Strengthening EG in SCM Industry in Shaanxi China

Strengthening EG in SCM Industry in Shaanxi, China 加强中国陕西小型煤矿的环境治理 作 Training 3 – Introduction to Environmental Impact Assessment (EIA) 培训 3——环境影响评估（EIA）介绍 John Clarkson 1

Introduction to Environmental Impact Assessment (EIA) in the EU 欧洲环境影响评估（EIA）介绍 Environmental assessment is a procedure that ensures that the environmental implications of decisions are taken into account before the decisions are made. 环境评估指的是在政策制定出来之前，需确保考虑到影响政策的环境因素。 EIA is a legal process (UK EIA Regulations 2011) to identify and appraise the potential effects of a development on the environment: 环境影响评估是一个法律过程（英国环境影响评估条例2011 ）用来识别和评估环境发展的潜在影响： In accordance with the Action Programmes of the European Communities related to the Environment - Council Directive 85/337/EEC of 27 June 1985 on the assessment of the effects of certain public and private projects on the environment, as amended by Directive 97/11/EC has been developed and is in current use. 根据欧洲共同体的环境行动方案——经指令 97/11 EC（欧盟委员会）修订，1985年 6月27日的理事会指令 85/337/EEC（欧 共体）对部分公众及私营项目对环境的影响作出了评估，该行动方案已经制定，并在当前使用。 Purpose: Environmental assessment must be undertaken for individual projects. 目的： 必须针对个体 程项目进行环境评估， Annex I makes it mandatory to provide and EIA for the following projects: 附件一 强制要求对以下项目作出环境影响评估： e. g. long-distance railway lines, motorways and express roads, airports with a basic runway length ≥ 2100 m, installations for the disposal of hazardous waste, installations for the disposal of non-hazardous waste > 100 tonnes/day, waste water treatment plants 例如：长距离铁路线，高速公路，基本跑道长度≥ 2100米的机场，危害废弃物的处理装置，非危险废弃物处理装置（100 吨废弃物/日），污水处理厂 The Directives on Environmental Assessment aim to provide a high level of protection of the environment and to contribute to the integration of environmental considerations into the preparation of projects, plans and programmes with a view to reducing their environmental impact. They ensure public participation in decision-making and thereby strengthen the quality of decisions. 环境评估指令旨在提供高水平的环保措施，并将环境因素考虑纳入到项目、计划、 程的准备当中，以降低环境污染。 保证公众参与决策从而提高决策质量。 2

EIA summary 环境影响评估总结 The EIA procedure can be summarized as follows: 环境影响评估程序总结如下： • The developer may request the competent authority (local government representatives) to say what should be covered by the EIA information to be provided by the developer (scoping stage); • 开发商可询问主管机构（当地政府代表）所提供的环境影响评估信息应当包括哪些内容(规定范围阶段); • The developer must provide information on the environmental impact (EIA report ); 开发商必须提供环境影响相关信息（环境影响评估报告）； • The environmental authorities and the public (and affected Member States) must be informed and consulted; 环保部门以及公众（包括受影响的成员国）必须知情并受到咨询； • The competent authority decides, taking into consideration the results of consultations. The public is informed of the decision afterwards and can challenge the decision before the courts. • 主管机构需考虑咨询结果并作出决策。公众在决策公布后对决策有知情权，并可在法庭前对该决策提出挑战。 3

Annex II of the Directives 指令附件二 For the mining industry reference is made to Annex II of the EIA Directive sub-paragraph 2 related to Extractive Industry. The sub-paragraphs in question in the original (85/337/EEC) Directive are: 采矿业可参照环境影响评估指令附件二与采掘业相关的第二小段。原指令（85/337/EEC）中正在予 以考虑的分段如下： (d) Extraction of coal and lignite by underground mining. 四、地下开采煤炭和褐煤。 (e) Extraction of coal and lignite by open-cast (surface) mining >25 hectares. 五、露天（表面）开采煤炭和褐煤，>25公顷。 For projects listed in Annex II, the national authorities have to decide whether an EIA is needed. This is done by the "screening procedure", which determines the effects of projects on the basis of thresholds/criteria or a case by case examination. 针对附件二中列出的 程项目，国家权力机构可以抉择是否需要环境影响评估。 通过“筛选程序”，以门槛/标准，或逐案审查情况来判定项目的效果。 4

Sustainable Development of Coal Mine 煤矿的可持续发展 开发 Our previous Training in September 2013 dealt with each aspect of a coal mine cycle. 2013年 9月的培训当中我们已经讲述了煤矿周期的每一个方面。 In each of the sub headings it was stressed that environmental considerations should be considered at each stage of the development 可行性 计划及设计 建设 在每一个副标题下，我们都强调在发展的每一个阶段都需要考虑到环境 因素。 Throughout TR 3 we will look at several mines currently in the operating or closure phase within the North East of England Coalfield 此次培训当中，我们将看到一些英国东北部煤田正在运营或已经停运的 煤矿点。 Firstly we need to consider the terms used in the formal EIA process for any mining development 正式的环境影响评估过程可用于任何矿业开发，首先我们要考虑到这一 过程中所用到的术语 运营（逐步恢复） 停用及关闭 5

Glossary 术语表 Consultation 咨询 This is the stage of the EIA process where the environmental authorities and the public (including Member States, where appropriate) are entitled to express comments and opinions on the project. 在这一环境影响评估步骤中，环保机构及公众（包括成员国，适当情况下）有权对该项目进行评论并表 达意见。 Developer 开发商 The company or authority which initiates the project and applies for authorisation. 公司或当局发起该项目并申请批准。 Development Consent (authorisation) 发展许可（批准） The decision of the competent authority or authorities which entitles the developer to proceed with the project. It is the end of the decision making process 主管机构或当局的决策授权开发商可以跟进项目，这是制定决策的最后一步。 EIA 环境影响评估 Environmental Impact Assessment for public and private projects 针对公共或私营项目进行环境影响评估 Scoping 划定范围 This is the stage of the EIA process that determines the content and extent of the matters to be covered in the environmental information to be submitted to the competent authority by the developer. 该步骤决定了环境信息中所包含的内容和范围，需由开发商提交给主管机构 6

Glossary continued 术语表续 Screening 筛选 The part of the EIA process that determines whether an EIA is required for Annex II projects. The screening is carried out on a “case by case” basis based on thresholds or criteria in Annex III of the Directive. Screening is further sub-divided into negative screening and positive screening! 此步骤针对附件二所列项目决定是否需要环境影响评估。筛选通过逐个案例分析进行，并以指令附件二中 的门槛或标准为基础。筛选进一步细分为消极筛选和积极筛选！ Annex III criteria are: Characteristics of the projects, location of the project, characteristics of the potential impact of the project. 附件二中标准有：项目特点、项目位置、项目潜在影响的特点 Negative screening 消极筛选 A screening that does not result in an EIA, because the competent authority considers the project is unlikely to have significant environmental effects. 该筛选不影响环境影响评估，因为主管机构认为该项目不可能对环境造成重大影响。 Positive screening 积极筛选 A screening that results in an EIA, because the competent authority considers the project is likely to have significant environmental effects. 该筛选对环境影响评估造成影响，因为主管机构认为该项目很可能对环境造成重大影响。 Mitigation measures 缓解措施 Measures aimed at minimising or even cancelling the negative impact of the project, during or after its completion 措施旨在在项目实施或完成后最大程度地降低或解除该项目的负面影响。 7

The EIA procedure 环境影响评估程序 Request for the development consent 寻求开发许可 Annex I Project 附件一 项目 Annex II Project 附件二 项目 Screening 筛选 Scoping (depending on national legislation) 规定范围（依照国家法律） Information on environmental impacts 环境影响信息 EIA required 环境影响评估要求 No EIA required 非环境影响评估要求 Review procedures Proceedings before court 出庭前审核过程及 程序 Consultation 咨询 Final decision 最终决策 8

Key stages explained 主要步骤介绍 • • • Project preparation 项目准备 Notification to CA 通知主管机构 Screening 筛选 Scoping 规定范围 Environmental studies 环境调研 Submission of environmental information to CA 向主管机构提交环境信息 Review of the adequacy of Environmental Information 审核环境信息是否充足 Consultation process with statutory EA and other stakeholders 与法定环境部门及其他利益相关方问询协商 Consideration of environmental information by CA following consultation 咨询后主管机构对环境信息进行考虑 Decision 作出决策 Post decision monitoring 决策后监管 9

Initial steps 初始步骤 • Project preparation & notification to CA – Developer outlines project to CA. This can be in the form of a non-technical summary (NTS). The competent authority may offer pre-application advice. 项目准备及通知CA(主管机构)-开发商向CA(主管机构)概述项目。形式可以为非技术性总结（NTS）. 主管 机构可提供预申请意见 • Screening - Annex II project – EIA or no EIA (dependent on size of project). Screening decision must be recorded and made public 筛选—附件二项目- 采取或不采取环境影响评估（取决于项目规模）。筛选决定需记录并公开。 • Environmental studies – Developer submits information relevant to project along with a formal application • 环境调研—开发商提交于项目相关信息并提交正式申请书。 • In most countries the environmental information is provided in the form of an environmental impact statement (EIS) • 大多数国家中环境信息以环境影响报告（EIS）形式提交。 • Review of the adequacy of Environmental information to Competent Authority (CA) • 审查提交到主管机构的环境信息的充足性 • CA is responsible for determining whether information is adequate as provided by EIS above. • 主管机构有责任决定环境影响报告所提供的信息是否充足。 It is important, however, to emphasise that the main aim of an EIS to provide good information for two audiences - decision makers and people potentially affected by a project. The most important thing is therefore, that it should communicate effectively with these audiences. A checklist can be used to check the adequacy of information provided. 但是，需要强调环境影响报告主要是向两大群体提供信息——决策者和受到项目潜在影响的群众。因此，最 重要的是与这些群体进行有效沟通。检查表可用于检查提供的信息是否充足。 10

Next steps 后续步骤 If the information provided in the EIS is considered to be inadequate then the CA can request the developer to provide additional information. 若环境影响报告中所提供的信息不充足，则主管机构可要求开发商提供额外信息。 • Consultation with Statutory Environmental Authorities, Other interested parties and the Public • 与法定环保机构、其他利益相关方以及公众进行咨询 • A list of consultees will be drawn up and a time will be given for the consultation process to take place. Notice of the consultation process and the timescale will be given to the developer by the CA. • 将会制定被咨询者名单，并制定出用于咨询的时间表。主管机构会将咨询须知和时间表给到开发商。 • For small mines it is unlikely that trans-boundary effects are likely to be significant and therefore there should be no requirement to contact neighbouring countries. 对于小型煤矿来说，很少会出现重大的跨境影响，因此不需要与邻国联系。 • Consent decision making process 决策许可 • In accordance with Article 8 of the Directive the environmental information and the results of the consultation process must be considered before a decision is reached. • 根据指令第八条，需在决策制定出来之前考虑环境信息及咨询结果。 • Announcement of decision 决策宣布 • The decision must be made available to the public including the reasons for grating the decision. The decision should also include a description of the measures that will be required to mitigate adverse environmental effects (Article 9). • 公众对决策有知情权，包括了解政策颁布原因。决策还应包括关于降低负面环境影响措施的描述（第九条）。 • Post-decision monitoring if project is granted consent 项目获得许可后的决策后期监管 • There may be a requirement to monitor the effects of the project once the project is implemented. This will be in the form of consent conditions. • 一旦项目开始实施，应要求监管项目影响。以许可条件的方式进行监管。 11

Decision can challenged 可对决策发起挑战 The decision can be challenged and if necessary a case can be brought before the courts. 可对决策发起挑战，必要时可对该项目开庭审议。 Examples can be given based on UK experience for surface (opencast) mines. 可就英国露天煤矿经验给出案例。 12

UK examples of EIA and Planning consents 英国环境影响评估案例及计划许可 Example 1: Potland Burn opencast coal mine 例1：波特兰燃煤露天煤矿 Developer: UK Coal Competent Authority: Northumberland County Council 开发商：英国煤炭 主管机构：诺森伯兰郡议会 Example 2: Shotton opencast coal mine 例2：肖顿露天煤矿 Developer: HJ Banks Competent Authority: Northumberland County Council 开发商：HJ银行 主管机构：诺森伯兰郡议会 Example 3: Coal fired power station conversion to biomass 例3：燃煤电厂转化为燃料 Developer: Rio Tinto Alcan Competent Authority: Northumberland County Council 开发商：力拓加铝 主管机构：诺森伯兰郡议会 13

Potland Burn surface mine – site location 波特兰燃煤露天煤矿——地理位置 14

Potland Burn – aerial view 波特兰燃煤矿——鸟瞰图 Site boundary Limit of excavation 矿点边界 开采限制 15

Potland Burn – main features 波特兰燃煤矿——主要特点 • • • Initial consent in 2005 for 243 hectares – 2 areas of excavation 2005年首次许可开采243公顷——两个地域 2, 027, 000 tonnes coal – all transported by rail 202万7千吨煤炭——全部通过铁路运输 500, 000 tonnes fireclay 50万吨耐火粘土 Site life 6 years and 8 months 矿点寿命 6年 8个月 Restoration 恢复 • 71 hectare nature conservation • 71公顷自然保护区 • 32. 4 hectares of new woodland hedgerows • 32. 4公顷新林地和灌木 • Initial Community fund of £ 200, 000 for local benefits • 20万英镑的初始社区基金作为当地补助金 • Consent was revised in 2008 following comments from the competent authority (Northumberland CC) in 2007 regarding landscape and visual impacts: • 主管机构（诺森伯兰郡议会）2007年就景观和视觉影响给出评论之后于2008年修改了许可 • Complete removal of a mound close to housing • 彻底清除住房边的沙石堆 • Better screening of the site • 择优筛选矿点 • More progressive restoration • 更进一步恢复 • Increase in Community benefit to £ 500, 000. • 将社区补助金提高至 50万英镑 This demonstrates how the original consent can be varied based on further consultation! 这说明了最初许可是如何根据日后协商而改变的！ 16

Shotton surface mine – Main features 肖盾露天煤�——主要特点 • Permission granted in 2007 by UK Secretary of State following initial refusal of consent. Original decision appealed by Developer with support from customer 最初并未取得许可，之后2007年英国国务卿授予了许可。开发商呼吁顾客支持最初决定 • Permission for: 批准： • 3. 4 million tonnes of coal 340万吨煤 • 2 million tonnes of brickshale 200万吨砖页岩 • 750, 000 tonnes of fireclay 75万吨耐火粘土 • 90 Planning conditions included 90项规划条件 • 5 phases of operation 5个操作阶段 • Further revision in 2010 to: 2010年进一步修订： • Increase vehicle movements to 190/day 车流量增加到 190辆/天 • Increase number of blasts to 4 per day 鼓风量增加到每天 4次 • Increase extent of coal stocking area. 延伸煤矿储存区域 • April 2011年 4月 • Permission for a further 2 million tonnes of coal 额外批准200万吨煤炭 • 350, 000 tonnes fireclay 35万吨耐火粘土 This is an example of how the original decision can be challenged in court and reversed provided there is sufficient evidence to support sustainable development! Subsequent variations to the revised consent are based on stakeholder confidence that the operation can be managed well and will continue to provide local employment as well as supporting the local economy. 这一事例说明最初决策时如何在法庭上受到挑战的，若有充足证据来支撑可持续发展，最初决策也是可 以改变的！修订许可的后续变化是基于利益相关方的信心，他们相信能够很好得运营并继续为当地就 17 业以及当地经济发展做贡献。

Shotton – aerial view 肖盾——鸟瞰图 19

Shotton – Working method – Phase 1 肖盾——运营方法——第一阶段 20

Power Station conversion to biomass 发电厂转化成燃料 Application by Rio Tinto Alcan to convert a 420 MW coal fired Power Station to biomass 力拓加铝将一个 420兆瓦的燃煤发电厂转化成燃料 Main features: 主要特点： • Power Station commissioned in 1972 and was burning 1. 2 million tonnes of coal • 发电厂于1972年投入使用，燃烧了120万吨煤 • 900, 000 tonnes from local opencast (Shotton and Potland Burn) • 90万吨当地露天煤矿（Shotton及Potland Burn） • 300, 000 tonnes of International low sulphur coal 30万吨国际低硫煤 • Application to convert to biomass (wood) to preserve local employment, enable sale of power station and to comply with EU legislation and regulations on acid gas emissions (SO 2 and NOx) and to eliminate CO 2 emissions. 转化成燃料（林木）以保护当地就业、销售发电厂，并遵循欧盟就酸性气体排放（二氧化硫及氮氧化合 物）的法律和条例，消除二氧化碳排放。 • PS would have same output but would burn 1. 8 million tonnes of imported biomass • ��厂�有同�的�量，但会燃� 180万吨�口燃料 • Application was made in 2010 and permission was granted in 2011. • 2010年开始使用，2011年授予许可 • No EIA was required (ref. slide 7) 不需要环境影响评估（参见第七页） • Environmental Statement was required 需要环境报告 • Consultation was necessary 需要咨询 This is an example of a Planning variation to convert to a more sustainable fuel source. For a new build it would have been an Annex I project! It demonstrates the flexibility of the planning system and is a “common sense” approach to the requirement for EIA. Environmental aspects and impacts are still reviewed and consulted upon before a final decision is made. 该案例展现了规划中的变化，转化成一种更加可持续的燃料能源。对于一个新项目这本属于附件一项目！它展示出了 规划系统的灵活性，并且是一种满足环境影响评估要求的最基本的方法。在最终决策制定出来之前，仍需审查、咨询 21 环境方面的问题及影响。

Biomass storage – projected layout 燃料储存——项目布局 化学燃 料设备 22

Power Station conversion to biomass 发电厂转化成燃料 Top left: Existing coal-fired Power Station viewed from North West 左上角：从西北方向观察现存的燃煤发电厂 Top centre: Visual impact of biomass storage silos (photomontage) 中间： 燃料储存仓的视觉效果（合成照片） Top right: Biomass fuel (wood pellets) 右上角：燃料（林木颗粒） 23

Consents and review 许可与审查 For all of the above projects planning consents are required along with any other environmental permits or consents, issued by either the national or local authorities. 需要所有上述项目的规划许可，以及国家或当地机构发布的其他任何环境许可或同意书。 All permissions included in these consents can be varied at any time by either party (developer or regulator) and they are subject to continuous assessment and review. This process will be described in future sessions. 同意书中的所有许可可以随时按照任意一方意见（开发商或管理者）变更，同时所有许可需要继续评估 与审查。这一过程再后面内容中再做讲解。 24

EIA Objectives 环境影响评估目标 The environmental impact assessment shall identify, describe and assess in an appropriate manner, in the light of each individual case and in accordance with Articles 4 to 11 of Directive (97/11/EC) , the direct and indirect effects of a project on the following factors: 环境影响评估应当以恰当的方式进行识别、描述并评估，需考虑到每一个个别案例并与指令 (97/11/EC)中第四至十一条规则相一致，项目可直接和间接地影响到以下因素： • the human beings, fauna and flora; • 人类、动植物； • soil, water, air, climate and the landscape; • 土地、水、空气、气候和景观； • material assets and the cultural heritage; • 物质财产和文化遗产； The interaction between the factors mentioned in the first, second and third indents. 以及上述三个部分的相互作用。 25