede to the Protocol upon approval by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to the Protocol. 4. Any regional economic integration organization referred to in article 21 which becomes a Party to this Protocol without any of its member States being a Party shall be bound by all the obligations under this Protocol. If one or more of such an organization’s member States is a Party to this Protocol, the organization and its member States shall decide on their respective responsibilities for the performance of their obligations under this Protocol. In such cases, the organization and its member States shall not be entitled to exercise rights under this Protocol concurrently. 5. In their instruments of ratification, acceptance, approval or accession, the regional economic integration organizations referred to in article 21 shall declare the extent of their competence with respect to the matters governed by this Protocol. These organizations shall also inform the Depositary of any relevant modification to the extent of their competence.

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Article 24

ENTRY INTO FORCE 1. This Protocol shall enter into force on the ninetieth day after the date of deposit of the sixteenth instrument of ratification, acceptance, approval or accession. 2. For the purposes of paragraph 1 above, any instrument deposited by a regional economic integration organization referred to in article 21 shall not be counted as additional to those deposited by States members of such an organization. 3. For each State or regional economic integration organization referred to in article 21 which ratifies, accepts or approves this Protocol or accedes thereto after the deposit of the sixteenth instrument of ratification, acceptance, approval or accession, the Protocol shall enter into force on the ninetieth day after the date of deposit by such State or organization of its instrument of ratification, acceptance, approval or accession. 4. This Protocol shall apply to plans, programmes, policies and legislation for which the first formal preparatory act is subsequent to the date on which this Protocol enters into force. Where the Party under whose jurisdiction the preparation of a plan, programme, policy or legislation is envisaged is one for which paragraph 3 applies, this Protocol shall apply to plans, programmes, policies and legislation for which the first formal preparatory act is subsequent to the date on which this Protocol comes into force for that Party.

Article 25

WITHDRAWAL

At any time after four years from the date on which this Protocol has come into force with respect to a Party, that Party may withdraw from the Protocol by giving written notification to the Depositary. Any such withdrawal shall take effect on the ninetieth day after the date of its receipt by the Depositary. Any such withdrawal shall not affect the application of articles 5 to 9, 11 and 13 with respect to a strategic environmental assessment under this Protocol which has already been started, or the application of article 10 with respect to a notification or request which has already been made, before such withdrawal takes effect.

Article 26

AUTHENTIC TEXTS The original of this Protocol, of which the English, French and Russian texts are equally authentic, shall be deposited with the Secretary-General of the United Nations. IN WITNESS WHEREOF the undersigned, being duly authorized thereto, have signed this Protocol. DONE at Kiev (Ukraine), this twenty-first day of May, two thousand and three.

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ANNEXES

ANNEX I

List of projects as referred to in article 4, paragraph 2

1. Crude oil refineries (excluding undertakings manufacturing only lubricants from crude oil) and installations for the gasification and liquefaction of 500 metric tons or more of coal or bituminous shale per day.

2. Thermal power stations and other combustion

installations with a heat output of 300 megawatts or more and nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile materials, whose maximum power does not exceed 1 kilowatt continuous thermal load).

3. Installations solely designed for the production or

enrichment of nuclear fuels, for the reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of radioactive waste.

4. Major installations for the initial smelting of cast-iron

and steel and for the production of non-ferrous metals.

5. Installations for the extraction of asbestos and for the

processing and transformation of asbestos and products containing asbestos: for asbestos-cement products, with an annual production of more than 20,000 metric tons of finished product; for friction material, with an annual production of more than 50 metric tons of finished product; and for other asbestos utilization of more than 200 metric tons per year.

6. Integrated chemical installations.

7. Construction of motorways, express roads*/ and lines for long-distance railway traffic and of airports**/ with a basic runway length of 2,100 metres or more.

8. Large-diameter oil and gas pipelines. 9. Trading ports and also inland waterways and ports for

inland-waterway traffic which permit the passage of vessels of over 1,350 metric tons.

10. Waste-disposal installations for the incineration,

chemical treatment or landfill of toxic and dangerous wastes.

11. Large dams and reservoirs. 12. Groundwater abstraction activities in cases where the

annual volume of water to be abstracted amounts to 10 million cubic metres or more.

13. Pulp and paper manufacturing of 200 air-dried metric

tons or more per day. 14. Major mining, on-site extraction and processing of

metal ores or coal. 15. Offshore hydrocarbon production. 16. Major storage facilities for petroleum, petrochemical

and chemical products. 17. Deforestation of large areas.

___________

*/ For the purposes of this Protocol: - “Motorway” means a road specially designed and built for motor

traffic, which does not serve properties bordering on it, and which: (a) Is provided, except at special points or temporarily, with

separate carriageways for the two directions of traffic, separated from each other by a dividing strip not intended for traffic or, exceptionally, by other means;

(b) Does not cross at level with any road, railway or tramway track, or footpath; and

(c) Is specially sign posted as a motorway.

_______________________________________________

- “Express road” means a road reserved for motor traffic accessible only from interchanges or controlled junctions and on which, in particular, stopping and parking are prohibited on the running carriageway(s). **/ For the purposes of this Protocol, “airport” means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organization (annex 14).

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ANNEX II

Any other projects referred to in article 4, paragraph 2 1. Projects for the restructuring of rural land holdings. 2. Projects for the use of uncultivated land or semi-

natural areas for intensive agricultural purposes. 3. Water management projects for agriculture, including

irrigation and land drainage projects. 4. Intensive livestock installations (including poultry). 5. Initial afforestation and deforestation for the purposes

of conversion to another type of land use. 6. Intensive fish farming. 7. Nuclear power stations and other nuclear reactors*/

including the dismantling or decommissioning of such power stations or reactors (except research installations for the production and conversion of fissionable and fertile materials whose maximum power does not exceed 1 kilowatt continuous thermal load), as far as not included in annex I.

8. Construction of overhead electrical power lines with a

voltage of 220 kilovolts or more and a length of 15 kilometres or more and other projects for the transmission of electrical energy by overhead cables.

9. Industrial installations for the production of

electricity, steam and hot water. 10. Industrial installations for carrying gas, steam and hot

water. 11. Surface storage of fossil fuels and natural gas. 12. Underground storage of combustible gases. 13. Industrial briquetting of coal and lignite. 14. Installations for hydroelectric energy production. 15. Installations for the harnessing of wind power for

energy production (wind farms). 16. Installations, as far as not included in annex I,

designed: – For the production or enrichment of nuclear fuel; – For the processing of irradiated nuclear fuel;

*/ For the purposes of this Protocol, nuclear power stations and other nuclear reactors cease to be such an installation when all nuclear fuel and other radioactively contaminated elements have been removed permanently from the installation site.

– For the final disposal of irradiated nuclear fuel; – Solely for the final disposal of radioactive waste; – Solely for the storage (planned for more than 10

years) of irradiated nuclear fuels in a different site than the production site; or

– For the processing and storage of radioactive

waste. 17. Quarries, open cast mining and peat extraction, as far

as not included in annex I. 18. Underground mining, as far as not included in annex

I. 19. Extraction of minerals by marine or fluvial dredging. 20. Deep drillings (in particular geothermal drilling,

drilling for the storage of nuclear waste material, drilling for water supplies), with the exception of drillings for investigating the stability of the soil.

21. Surface industrial installations for the extraction of

coal, petroleum, natural gas and ores, as well as bituminous shale.

22. Integrated works for the initial smelting of cast iron

and steel, as far as not included in annex I. 23. Installations for the production of pig iron or steel

(primary or secondary fusion) including continuous casting.

24. Installations for the processing of ferrous metals (hot-

rolling mills, smitheries with hammers, application of protective fused metal coats).

25. Ferrous metal foundries. 26. Installations for the production of non-ferrous crude

metals from ore, concentrates or secondary raw materials by metallurgical, chemical or electrolytic processes, as far as not included in annex I.

27. Installations for the smelting, including the alloyage,

of non-ferrous metals excluding precious metals, including recovered products (refining, foundry casting, etc.), as far as not included in annex I.

28. Installations for surface treatment of metals and

plastic materials using an electrolytic or chemical process.

29. Manufacture and assembly of motor vehicles and

manufacture of motor-vehicle engines.

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30. Shipyards. 31. Installations for the construction and repair of aircraft. 32. Manufacture of railway equipment. 33. Swaging by explosives. 34. Installations for the roasting and sintering of metallic

ores. 35. Coke ovens (dry coal distillation). 36. Installations for the manufacture of cement. 37. Installations for the manufacture of glass including

glass fibre. 38. Installations for smelting mineral substances

including the production of mineral fibres. 39. Manufacture of ceramic products by burning, in

particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain.

40. Installations for the production of chemicals or

treatment of intermediate products, as far as not included in annex I.

41. Production of pesticides and pharmaceutical products,

paint and varnishes, elastomers and peroxides. 42. Installations for the storage of petroleum,

petrochemical, or chemical products, as far as not included in annex I.

43. Manufacture of vegetable and animal oils and fats. 44. Packing and canning of animal and vegetable

products. 45. Manufacture of dairy products. 46. Brewing and malting. 47. Confectionery and syrup manufacture. 48. Installations for the slaughter of animals. 49. Industrial starch manufacturing installations. 50. Fish-meal and fish-oil factories. 51. Sugar factories. 52. Industrial plants for the production of pulp, paper and

board, as far as not included in annex I. 53. Plants for the pre treatment or dyeing of fibres or

textiles. 54. Plants for the tanning of hides and skins.

55. Cellulose-processing and production installations. 56. Manufacture and treatment of elastomer-based

products. 57. Installations for the manufacture of artificial mineral

fibres. 58. Installations for the recovery or destruction of

explosive substances. 59. Installations for the production of asbestos and the

manufacture of asbestos products, as far as not included in annex I.

60. Knackers’ yards. 61. Test benches for engines, turbines or reactors. 62. Permanent racing and test tracks for motorized

vehicles. 63. Pipelines for transport of gas or oil, as far as not

included in annex I. 64. Pipelines for transport of chemicals with a diameter of

more than 800 mm and a length of more than 40 km. 65. Construction of railways and intermodal transhipment

facilities, and of intermodal terminals, as far as not included in annex I.

66. Construction of tramways, elevated and underground

railways, suspended lines or similar lines of a particular type used exclusively or mainly for passenger transport.

67. Construction of roads, including realignment and/or

widening of any existing road, as far as not included in annex I.

68. Construction of harbours and port installations,

including fishing harbours, as far as not included in annex I.

69. Construction of inland waterways and ports for

inland-waterway traffic, as far as not included in annex I.

70. Trading ports, piers for loading and unloading

connected to land and outside ports, as far as not included in annex I.

71. Canalization and flood-relief works. 72. Construction of airports**/ and airfields, as far as not

included in annex I. **/ For the purposes of this Protocol, “airport” means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organization (annex 14).

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73. Waste-disposal installations (including landfill), as far as not included in annex I.

74. Installations for the incineration or chemical

treatment of non-hazardous waste. 75. Storage of scrap iron, including scrap vehicles. 76. Sludge deposition sites. 77. Groundwater abstraction or artificial groundwater

recharge, as far as not included in annex I. 78. Works for the transfer of water resources between

river basins. 79. Waste-water treatment plants. 80. Dams and other installations designed for the holding-

back or for the long-term or permanent storage of water, as far as not included in annex I.

81. Coastal work to combat erosion and maritime works

capable of altering the coast through the construction, for example, of dykes, moles, jetties and other sea defence works, excluding the maintenance and reconstruction of such works.

82. Installations of long-distance aqueducts. 83. Ski runs, ski lifts and cable cars and associated

developments. 84. Marinas. 85. Holiday villages and hotel complexes outside urban

areas and associated developments. 86. Permanent campsites and caravan sites. 87. Theme parks. 88. Industrial estate development projects. 89. Urban development projects, including the

construction of shopping centres and car parks. 90. Reclamation of land from the sea.

________________

ANNEX III

Criteria for determining of the likely significant environmental, including health, effects referred to in article 5, paragraph 1

1. The relevance of the plan or programme to the integration of environmental, including health, considerations in particular with a view to promoting sustainable development. 2. The degree to which the plan or programme sets a framework for projects and other activities, either with regard to location, nature, size and operating conditions or by allocating resources. 3. The degree to which the plan or programme influences other plans and programmes including those in a hierarchy. 4. Environmental, including health, problems relevant to the plan or programme.

5. The nature of the environmental, including health, effects such as probability, duration, frequency, reversibility, magnitude and extent (such as geographical area or size of population likely to be affected). 6. The risks to the environment, including health. 7. The transboundary nature of effects. 8. The degree to which the plan or programme will affect valuable or vulnerable areas including landscapes with a recognized national or international protection status.

________________

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ANNEX IV

Information referred to in article 7, paragraph 2 1. The contents and the main objectives of the plan or programme and its link with other plans or programmes. 2. The relevant aspects of the current state of the environment, including health, and the likely evolution thereof should the plan or programme not be implemented. 3. The characteristics of the environment, including health, in areas likely to be significantly affected. 4. The environmental, including health, problems which are relevant to the plan or programme. 5. The environmental, including health, objectives established at international, national and other levels which are relevant to the plan or programme, and the ways in which these objectives and other environmental, including health, considerations have been taken into account during its preparation. 6. The likely significant environmental, including health, effects*/ as defined in article 2, paragraph 7.

7. Measures to prevent, reduce or mitigate any significant adverse effects on the environment, including health, which may result from the implementation of the plan or programme. 8. An outline of the reasons for selecting the alternatives dealt with and a description of how the assessment was undertaken including difficulties encountered in providing the information to be included such as technical deficiencies or lack of knowledge. 9. Measures envisaged for monitoring environmental, including health, effects of the implementation of the plan or programme. 10. The likely significant transboundary environmental, including health, effects. 11. A non-technical summary of the information provided.

___________

*/ These effects should include secondary, cumulative, synergistic, short-, medium- and long-term, permanent and temporary, positive and negative effects.

________________

ANNEX V

Information referred to in article 8, paragraph 5 1. The proposed plan or programme and its nature. 2. The authority responsible for its adoption. 3. The envisaged procedure, including:

(a) The commencement of the procedure; (b) The opportunities for the public to participate; (c) The time and venue of any envisaged public

hearing;

(d) The authority from which relevant information can be obtained and where the relevant information has been deposited for examination by the public;

(e) The authority to which comments or questions

can be submitted and the time schedule for the transmittal of comments or questions; and

(f) What environmental, including health,

information relevant to the proposed plan or programme is available. 4. Whether the plan or programme is likely to be subject to a transboundary assessment procedure.

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LECTURE 13: SEA WITHIN SEPA 2014 CONTEXTENVIRONMENTAL IMPACTS - METHODSSUBMISSION OF EIA TO SEPASEPA NOC

Engr. Tufail Ali Zubedi http://www.SPMCpk.com/

Strategic Environmental Assessment – SEPA 2014

Strategic Environmental Assessment – SEPA 2014

ENVIRONMENTAL IMPACTS VARY IN:

Type and natureMagnitudeExtentTi iTimingDurationUncertaintyReversibilitySignificance

SEPA NOC

Environmental Monitoring by Independent Monitoring Consultants

Determine baselinesIdentify monitoring parametersy g pIdentify EMP requirements Sampling protocol / methodologyExecution and Monitoring Report Submission

Student Presentations:

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E T f il Ali Z b diEngr. Tufail Ali Zubedi

http://www.SPMCpk.com

IntroductionThe major environmental and social management challenges that we face today—Climate change, loss of biodiversity, the decline of ocean fisheries, limitations on food security, the scarcity of usable fisheries, limitations on food security, the scarcity of usable freshwater resources, displacement of communities with consequent increases in urban poverty, and inviability of traditional local livelihoods—are all the result of cumulative impacts from a large number of activities that are for the most part Individually insignificant, but together have had regional or even global repercussions.

The importance of understanding the cumulative environmental and social impacts

from multiple projects, actions, or activities—or even f th ti t d d i d f from the same actions over an extended period of time—

located in the same geographic region or affecting the same resource (e.g., watershed, airshed) has been acknowledged for decades.

environmental and social impact assessment (ESIA) process

Assesses and manages environmental and social impacts of individual projectsof individual projects,

It may be insufficient for identifying and managing incremental impacts on areas or resources used or directly affected by a given development from other existing, planned, or reasonably defined developments at the time the ESIA is carried out.

Cumulative impacts are contextual and encompass a broad spectrum of impacts at different spatial and temporal scales.Impact may be

generated at a specific site or moment in time, but its consequences may be felt in a different geographical area (e g downwind or may be felt in a different geographical area (e.g., downwind or downstream), or materialize sometime later (e.g., bioaccumulation, attainment of a resilience threshold).

Surpass traditional “direct area of influence” (DAI) concept,Needed:

analysis of indirect and cumulative effects, as well as the need to expand the geographical boundaries of the impact assessment and/or the time frame used for the analysis.

What are Cumulative Impacts?Cumulative impacts are those that result from the successive, incremental, and/or combined effects of an action, project, or activity when added to other existing planned and/or reasonably anticipated existing, planned, and/or reasonably anticipated future ones.

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Examples of cumulative impactsEffects on ambient conditions such as the incremental contribution of pollutant emissions in an airshed.Increases in pollutant concentrations in a water body or in the soil or sediments, or their bioaccumulation.Reduction of water flow in a watershed due to multiple withdrawals.I i di t l d t h d i d iIncreases in sediment loads on a watershed or increased erosion.Interference with migratory routes or wildlife movement.Increased pressure on the carrying capacity or the survival of indicator species in an ecosystem.Wildlife population reduction caused by increased hunting, road kills, and forestry operations.Depletion of a forest as a result of multiple logging concessions.Secondary or induced social impacts, such as in‐migration, or more traffic congestion and accidents along community roadways owing to increases in transport activity in a project’s area of influence.

Cumulative Effects AssessmentThe U.S. Council on Environmental Quality (1997, Executive Summary page v) defines Cumulative Effects Assessment (CEA) as follows: “the impact on the environment which results from the incremental impact of the action when added to their past, present and reasonably foreseeable future actions regardless of what agency (federal or non‐federal) or person undertakes such other action.”

What Is Cumulative Impact Assessment and Management?

CIA is the process of (a) analyzing the potential impacts and risks of proposed developments in the context of the potential effects of other human activities and natural effects of other human activities and natural environmental and social external drivers on the chosen VECs over time, and (b) proposing concrete measures to avoid, reduce, or mitigate such cumulative impacts and risk to the extent possible.

Cumulative EffectsHegmann et al. (1999, Section 2, page 3) define Cumulative Effects as “changes to the environment that are caused by an action in combination caused by an action in combination with other past, present and future actions.”

What are Valued Environmental and Social Components?VECs are environmental and social attributes that are considered to be important in assessing risks; they may be:physical features, habitats, wildlife populations (e.g., p y , , p p ( g ,biodiversity),ecosystem services,natural processes (e.g., water and nutrient cycles, microclimate),social conditions (e.g., health, economics), orcultural aspects (e.g., traditional spiritual ceremonies).

How do VECs influence the CIA process?

CIA is inherently future‐oriented. The need for CIA comes to

understand the conditions of VECs expected to result from the combination of development impacts and natural forces.

CIA focuses on understanding whether cumulative impacts will affect the sustainability or viability of a VEC as indicated by the predicted condition of the VEC.The significance of cumulative impacts is judged in the context of thresholds or limits of acceptable change, within which the VEC condition is considered to be acceptable but beyond which further change in condition is not acceptable.

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CIA has six objectives:1. Assess the potential impacts and risks of a proposed development over time, in the context of potential effects from other developments and natural environmental and social external drivers on a chosen VEC.

2. Verify that the proposed development’s cumulative social and environmental impacts and risks will not exceed a threshold that could compromise the sustainability or viability of selected VECs.

3. Confirm that the proposed development’s value and feasibility are not limited by cumulative social and environmental effects.

4. Support the development of governance structures for making decisions and managing cumulative impacts at the appropriate geographic scale (e.g., airshed, river catchment, town, regional landscape).

5. Ensure that the concerns of affected communities about the cumulative impacts of a proposed development are identified, documented, and addressed.

6. Manage potential reputation risks.

ESIA: PROJECT‐CENTERED PERSPECTIVE

CIA: VEC‐CENTERED PERSPECTIVE A cumulative impact includes two components:The anticipated future condition, which is the total effect of the other existing, and predictable future developments and external natural environmental and developments and external natural environmental and social drivers, and The contribution of the development under evaluation to the cumulative impacts.

In the CIA context, the incremental impact of a development under review is the difference between the condition of the VEC when impacted only by the other developments in the future baseline and the other developments in the future baseline and the condition of the VEC when impacted by both the development under review and the future baseline impacts (Figure 5 ).

In the context of ESIA and CIA, a project’s incremental impacts are the same but are viewed differently—and the views can give very different assessments of the need for impact management (see Box 5).p g 5

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Process for Implementing a CIA?Step 1: Scoping Phase I – VECs, Spatial and Temporal BoundariesObjectives:

Identify and agree on VECs in consultation with stakeholders.y gDetermine the time frame for the analysis.Establish the geographic scope of the analysis.

Questions to answer:Whose involvement is key?Which VEC resources, ecosystems, or human values are affected?Are there concerns from existing cumulative impacts?

Step 2: Scoping Phase II – Other Activities and Environmental DriversObjectives:

Identify other past, existing, or planned activities within the analytical boundariesanalytical boundaries.Assess the potential presence of natural and social external influences and stressors (e.g., droughts, other extreme climatic events).

Questions to answer:Are there any other existing or planned activities affecting the same VEC?Are there any natural forces and/or phenomena affecting the same VEC?

Step 3: Establish Information on Baseline Status of VECsObjectives:

Define the existing condition of VEC.Understand its potential reaction to stress, its resilience, and pits recovery time.Assess trends.

Questions to answer:What is the existing condition of the VEC?What are the indicators used to assess such condition?What additional data are needed?Who may already have this information?

Step 4: Assess Cumulative Impacts on VECsObjectives:

Identify potential environmental and social impacts and risks.Assess expected impacts as the potential change in condition Assess expected impacts as the potential change in condition of the VEC (i.e., viability, sustainability).Identify any potential additive, countervailing, masking, and/or synergistic effects.

Questions to answer:What are the key potential impacts and risks that could affect the long‐term sustainability and/ or viability of the VEC?Are there known or predictable cause‐effect relationships?Can these impacts and risks interact with each other?

Step 5: Assess Significance of Predicted Cumulative ImpactsObjectives:

Define appropriate “thresholds” and indicators.Determine impact and risk magnitude and significance in the context of past, present, and future actions.Identify trade‐offs.

Questions to answer:Do these impacts affect the sustainability and/or viability of the resource and/or VEC?What are the consequences and/or trade‐offs of taking the action versus no action?

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Step 6: Management of Cumulative Impacts – Design and ImplementationObjectives:

Use the mitigation hierarchy.Design management strategies to address significant cumulative impacts on selected VECsimpacts on selected VECs.Engage other parties needed for effective collaboration or coordination.Propose mitigation and monitoring programs.Manage uncertainties with informed adaptive management.

Questions to answer:How can cumulative impacts be avoided, minimized, and/or mitigated?How can the effectiveness of proposed management measures be assessed?What are the triggers for specific adaptive management decisions?

References

Going FurtherCheck for projects in Pakistan Planning commission website at http://www.pc.gov.pk/ and see if you can identify need for a Cumulative Impact Assessment on its Annual Development Planits Annual Development Plan