TOWARDS SUSTAINABLE DEVELOPMENT:

WHAT CAN MONGOLIA LEARN FROM STRATEGIC

ENVIRONMENTAL ASSESSMENT PRACTICES OF OTHER
DEVELOPING COUNTRIES?

MUNKHJARGAL Tsend-Ayush

This dissertation is submitted in part fulfillment of the requirements of the

degree of MSc in Environmental Assessment and Management

Faculty of Technology, Design and Environment and Faculty of Health of Health

and Life Sciences
Oxford Brookes University

September 2013
 I affirm that this dissertation contains no unacknowledged work or ideas
from any publication or written work by another student or any other person.

'Statement of Ethics Review Approval

This dissertation involved human participants. A Form E1BE for each group of
participants, showing ethics review approval has been attached to this dissertation
as an appendix'.

1
 Abstract

Strategic Environmental Assessment (SEA) is an instrument to enable integration

of environmental and sustainable development issues into early stages of
development policy and planning, to help design and assess strategic options, and
to validate final outcomes. As it is a distinctive tool in relation to other tools, a
growing number of countries at all levels of development have been legislating the
applications of Strategic Environmental Assessment with different approaches and
quality. Mongolia has adopted the Strategic Environmental Assessment recently in
2012, however, there is very little experience and capacity at this time and, thus, a
need to build capacity. Consequently, there is not any paper available in relation to
how to apply and what needs to be considered for Mongolia during the early stage
of starting this approach. Therefore, this study attempts to review the quality of
SEA legislations and its practice in countries such as Bhutan, China and Lao which
are considered to be at the same level of development and in the same region as
Mongolia. In order extract the lessons to learn for Mongolia, extensive literature
review in relation to the political, economic, social and environmental situations of
these countries was studied, the legislation review and questionnaire were
conducted and other tools were used to analyse the information to achieve the
final output of the study. This review found that there are key issues and outcomes
that SEA should aim for which have not been considered effectively and the
majority of the essential SEA elements were found missing. Secondly, the paper
also reveals that during a rapid growth, for example, with many new investment
projects coming into the Mongolia, these investments need to be in line with
national strategies and plans and sector development strategies and plans and
with SEA - while considering the issue of herding lifestyle as a natural heritage
weighed against the economic benefits.

Key words: SEA, Mongolia, Bhutan, Lao, China, Lessons to learn

2
Word Count: 13,478

3
 Contents

Abstract 2
1. INTRODUCTION 8
1.1 Objectives 9
1.2 Rationale 10
1.3 Structure 12
2. DATA AND METHODOLOGIES 13
2.1 Sample Selection 13
2.2 Data Collection 14
2.3 Methodologies 16
3. LITERATURE REVIEW 24
3.1 Territory 24
3.2 Economy 25
3.3 Environment 30
3.4 Politics 35
3.5 Social Situation 37
3.6 Summary of Key Messages and its Implications 40
4. CURRENT PRACTICES OF SEA 43
4.1 Mongolia 43
4.2 Bhutan 46
4.3 China 48
4.4 Lao 51
4.5 Summary of Key Messages and its Implications 52
5. RESULTS AND DISCUSSIONS 55
5.1 Results and discussions of the SEA Legislation Review 55
5.2 Results and discussions of the questionnaire 61
5.3 Recommendations 70
6. CONCLUSIONS 74
Appendices 85

4
Tables
Table 2.1: Countries selected first for data collection. ........................................................13
Table 2.2: Countries selected as case studies for this research. ......................................15
Table 2.3: Review criteria of SEA legislation within case studies. ..................................18
Table 2.4: Rationale for questions used for countries with SEA experience……….. 18
Table 2.5: Rationale for questions used for countries without SEA experience. ......20
Table 3.1: Key facts of region, territory and accessibility to the sea..............................25
Table 3.2: GDP per capita and summary of main industry in case study countries.26
Table 3.3: Summary of environmental conditions and problems...................................31
Table 3.4: Political regime and government of Bhutan, China, Lao and Mongolia. ..36
Table 3.5: Human Development Index (HDI) rank, 2013. ................................................38
Table 3.6: Summary of significance of Mongolia and implications for SEA. ...............40
Table 4.1: General information of SEA in Mongolia..............................................................44
Table 4.2: SWOT analysis of current state of SEA 'early stage' in Mongolia. ..............45
Table 4.3: General Information about SEA in Bhutan. .........................................................46
Table 4.4: Lessons to Learn from SEA Experience of Bhutan. .........................................48
Table 4.5: General Information on SEA in China. ..................................................................49
Table 4.6: Lessons to Learn from SEA Experience in China. .............................................51
Table 4.7: General Information of SEA in Lao. ........................................................................51
Table 4.8: Lessons to Learn from SEA experience in Lao...................................................52
Table 4.9: Summary Lessons to Learn and Implications for Mongolia. .......................54
Table 5.1: The result of SEA legislation review. .....................................................................57
Table 5.2: Expectations of SEA demand and potential. .......................................................66
Table 5.3: Response to the early examples of SEA and best practices to learn. .......67
Table 5.4: Summary of Key Messages and its Implications of Legislation Review. .68
Table 5.5: Summary of Key Messages and its Implications of the Questionnaire. ...69

5
Figures
Figure 3.1: Territory and location of Mongolia and other countries. ............................24
Figure 5.1: Results of countries with SEA experience .........................................................62
Figure 5.2: Indirect effects of SEA ...............................................................................................64
Figure 5.3: Indirect effects of SEA: .............................................................................................64

Boxes
Box 5.1. Regulation on SEA, Bhutan............................................................................................58
Box 5.1: Requirement of information on significant environment effects. .................59
Box 5.2: Article 5 Strategic Environmental Assessment.....................................................59

6
 Acknowledgements

My task in conducting this research has been made lighter and more rewarding by
the professional supervision and generous encouragement I have received from
my supervisor Riki Therivel while my thoughts and energies were being directed
towards its completion. I have been also blessed with supportive and suitable
critical lecturers and staffs of our Faculty of Technology, Design and Environment
and Faculty of Health of Health and Life Sciences, to whom I owe my most lasting
gratitude. Special thanks extend to Wei Ren, the current PhD student of Oxford
Brookes University, who has made my questionnaire of China available to
complete the study and friends for their great help for editing. Sincere thanks to all
national and international experts and government officials of Bhutan, China, Lao
and Mongolia where, without your cooperation, this study would not have been
possible.

7
1. Introduction
The United States National Environmental Policy Act of 1969 was the first Strategic
Environmental Assessment (SEA) system in the world. Since then several other
developed and western countries have adopted it as the main instrument to
integrate environmental and sustainable development issues into early stages of
development policy and planning (Fischer, 2007; Partidario et al., 2008; Therivel,
2010; Glasson et al., 2012).

Strategic Environmental Assessment is defined as "a systematic process for

evaluating the environmental consequences of proposed policy, 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" (Sadler and Verheem, 1996).

European Union Directive on SEA (2001/42/EC) defined its objective as “…. to

provide for a high level of protection of the environment and to contribute to the
integration of environmental considerations into the preparation and adoption of
plans and programmes with a view to promoting sustainable development, by
ensuring that, in accordance with this Directive, an environmental assessment is
carried out of certain plans and programmes which are likely to have significant
effects on the environment” (Official Journal of the European Communities, 2001).

As it is a proactive approach, SEA is a distinctive tool that offers several

opportunities and benefits when compared with other tools such as project
environmental impact assessment (EIA), cumulative impact assessment, and policy
analysis. SEA offers opportunities to screen out environmentally detrimental
projects and prevents some irreversible decisions from being taken. This is
achieved by alerting decision makers to potentially unsustainable development
options at an early stage (Alshuwaikat, 2005; Fischer, 2007; Partidario et al., 2008;

8
Therivel, 2010; Glasson et al., 2012). It also ensures intergenerational equity
regarding natural resources and how this leads to sustainable development and
therefore how long term benefits to the environment are achieved. This is attained
by safeguarding environmental assets for sustainable poverty reduction,
development and it builds public engagement in decision making.

Therefore, a growing number of countries at all levels of development are

introducing the SEA for pursuing a path of sustainable development through the
development and application of SEA (OECD, 2012). Several Asian countries have
been introducing the SEA as; Bhutan introduced it in 2002, China in 2003, Lao and
Mongolia in 2012, respectively. Mongolia has adopted its EIA-based SEA Law in
May 2012. It is evident that there is little capacity and not any paper available in
relation to how to apply and what needs to be considered for Mongolia during the
early stage of starting this approach. Therefore, this research is extremely relevant
to the field of Environmental Impact Assessment and Management because it is an
area which can significantly influence the early stage of SEA implementation.

It reviewed four case studies in relation to various background contexts of four

case studies and researcher noted that the lessons and experiences of other
developing countries are important to learn. Because these countries are able to
represent both countries 'with no SEA’ and 'without SEA' experiences and will be
helpful for Mongolia to learn lessons for at its early stage of starting the SEA
efforts.

1.1 Objectives

This study, therefore, aims to retrieve lessons to learn from SEA practices with
special attention of lessons to learn. To achieve this, the study has set the goals
below:

9
  To explore the characteristics and distinctiveness of Mongolia and other
countries in terms of the environmental, political, economical and social
conditions

 To review the quality of SEA legislations that are being used as a SEA guide
or that which will be used

 To learn the current custom of the SEA practice to learn from the
experiences

 To draw out lessons to learn for Mongolia when it is at the early stage of
starting SEA practice

 To discuss and recommend opportunities to learn.

1.2 Rationale

This research was chosen because Mongolia adopted the SEA Law recently in
2012. It is evident that there is any study carried out in relation to what lessons
can be learnt with special attention of Mongolia. Therefore, the research can be
undertaken in the shadow of this recent adoption of the SEA because there any
study has been done in relation to the SEA.

Mongolia, in fact, has now started to develop its regulation and methodological
guideline. Therefore, this study was conducted in a parallel with the ongoing
process of SEA regulations which offers a great opportunity to contribute study
outcomes for possible applications and uptake in Mongolia. The draft thesis was
sent to the national consultancy company "Eco-Trade" for further considerations

10
and possible applications wherever necessary. Therefore, this study has allowed
for direct knowledge sharing.

Moreover, as Mongolia continues to have a high growth rate from a mineral

extraction agenda and many new investment projects are coming and projected to
come into the country every year. Therefore, the SEA could offer to pursue a path
to sustainable development so that investments are taking into consideration both
positive and negative impacts on social, environmental and economic matters.

The countries chosen as case studies were selected because they all represent the
Asian and developing nations which are similar to Mongolia. These are classified as
medium human development countries, according to the Human Development
Report produced by the United Nations Development Programme (2013). At the
same time, there has been limited research available involving the SEA practice
with the its background contexts of politics, environment, economy and social
integration in a holistic and detailed manner.

Finally, the level of SEA practice differs between countries 'with SEA experience'
and countries 'without SEA experience’, which allows to look at different
perspectives about SEA approach and to learn from this. Because different
perceptions will be beneficial to reflect variable findings on the current conditions
and future opportunities for Mongolia. For instance: Bhutan has a well known
experience in integrating the environmental and sustainability considerations into
development policy and planning for a long time and China has been implementing
the SEA for about ten years, too. Although Lao is in the same level of Mongolian
effort for starting the SEA, the uptake could also have other approaches to learn
from. Therefore, results are comparative and lessons can also be formed.

11
 1.3 Structure

This study used a different structure and methodology to present this research
based on the wide range of background contexts involved in the background,
establishment of step by step approaches that contribute to the achievement of the
desired aim and goals established. Therefore, the paper considered the data and
methodology part is presented first after the introduction in order to enable the
reader to understand the topic easily and provide idea of what techniques were
used during the processes and, indeed, some of the methodologies as drawing
implication from the literature review are used frequently. The structure for the
main body is presented shown as below:

Chapter 1 Introduction
Chapter 2 Data and methodology
Chapter 3 Literature review
Chapter 4 Current practices of SEA
Chapter 5 Results and discussions
Chapter 6 Conclusions.

As shown, it has been split into six chapters: Chapter 1 outlines the introduction of
this report by providing contextual background, objectives and the rationale of the
research. Chapter 2 outlines the data collection and methodologies used for the
study that provides explanations of the aims of the methodological approach.
Chapter 3 explores literatures in relation to economical, environmental, social and
political conditions of selected countries in order to establish background
information of the case studies. Chapter 4 investigates current SEA practice in
selected countries with special emphasis of what lessons can be learnt for
Mongolia that could be considered. Chapter 5 presents the results revealed from
the review for discussions and some recommendations are suggested based on the
result of review exercise. In Chapter 6 concludes with the summary of this study.

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2. Data and Methodologies
This chapter is classified into two sections: 1) Data and 2) Methodology. It presents
the processes of data collection and methodologies used to collect and analyse the
data within this research. In addition, it will describe who involved and how data is
collected, rationale for using specific methodologies and brief discussions of any
limitations and constraints associated with the techniques followed by a
conclusion.

2.1 Sample Selection

Initially seven countries were identified to be included in the study in order to

cover many samples of data to study and data search and collection was started,
when it was considered that there was SEA in practice to some extent and similar
to Mongolia in terms of the classification of developing Asian countries. A total of
37 people were attempted to establish communications and the full list of names of
people contacted is attached in the Appendix B.

Nevertheless, due to the unavailability of data access of SEA practice and the
passive approach to communications and information requested three countries
such as Cambodia, Nepal and Vietnam (highlighted in the table) were eliminated
during the study, shown below in Table 2.1.
Table 2.1: Countries selected first for data collection.
No Countries EIA SEA Law Regulation Duration of SEA
practice
1 Bhutan 1993 2000 2002 11 years
2 Cambodia 1999 ? X ?
3 China 1997 2003 2009 10 years
4 Lao 2000 2010 ~ 1 year
5 Mongolia 1998 2012 ~ 1 year
6 Nepal 1997 ? X ?
7 Vietnam 1994 2005 2008 5 years
~ - under process of development, X - non -existent, ?- unclear

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Therefore, four case studies as Bhutan, China, Lao and Mongolia were continued
for further investigations. A mixture of different participants was attempted to be
surveyed in order to have different views on the current practices enabling
representations of both government and external bodies representing government
officials, international consultants and national consultants from each countries.
Case studies were classified into two categories: Bhutan and China are considered
as the countries 'with SEA experience' and Lao and Mongolia are 'without SEA
experience', based on the initial study conducted (Table 2.1). All in all, eight
respondents from four countries are involved with the collection of data from the
questionnaire. shown in the Table 2.1,

2.2 Data Collection

2.2.1 Data collection of Literatures

In order to learn about the characteristics of other countries and appreciate the
distinctiveness or similarity to Mongolia, extensive literature review and web
searches using Google were conducted for the collection of related publications
and information. Various aspects - economical, environmental, social and political
conditions – of these countries were researched and collected for background
information. Because the country backgrounds in relation to economical,
environmental, social and political conditions play a vital role in applying and
implementing the SEA which is based on the facts of economic growth without
considerations of environmental issues, environmental degradation, poverty and
inequality and the political culture in existent. Therefore, this study considered
these various aspects in the reviews of the backgrounds. It is also important to
study and review backgrounds because useful conclusions and recommendations
can be derived from here.

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2.2.2 Data Collection of SEA Legislations

Four case studies (including Mongolia) are researched further for data collection
and analysis and classified into 2 categories: 1) countries with SEA experience and,
2) countries with no SEA experience.
It is widely accepted to pass a law in developing countries and then have its
passing followed by a regulation or decree that provides a detailed procedure.
Therefore, four formally EIA-based SEA legislations (Bhutan, China, Lao and
Mongolia) and 3 regulations (Bhutan, China and Mongolia) were collected where
the quality of the legislations was unknown. The full attachment of the SEA
legislations of these countries are attached in the Appendices A1 - A4.

Due to the inaccessibility of some legislations on the internet, various sources and
methods as internet searching, email communications from publications, direct
email contacts with related government officials and independent experts were
used to collect legislations, shown in the below Table 2.2.
Table 2.2: Countries selected as case studies for this research.
Category Case Data Source of information, organizations or
study individuals

1. Countries Environmental National Environment Commission

with SEA Bhutan Assessment Act, http://www.nec.gov.bt/nec1/?page_id=697
experience 2000
Regulation on Accessed from: Mr. David Annandale,
Strategic Independent consultant
Assessment, 2002 Email: david@kookemai.com
China Law of the PRC on Ministry of Environmental Protection
the EIA, 2002 http://english.mep.gov.cn/
Chinese Plan EIA Strategic Environmental Assessment in
Regulations, 2009 Action, 2010
Author: Riki Therivel
2. Countries Lao Decree on EIA, Environmental Management Support
without SEA 2010 Programme (EMSP) at the MONRE
experience http://emsp.monre.gov.la/
Mongolia Amended Law on Accessed from: Mr. Dorjsuren, D.
EIA, 2012 Consultant on SEA
Email: dorjsurend@gmail.com
Draft procedure for Accessed from: Ms. Ongonsar, P.
SEA and Cumulative Environmental Specialist
EA, 2012 Email: opurevconsultant@adb.org

15
2.2.3 Data collection from the questionnaire

Questionnaires were developed enabling opportunities of more open questions

rather than closed questions in order to obtain more information and data from
respondents. This dissertation involved human participants, therefore, E1BE
Ethical Form has been authorised by the supervisor and was sent to participants
for their consent to participate in the study and attached to the Appendix D.
Responses from Bhutan, Mongolia and Lao had not any issues information
disclosures, as an attachment to the Appendices C1-C8. Regarding the questionnaire
responses of Chinese participants, it has been evidenced that information provided
for the questionnaire involved with legal and political issues if the contacts has
been leaked to any foreigners without China government authorization, shown in
the Appendix C3 and C4. Therefore, names and contacts of the respondents are
remaining unknown.

2.3 Methodologies

This section describes the methodologies used for this study explaining rationale
of approaches used for the questionnaires, review and analyse the main lessons to
learn for Mongolia.

2.3.1 Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis

SWOT analysis (Figure 2.1) was conducted during the literature review of the
current state of SEA in Mongolia in Chapter 4 to find out what are the internal
strengths and weaknesses that Mongolia should consider considering strengths
and opportunities for successful SEA implementation.

16
 Positive Negative

Strength S Weaknesses W

Internal
factors
Opportunities O Threats T

Externa
l factors
Figure 2.1: Method of SWOT analysis.

Identification of SWOT is important because SWOT can inform later steps in

planning to achieve the objective and also it enables decision makers and planners
to consider whether the objective is or is not attainable. It also enables decision
makers to match strengths to opportunities as well as convert weaknesses or
threats into strengths or opportunities. If the threats or weaknesses cannot be
converted decision makers can attempt to minimize or avoid them.

2.3.2 SEA Legislation Review Criteria

The review of SEA system presented in the Fisher (2007, p.96) and the
requirements of the EU Directive (2001/42/EC) are used as the main methodology
for reviewing case studies. As the EU Directive (2001/42/EC) is considered to be
the 'best practice' of SEA legislation it was used to explore the consistency and
quality of legislations in case studies against it while Fisher's review criteria of SEA
system is used to set the criteria for the checklist. In order to do this a simple
matrice was developed to see the inclusion and explicitly of the legislation marked
from "Yes/Explicit" to "Yes/Partially explicit", "Yes/Major deficiency" and "No
information", show in the Table 5.1 of the Chapter 5. The final outcome of this
exercise is assessed by the criteria ranging from "Excellent", "Good", "Satisfactory'
and "Poor", shown in Table 2.3. Nevertheless, the study did not assess how well or

17
bad each country was progressing, but rather it attempted to compile all the weak
and strong points into a lesson useful for Mongolia.
Table 2.3: Review criteria of SEA legislation within case studies.
Assessment/ Description of criteria
Scores
Excellent  With extensive and excellent focus and statement required by the EU Directive
(18-21)  Fully and clearly developed and drafted without any deficiency
Good  A moderate sufficient focus and statement required by the EU Directive
(12-17)  Developed and drafted with moderate deficiency
Satisfactory  A partial or sometimes with major omissions compared with EU Directive
( 6-11)  Developed and drafted with partial focus or reflection with major deficiency
Poor  Any evidence of reflections or focus required by the EU Directive
(0-5)  Poorly developed with the absence of major requirements stated in the EU
Directive

2.3.3 Case Study Questionnaire

Two types of questionnaires were developed for 1) countries with SEA experience
and 2) countries without SEA experience and four respondents from Bhutan and
China have taken part in the study. The questionnaire for the countries with SEA
experience aimed to learn how the SEA is introduced and how this affects the
quality of planning, what factors have shown influence over the practice and what
constraints were faced and what recommendations were provide for the countries
where the SEA is starting. Tables 2.4 and 2.5 present the rationale for the
questions used for surveying countries in the two categories mentioned above.
Table 2.4: Rationale for the questions used for the countries with SEA experience.
Questions Rationale
1. Prior to SEA implementation, what  Aims to assess the factors may be
factors have influenced positively in considered
promoting the SEA implementation  Will allow to be informed about the status
in your country? and stage of the SEA practice
 Will allow to see the future steps needed to
be taken
2. Which organization has a potential to  Aims to learn the type of an organisation
offer a better integrated and that is considered to be efficient
coordinated efforts of the SEA  Will allow to consider for the modification of
implementation in the longer run? the structural change or shift to another
(International or donor organizations organisation in the future
intervention/ National authority
responsible for environmental issue/ A
separate national higher-profile

18
 coordination structure/ Regional NRM
body or commission/ Political bureau of
the central committee of the communist
party/National planning agency)
3. How would you evaluate the
following factors, if it is assumed to
be influenced for the implementation
of the SEA?
- Is there any other comment to add?
(Political will and interest/ Strong and
influential structure of SEA oversight and
coordination structure/ Clear and
detailed SEA guideline/ Technical know-
how of personnel responsible for SEA/
Inter and intra-sectoral planners'
knowledge of SEA/ Greater public
involvement and consultation)
4. Do you agree that the SEA is
strengthening the achievement of
Millennium Development Goals?
(Strongly disagree 0 1 2 3 4 5 Strongly
agree)
5. Do you agree that SEA is ensuring
better quality plan?
(Strongly disagree 0 1 2 3 4 5 Strongly
agree)
6. Is it appropriate to have a separate
SEA legislation from the EIA law?
Why?
7. Which of the following constraints
have influenced negatively for
successful SEA implementation in
your country?
(Political pressure or reluctance/ Lack
of technical know-how of staff/ Weak
structure/ Level of highly sensitive issues
that made the politicians
argumentative/ Availability of data/ Gap
in decision making)
8. In your opinion, what did work well
and what did not work well for the
SEA implementation?
9. What is the good and bad examples of
SEA implementation in your country?
10. Is there anything you would like to
recommend for the countries which
are just starting to implement the
SEA?
19
 Aims to assess the most influential factors
that may show implications for the SEA
implementation
 Will allow to evaluate the risk and factors
that should be considered
 Comparison can be made from this data
 Will assess the influence or strength of the
SEA for the contribution of the sustainability
 Will allow to mainstream the information to
other countries
 Will assess how it is contributing to the
quality of planning
 Will allow to get informed about this
information for early stage countries
 Aims to learn whether current EIA based
approach is suitable or not
 Assesses the possible negative factors that
may influence
 Will allow to predict the negative aspects
that should be improved
 Allows to appraise their strength or
weaknesses
 Provides opportunities to see what
possibilities are there and lessons can be
learnt
 Aims to learn what could affect the bad and
good examples
 Will allow to find best ways to make good
examples
 Extracts ideas and their opinions what to
consider for the early stage of SEA
 Allows to see the future path with
consciousness and confidence
Four people representing Lao and Mongolia were surveyed in the questionnaire of
countries 'with no SEA practice', shown in the Table 2.5. They were asked about
their expectations of SEA, what factors and constraints that may be encountered,
what are the current status and forthcoming needs for SEA practice.
Table 2.5: Rationale for the questions used for the countries without SEA experience.
Questions Rationale
1. As of today, in what stage is Lao/  Aims to get it assessed by themselves
Mongolia now for SEA implementation? about the stage of the SEA
Has the process of starting SEA  Explores any prior difficulties and
implementation been encountering any problems facing the SEA introduction
problems or difficulties so far? If yes,  Will allow any differences between early
what are they? stage and experienced stage to be
investigated, assessed and consider for
lessons to be consider
2. Do you think is the SEA implementation  Aims to learn whether is it really
necessary to be exercised in necessary
Lao/Mongolia? Why?  Explores the reason behind the necessity
 Comparisons can be made later
3. If you think the SEA is required to be  Assures the degree of demand
implemented in Lao/Mongolia, how  Identifies whether it???You seem to be
would you rate the demand of the SEA missing some words here???
implementation in Lao/Mongolia?
4. Do you think the SEA will contribute in  Will assess the degree of contribution to
achieving sustainable development? the sustainable development
 Allows to assure whether it is a beneficial
tool for contributing to the sustainable
development
 Comparison can be made from this data

5. What do you think about the timing of
SEA legislation adopted compared with
the development growth and
environmental degradation in Lao/
Mongolia?
(Timing of introduction does not matter/
This is just in time, I think/ This is too late to
introduce it now/ It should have been
introduced earlier)
6. Do you think does SEA has a potential to
identify a serious environmental threats
of proposed development plans,
programmes and projects?
(Not very potential/ Moderately potential/
Neither or nor potential, Fairly potential,
Very potential)
7. How would you evaluate the following
factors, if it is assumed to be influenced
for the implementation of the SEA?
 Explores whether it was in demand
earlier than expected
 Will help to find out whether it is the
right time to introduce it or does timing
matter for SEA introduction
 Aims to find out whether awareness
about its potential has been taken into
account by officials or experts
 Identify whether there is a will or
interest to use it as a tool for it
 Comparisons can be made later
 Aims to assess what would be the most
influential factors that may show for SEA
implementation

20
 - Is there any other comment to add?
(Political will and interest/ Strong and
influential structure of SEA oversight and
coordination structure/ Clear and detailed
SEA guideline/ Technical know-how of
personnel responsible for SEA/ Inter and
intra-sectoral planners' knowledge of SEA/
Greater public involvement and
consultation)
8. In order to introduce the SEA, do you
think the SEA should be assisted by the
efforts by donor agencies or not? Why?
9. Do you think should the SEA legislation
be separate law from the EIA? Why?
(Yes/ No)
10. The amended law says "…strategic
assessment can be carried out by certified
experts, sectoral research organizations
and certified entities Strategic assessment
can be carried out by certified experts,
sectoral research organizations and
certified entities". Is there anyone or any
organization certified to carry out SEA in
Mongolia? How many of them?
11. Is there any early example of SEA
implementation yet?
12. If you think, Lao/Mongolia needs some
examples of SEA to learn, from where and
what should it look for? Why?
2.3.4 Analytical Methodology
In addition to the review criteria established above, several methods were adopted
to analyse the data. Key findings of the literature review were transferred into
what the implications can show for Mongolia and this method was completed after
each of the chapters based on the key findings with aim to highlight key messages
and lesson for Mongolia to learn.
21
 Will allow to evaluate the risk and factors
that should be considered
 Comparisons can be made later
regarding how it changed after a few
years later
 Aims to explore whether the role or
intervention of international or donor
organisation is required or not
 Explores what kind of assistance is
expected from them for intervention or
support
 Aims to find out whether countries wish
to have a separate legislation or not
 Explores whether EIA-based law is
enabling full potential or possibility of
SEA implementation
 Aims to find out whether there are
already available and experienced people
to do the assessment
 Explores whether a new scheme of
certification will be done or not for
experts or consulting companies to do
this
 Explores whether there have been any
early experience not mentioned in the
literatures
 Purpose is to explore whether there are
some examples they would like to learn
from
 Will allow to identify areas in the
capacity building activities
SWOT analysis was used to analyse the current situation of SEA practice. It enables
match the strengths to opportunities as well as converted weaknesses or threats
into strengths or opportunities. If the threats or weaknesses cannot be converted
we could try to minimize or avoid them. Therefore, this enables decision makers
and planners to appreciate the strengths and opportunities they have at the
moment and to minimize and avoid weaknesses and threats in order to achieve the
successful SEA introduction at the early stage and further implementation.

In order to analyse the legislations, review criteria is developed and used to rate
the quality of the SEA legislation within case studies, shown in Table 2.3. A simple
matrice was used to present the legislation review and see the trend and status of
the SEA system and quality of legislation, shown in Chapter 5. Furthermore, it was
transposed to the excel sheet to analyse the data from informants and tables were
used in a variety of ways to present the data clearly and to enable the ratings
produced from the criteria to be visualised in graphs, figures and tables which will
be discussed more in the Chapter 5 later.

Finally, all of these implications, SWOT analysis, legislation review and results of
the questionnaire were drawn to the results and recommendations and the
conclusion with a holistic view of background information

2.3.5 Methodology Limitations

There are some limitations associated with the case study methodology. One such
limitation is involved with the legislation review exercise. The legislations review
is subjective based on the observation and assessment of one person only.
However, this limitation is minimized by using a methodological approach to
review SEA system established in Fisher (2007) and requirements of EU Directive
(2004) as main tools of review exercise where one is the long-term expert in the

22
field and other one is considered as a standard SEA legislation, therefore, it is
thought that reliability and accuracy of the methodology has been increased.

Although there are inherent limitations with using a questionnaire, this method
was used holding of a few participants view. Questionnaire involving public was
not conducted due to the not operational system in Lao and Mongolia where
especially when usually SEA is involved with a high policy level issues. Thus, it
does not enable comparative view of public perception involving four case studies;
however it could be done later.

The questionnaire provided open questions as much as possible in order to obtain

more information because open questions encourage people to provide more of
their opinions. It was thought that respondents would provide more additional
information in relation to the research questions. Another limitation associated
with the criteria used to review the information obtained using the review of
legislation, is regarding the rating on an objective approach to the analysis of the
data. However, the subjective nature of strategic environmental assessment, the
data and the researcher, this cannot be guaranteed.

2.3.6 Summary

In order to achieve the desired objective of the study, extensive literature review
and several methodologies were used in order to achieve the goals. Two types of
questionnaire, legislation and current practice reviews were all used to extract
more lessons for Mongolia to learn. Several methodologies as SWOT analysis,
simple matrix checklist and excel analysis enabled to analyse data and shown by
illustrations. The results arising from the case study questionnaire and legislation
review criteria are presented in Chapter 5.

23
3. Literature Review

This chapter explores the relevant literatures in relation to the economic, political,
social and environmental situations in Bhutan, China, Lao and Mongolia and the
current SEA practices to establish background for fulfilling the desired objectives
of the dissertation, where degree of differences or similarities was unknown. A
detailed overview is not provided since the aim is not to report on in-depth socio-
economic conditions, but to derive key messages for Mongolia from the examples
presented by other countries.

3.1 Territory

China has the biggest territory of 9,596,960 million square km and Mongolia is the
second biggest in terms of the size of the territory among these countries where
Lao and Bhutan's territory is far smaller than these two countries, shown in the
Figure 3.1.

RUSSIA

MONGOLI
A

CHINA

BHUTAN

LAO

Figure 3.1: Territory and location of Mongolia and other countries.

24
Mongolia is the least densely populated country of the region being approximately
15 to 80 times less populated than Lao, Bhutan and China (NSO Mongolia, 2013).
Human density per capita in Bhutan is 14.81 per km2 and is the second lowest of
the listed countries (Table 3.1).
Table 3.1: Key facts of region, territory and accessibility to the sea.
Countries Regions within Territory (sq Human density Access to the sea
Asia km) (sq km, per capita) and Landlocked1
Bhutan South 47,000 14.81 Landlocked
China East 9,596,960 137.69 Access to the sea
Lao Southeast 236,800 25.82 Landlocked
Mongolia East 1,565,000 1.73 Landlocked
Source: http://data.worldbank.org.

Bhutan, Lao and Mongolia are listed as landlocked developing countries (LLDCs)
and, according to the UN Office of the High Representative for the Least Developed
Countries, Landlocked Developing Countries (UN-OHRLLS) (2013), consequently
has several disadvantages including no territorial access to the sea, limited border
crossings and transit dependence with these factors limiting the range of potential
exports and markets where goods can be competitively and profitably traded.
Consequently, the price of imports tends to soar driving up the cost of essential
imports, including food, while the competitiveness of exports are reduced (ADB,
2013). In this respect, Mongolia shares landlocked problems with Bhutan and Lao.

3.2 Economy

This section will provide brief information about economic situation in each
country with focus of GDP per capita rate assessed by the global Human
Development Index on the Human Development Report of 2013. It will also
describe main industries and natural resources existent.

1
UN Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries
and the Small Island Developing States (UN-OHRLLS), 2013

25
3.2.1 Mongolia

Mongolian GDP per capita was $4,718 in 2011, shown in the Table 3.2. Mongolia is
a landlocked country and it has several disadvantages including no territorial
access to the sea, limits the wide opportunities of economic growth depending on
neighbours and limiting the range of potential exports and markets where goods
can be competitively and profitably traded (ADB, 2013).
Table 3.2: GDP per capita and summary of main industry in case study countries.
Countries GDP Landloc Main industries Natural resources
per kedness
capita, /Access
2011 to the
(2005 sea
PPP $)
Bhutan 5,096 Land- Agriculture (wood products, 1. Forest, 2. Minerals (
locked processed fruits, alcoholic copper, gypsum, iron ore,
beverages, calcium carbide), limestone, lead, coal, and
Animal husbandry, Forestry, dolomite), 3. Water and
Tourism, Hydropower glaciers
China 7,418 Access Mining (iron, steel, 1. Land, 2. Water, 3. Plant
to the aluminium, metals, coal), resources, 4. Animal
sea machine building, Resources, 5. Marine
Armaments, Textiles and resources, 6. Minerals (zinc
apparel, Petroleum, Cement, concentrate, iron
Chemicals, Fertilizers, concentrate, iron oxide
Consumer products, Food powder, gold, silver, copper,
processing, Transportation sulphuric acid and coal)
and Telecommunications
equipment, Commercial space
launch vehicles
Lao 2,464 Land- Agriculture, Mining (copper, 1. Forests, 2. Agricultural
locked tin, gold and gypsum) Timber, land, 3. Water, 4.Minerals, 5.
Electric power, Construction, Wild foods and herbal
Tourism medicines
Mongolia 4,718 Land- Construction, Mining (coal, 1. Land, 2. Mineral deposits
locked copper, molybdenum, (coal, copper, molybdenum,
fluorspar, tin, tungsten, gold), fluorspar, tin, tungsten, gold),
Oil, Food and beverages, 3. Oil
Animal products, Cashmere
and Natural fibre
manufacturing
Source: Country Watch, 2013, World Bank Statistics, 2013, Human Development Report, 2013

It is widely believed that with its vast mineral resources, including copper, gold,
and coal, the Mongolian economy should expand in the years ahead (MAC, 2012;

26
The Guardian, 2013; Corp Watch, 2012; Rural Poverty Portal Statistics, 2010; CEE
Bankwatch Network, 2013). One of the significance of Mongolia's economy is that
it is very dependent on the two giant neighbours of China and Russia. Its
landlockedness and sandwiched between two countries that are economically
competitive and aggressive is unavoidable and proximity to these countries make
it over dependent and dominated by the influences of these countries for the large
scale strategic actions to take regarding economy and politics (Justin, 2011;
Mendee, 2012; Oxford Business Group, 2012; Backes, 2013). Previously,
Mongolia's economy used to be largely dominated by agricultural production with
this providing 30% of GDP in 2000, dropping to 16% by 2013. However, since the
collapse of Soviet Union, Mongolia is pursuing the mineral extraction as the main
source of revenue for economic growth (Farrington, 2005; Tumenbayar, 2008), as
any other any other nations, reliant on the extractive industries (Mendee, 2012).
In 2011, the country’s economy grew 17 percent from mining alone - faster than
any other in the world and twice as fast as China (CorpWatch, 2012). It has been
indicated that, if carefully managed, this growth could substantially reduce poverty
and lead to Mongolia’s emergence as a middle-income country (Levin, 2012).

3.2.2 Bhutan

The economy of Bhutan is mainly based on agriculture and forestry and the Gross
Domestic Product (GDP) per capita is $5,096 (UNDP, 2013). In terms of natural
resources, Bhutan is not as rich as China and Lao; however, it has forests, minerals
and water. Agriculture provides the main livelihood for more than 60% of the
population involved largely in farming and animal husbandry (UNDP, 2009).

Forestry, a state-controlled industry, contributes over 10 percent of the annual

GDP with pine, oak and exotic hardwoods providing the main timber resources
(Country Watch, 2002). Bhutan’s mining industry is underdeveloped, limited to a
few industrial minerals. Rugged mountains dominate the terrain and make the

27
building of roads and other infrastructure difficult and expensive. The Bhutanese
economy is heavily dependent on India as an export market and a source of finance
for capital projects; its economy is thus closely aligned with India through strong
trade and monetary links. Notwithstanding, the Bhutan government has taken
steps to enhance the country’s international integration in recent years (Country
Watch, 2002).

‘Gross National Happiness’ is a Bhutanese concept introducing an alternative

development paradigm defining a human-centred, holistic, sustainable, and
inclusive development approach. The philosophy assumes that development must
be human-centred and should create conditions that enable a person to achieve
whatever he or she believes is most important (Jigme, 2012).

Bhutan is landlocked country and it has several disadvantages including no

territorial access to the sea, limited border crossings and transit dependence with
these factors limiting the range of potential exports and markets where goods can
be competitively and profitably traded. Consequently, the price of imports tends to
soar driving up the cost of essential imports, including food, while the
competitiveness of exports are reduced (ADB, 2013).

3.2.3 China

China's economic reforms and open door policy adopted from late 1978 led to
substantial economic growth, with China's growth rate still among the highest in
the world (Jeffries, 2011; Zhong, 2011; World Bank, 2013). It is believed that the
country will be a crucial player in the future development of world markets as
regards both inputs and outputs of food, agricultural products and industry
(Jeffries, 2011; Zhong, 2011; World Bank, 2013). After three decades of hyper-
economic growth, China has become the world’s second largest economy.
However, rapid economic growth and urbanization has not benefited the

28
population equally (Zhong 2011) and has brought many challenges including
threats to environmental sustainability and external imbalances. In 2013, China’s
gross national income per capita was $7,418, with about 128 million people still
living below the poverty line. China's service and industrial sectors comprise 90%
of the national GDP, with agricultural production well below that of Bhutan, Lao
and Mongolia (Saich, 2004). The country has an access to the sea, which provides
several economic opportunities to implement the economic development
compared with these 3 countries (UN-OHRLLS, 2013). It is rich in natural
resources, with a huge land area, access to sea, and high rainfall; its rivers and tidal
shoreline facilitate the generation of hydropower (Asian Development Outlook,
2013).

3.2.4 Lao

Lao’s economy, with a GDP of $2,464 per capita, is primarily focused on agriculture
(UNDP, 2009) with agriculture, providing the main livelihood for more than 60%
of the population, consisting largely of farming and animal husbandry. The
agricultural sector employs over 80% of the labour force and has always been
relatively dynamic; the area of cultivated land has increased together with
increasing rice and maize yields, cattle, pigs and chickens (UNDP, 2009).It has an
abundance of natural resources including forests, water, agricultural land,
minerals, wild foods and herbal medicines, all of which make it much better
endowed in these respects than Mongolia. Industry in Lao is composed of mining,
manufacturing, construction, and electricity and provides employment for23.2
percent of nonfarm workers. In addition, tourism attracts large numbers of foreign
investors (UNDP, 2009). Hydropower is also a major contributor to economic
growth adding to government revenues and export earnings. Exports increased to
US$354 million upon completion of the Nam Theun 2 Dam in 2010.The mineral
sector provides 19.5 % of industrial output and growth is expected to generate

29
between USD$1-2 billion and comprise 25 per cent of Lao’s GDP by2020 (UNDP,
2007).

Lao is also a landlocked country and it has several disadvantages including no

territorial access to the sea, limits the wide opportunities of economic growth
depending on neighbours and limiting the range of potential exports and markets
where goods can be competitively and profitably traded (ADB, 2013).

3.3 Environment

This section describes what are environmental conditions and problems

encountered in terms of the climate change and manmade impacts. Environmental
condition is important to be reviewed because SEA is considered that it offers
opportunities to screen out environmentally detrimental projects and prevents
some irreversible decisions from being taken (Alshuwaikat, 2005; Fischer, 2007;
Partidario et al., 2008; Therivel, 2010; Glasson et al., 2012).

3.3.1 Mongolia

Mongolia has extreme continental climate condition where other countries in the
list, shown in the Table 3.3, are mostly tropical and influenced by monsoon
climate. It has a number of major eco-regions: in the west are mountains, Siberian
Taiga extends to the north, relatively pristine steppe grasslands stretch across
hundreds of kilometres of eastern Mongolia and the Gobi desert covers the
country’s south and central territory only 8% of which is covered by forest.

With four seasons, its average annual precipitation of 241 mm a year while in
Bhutan the average is 2,200 mm, in China 645 mm, Lao 1,834 mm and Vietnam
1,821 mm according to 2011data (World Bank, 2013). More than half the
precipitation falls during July and August (UNDP Dzud Report, 2010) and there is a
comparatively short growing season with higher temperature fluctuations (coldest

30
in winter -40°C and hottest in summer,+38°C,in some areas).

A specific winter condition, 'dzud' can lead to heavy livestock losses. This is a
meteorological phenomenon bringing blizzards, heavy snow, and extreme cold
resulting in ice-bound pastures so that animals starve even though in the
preceding year there may have been a favourable summer with good pasture
(UNDP Dzud Report, 2010). Desertification, over-grazing, soil degradation and
biomass loss are primary environmental problems due to impacts of the human.
Table 3.3: Summary of environmental conditions and problems.
Country Climate and Man-made Climate change Key disaster
topography induced related risks
environmental problems
problems
Bhutan - Tropical - Deforestation - Unpredicted/errat - Forest fire
monsoon - Soil degradation ic rainfall pattern - Glacier
- Mountainous Unsustainable - Melting of glaciers melting and
with steep irrigation - Flood flood
slopes system - Heat waves Earthquake
- At the eastern - Forest fire - Increased
Himalayan temperature
Range
China - Continental - Air, water, soil - Heavy and - Drought
monsoon and noise extreme rainfall - Flood
- Tropical in pollutions - Annual rainfall - Landslide
south - Deforestation decrease - Earthquake
- Desert in the - Decline of - Air temperature
northwest biodiversity increase
- Excessive
extraction of
groundwater
- Soil erosion and
salinization
- Air pollution
- Water shortage
Lao - Monsoon - Deforestation - Increased - Flood
- High mountains - Soil erosion precipitation - Drought
and hills (steep - Over-harvesting - Changes in - Landslides
slope) and wildlife quantity and - Strong wind
- 2 seasons (rainy trade timing of rainfall - Typhoons
or dry) - Water pollution and floods
- Mild climate - Waste
Mongolia - Extremely - Over-grazing - Intensified - Extreme cold
continental - Soil degradation desertification winter (dzud)
weather and biomass - Uncertain and drought
conditions in loss rainfall pattern - Storm and

31
 winter and - A high snow blizzard
summer temperature
- Location in sub- fluctuations
tropical region - Risk of heavy
snowfall in
winter
- - Biodiversity loss
Source: Country Watch, 2013, World Bank Statistics, 2013, Human Development Report, 2013

The consequences of climate change form one of the most pressing issues for the
country. Annual mean temperature, as measured by 48 meteorological stations
distributed across Mongolia, increased by 2.14 Celsius over the last 70 years due
to climate change (MARCC, 2009). Studies demonstrated that (Erdenetuya, 2006;
Mijiddorj, 2009) desert area is increasing and forest area is decreasing comparing
Landsat images from 1997 and 2002. Another studies (Batimaa et., al 2006;
Jigmed, 2005; Erdenetuya, 2006; Mijiddorj, 2009; MARCC, 2009; SDC, 2010) have
noted that over 70-80% of Mongolia’s pastureland is degraded with desertification
intensifying. Consequences of climate change for the people living in rural areas
and herders (nomads) are severe. Besides the impact of climate change on the
ecosystem, human impact also is contributing to its vulnerability. The livestock
sector is perhaps the greatest contributor through land degradation and
overgrazing. In1980, there were approximately 23 million head of livestock in
Mongolia; by 2012 the total herd ha d reached 40 million (NSO, 18 Sept, 2013),
over 13 times more than the human population of Mongolia.

3.3.2 Bhutan

Bhutan, encompassing the glaciers of Eastern Himalayas and a rich biodiversity, is

gifted with an outstandingly beautiful natural environment. It is tropical and
influenced by monsoon climate. Forests account for more than 70 percent of the
country's land cover and forest and biodiversity are a major source of livelihood
for the country's rural communities who live in close contact with their natural

32
environment (UNDP, 2009). Forest fires, excessive use of forest resources,
overgrazing, unsustainable agricultural practices, poor irrigation system
management, construction of infrastructure without proper environmental
measures, mining, industrial development, and urbanization are key causes of land
degradation. In rural areas, where 69 percent of the country’s population live, fuel
wood is the main source of energy for cooking and space heating (UNDP, 2009).
Unsustainable agriculture practices and poor management of irrigation systems
are major concerns. In addition, in recent years, mining has become one of the
fastest growing economic sectors in the country. The most significant adverse
impacts of mining are land disturbance and fissures from drilling, blasting,
excavation, and site clearance, destruction of natural vegetation, sedimentation
and contamination of waters, and dust-particle-air pollution (NEC, 2012).

Unpredicted or erratic rainfall pattern, melting of glaciers, flood, heat waves and
increased temperature are the key negative consequences of climate change that is
posing threat (UNDP, 2009).

3.3.3 China

China's climate is continental monsoon and tropical in south (Table 3.3). It has a
huge land and rich natural resources from land, terrestrial and aquatic marine
resources, water, forest and mineral resources. However, owing to its huge
population, its per-capita natural resources are relatively meagre.

Environmental pollution began to be a problem in the early 1970s; today the water
quality of China’s major rivers is deteriorating especially near cities where the
rivers and ground water supplies are considerably polluted (Zhang et al., 2002).
Many large cities are blanketed with choking smog and industrial and pesticide
pollution is becoming a serious threat. Large tracts of farmland are progressively
degrading (Zhang and Wen, 2008) and biodiversity is threatened by logging,
fishing and hunting to meet the demands of the Chinese market (People, 2013).

33
Giant hydrological engineering projects have interrupt the flow of rivers; wetlands
have been converted for agriculture and ecosystems destroyed for infrastructure
and other construction projects, with species driven from their natural homes. For
example, habitat loss has left pandas clinging for survival, as large areas of natural
forest have been cleared for agriculture, timber and fuel wood (People, 2013).
Desertification, a further problem, has already swept over almost 30% of China’s
land; every year this area increases by about 2,460 km2 (People, 2013).

3.3.4 Lao

Lao is a landlocked, mountainous country, surrounded by Cambodia, China,

Myanmar, Thailand and Vietnam. Most of the countryside is rugged mountains
covered by substantial forests with some plains and plateaux. The climate is
influenced by the southeast monsoon generating significant rainfall and high
humidity. The average annual rainfall ranges from 1,300 to 3,000 mm a year about
13 times higher than the average annual rainfall of Mongolia. Average
temperatures in the northern and eastern mountain areas and on the plateaux are
around 20°C, lower and milder than in Mongolia; on the plains temperatures are
between 25-27°C (National Statistic Centre, 2006).

Much of the land in Lao PDR is vulnerable to soil erosion as a result of high slope
angles, soil types and high rainfall. It has been shown that over-harvesting and the
wildlife trade are by far the greatest threats to biodiversity. In addition, both
protected areas and the land around them face increasing degradation as a result
of expanding agricultural frontiers, illegal hunting, illegal logging, and uncontrolled
burning (World Bank, 2005).

The major climate hazards which Lao PDR regularly faces include flooding caused
by heavy rainfall during the rainy season, drought caused by extended dry seasons,
sudden flash-floods in the mountainous parts of the country, landslides and large-

34
scale land-erosion on slopes and occasional windstorms. Climate change is
expected to change the frequency, intensity and location of existing climate
hazards and challenge the existing coping mechanisms of the population,
especially those living in rural and remote places (UNDP, 2010).

3.4 Politics

Briffett et al., (2003) conclude that political support is crucial for SEA
implementation and improved institutional capacity. Therefore, studying the
political condition is important reflect how SEA approaches should engage
decision makers and planners that helped them to understand the benefits of SEA
and take active and appropriate roles to adopt SEA outputs (Therivel, 2010).

3.4.1 Mongolia

Mongolia was a socialist country from 1924 until1992, when it shifted to a market
economy in 1992 (Table 3.4). A peaceful transition, after almost 70 years, from a
socialist to a market economy, from totalitarian rule to democracy makes Mongolia
both unique and distinctive (Clearly, 1995). Revolution in early 1990 and
established a new constitution in 1992 and now it is a parliamentary republic.
Mongolia's constitution guarantees full freedom of expression, religion, and others
(WWF, n.d). Now, Mongolia has a number of political parties, the biggest ones
being the Mongolian People's Revolutionary Party (MPRP) and the Democratic
Party (DP).

35
 Table 3.4: Political regime and government of Bhutan, China, Lao and Mongolia.
Countries Establishment and Government
withdrawal from
communist regime
Since Until
Kingdom of Bhutan
- - Constitutional monarchy v
People's Republic of China 1949 Present Single- party socialist state
Lao's People Democratic 1975 Present Single- party socialist state
Republic
Mongolia 1924 1992 Parliamentary republic
Source: Country Watch, 2013, World Bank Statistics, 2013, Human Development
Report, 2013.

3.4.2 Bhutan

Bhutan's political regime has evolved over time together with its traditions and
culture strongly influenced by the Monarchy (Table 3.4). The establishment of the
Royal Advisory Council in 1963 linking the king, the council of ministers and the
people, was of premier significance in Bhutan’s pursuit of democratic governance.
Within this Council, the king is advised and the council of ministers discusses
important issues and ensures that projects are successfully implemented (Tourism
Council of Bhutan, 2013). Eventually, full democratic governance was installed in
1953 and later in 2008 the constitution was launched and a parliamentary
democracy introduced.

3.4.3 China

In China, the politics of the People's Republic of China takes place within the
framework of a single-party socialist republic and state power, over the last 63
years, has been exercised through the Communist Party of China (Lawrence and
Martin, 2013, p. 1). There are eight minor political parties, known as the
“democratic parties” and they take part in the management of state affairs and in

v
Constitutional monarchy is a form of government in which a monarch acts as head of state
within the guidelines of a constitution, whether it be a written, uncodified, or blended constitution.

36
consultation about major state policies and problems in social life; however, the
Communist Party plays a large role at every level (Central People's Government of
China, 2003; Lawrence and Martin, 2013) and thus exercises a strong influence on
planning and implementation.

3.4.4 Lao

Lao, like China, is one of the world's few remaining communist states and was
under the French colonial administration until 1953. But unlike Lao depended
heavily on Soviet aid until the Soviet collapse in 1991.In the 1990s the communist
party relinquished centralised management of the economy while retaining a
monopoly of political power. Lao’s first, French-written monarchical constitution
was promulgated in 1947, but not adopted until 1991with this amended in 2003.
The Constitution established the Peoples Democratic Republic (PDR) of Lao as a
state where all power belongs to and is exercised by the people in the interests of a
multi-ethnic nation (Ministry of Foreign Affairs, 2012).

3.5 Social Situation

Human Development Report (HDR) is an annual milestone publication by the

Office of the United Nations Development Programme (UNDP) which is formally
prepared with cooperation of national governments and advocates for raising
awareness about human development around the world. It is used as a source of
information about the society and conditions of human being that is evaluated by a
number of indicators included within it; some case studies from these data
demonstrating social conditions are shown in the Table 3.5 and briefly discussed
below (UNDP, 2013).

37
Table 3.5: Human Development Index (HDI) rank, 2013.
Bhutan China Lao Mongolia
HDI rank Indicators/rank 140 101 138 108
n=186
Social Employment to population 80.3 74.6 85.1 67.9
integration ratio (% ages 25 and older)
Trust in national government - - 98 29
(% answer-ring “yes”)
Gender Gender Inequality rank 92 35 100 56
Seats in national parliament 13.9 - 25 12.7
(% female)
Poverty Population in severe poverty 8.5 4.5 28.1 3.2
(%)
Education Adult literacy rate 52.8 94.3 72.7 97.4
2005-2010 (% ages 19 and
older)
Satisfaction with education (% - 62.6 78.9 57.9
satisfaction)
Health Satisfaction with health care - - 69 52
quality
2007-2009 (% satisfied)
- No data available. Source: Human Development Report, 2013.

3.5.1 Mongolia

Mongolia is ranked 108th out of 186 countries, which is a bit advanced than Bhutan
and Loa, on the Human Development Index of 2013. Nevertheless, despite an
increasing HDI and high economic growth since 2004, its poverty percentage of
3.2% is still only just below that of China. Trust in the national government is low
(29%), which may imply that there is a room for improvement of fostering
transparency, openness and effective governance. Also, satisfaction with education
And health care quality and employment to population ratio are still lower than
these countries listed.

Mongolia is known as a country of nomads generate their income from five

domestic animals (including sheep, horses, cows, camels, and goats) moving from
place to place 2-4 times a year seeking good pasture not only to feed their livestock
but also to enable biomass regeneration(Discover Mongolia, 2013). Herders have

38
recently been worried that a number of massive gold and copper mining projects
will dry up scarce water reserves, negatively affect the area's unique ecology and
interfere with land use patterns and mobility (MAC, 2012; The Guardian, 2013;
Corp Watch, 2012; Rural Poverty Portal Statistics, 2010; CEE Bankwatch Network,
2013). As Sternberg (2008) concludes, the sustainability of pastoralism should be
considered in the context not only of the natural conditions impacting herding but
also as regards the uncertainty of new government regulations, climate change and
economic forces. It is also suggested that it is essential for Mongolia to consider the
issue of herding lifestyle as natural heritage weighed against economic benefits
(Farrington, 2005; Tumenbayar, 2008).

3.5.2 Bhutan

Bhutan is ranked 140 out of 186 countries on the Human Development Index of
2013. By the gender inequality rank it is ranked 92nd implying that there is a large
gender gap between males and females in terms of the social integration issues,
access to power, education, economy and decision making; although. However, it
has been discussed that in recent years women have been catching up with men.
Youth unemployment is also an emerging issue for the Bhutanese government
(UNDP, 2000). Population in sever poverty is about 8.5%, after Lao, and it is still
rather larger if it is compared to the number of population.

3.5.3 China

China is the largest country in Asia and has the largest population in the world,
currently about 1.3 billion (Country Watch, 2013). China is ranked 101 out of 186
countries and a high literacy rate (94.3%) is shown which is better than Bhutan
and Lao and closer to that of Mongolia. China’s poverty incidence is reported to be
rapidly declining since the launch of reforms and opening up of the economy

39
(UNDP, 2013, p 160). Nevertheless, people in extreme poverty of 4.5% are still
rather large when it is contrasted with the size of population.

3.5.4 Lao

Lao is ranked 138th out of 186 countries. While 28.1% of the population is below
the poverty line, a UNDP (2011) report states that the proportion of people below
the national poverty line has declined steadily from 46% in 1993 to 26.9% by
2008. This decline in poverty is thought to have been helped by the country's
agricultural growth, non-farming informal economic activities, migration, and anti-
poverty interventions (UNDP, 2011). The adult literacy rate is 72.7% which is
comparatively higher than Bhutan, China and Mongolia and this gender disparity
still requires sustained action.

3.6 Summary of Key Messages and its Implications

In summary, this literature review has established that economic, environmental,

political and social issues vary from country to country and have influences for
exercising the SEA. It needs a lot of explanations that these issues are outside the
remit of this study. However, it attempted to form the basis about each country.
Significant findings, differences and similarities are presented below Table 3.6.
Table 3.6: Summary of significance of Mongolia compared to the other 3 countries and
implications for SEA.
Significance Mongolia compared Implications for SEA
to others
Territory Low population &  Comparatively few people available to
very low human density carry out SEA policies
Landlocked Landlocked  Needs to be taken into account in
economic issues of SEA
Resources Huge land with low  Sustainable approach to maintaining
fertility, limited mineral the fertility of the land. Production of
deposits end products from mineral exploitation
should be considered.
Economy Dependency on mining,  Needs to be as diversified as possible to
low agricultural relieve dependence on mining. Other
production sector's need development so that they
can also contribute to the GDP.
 If mining is pursued, population

40
 equality, and environmental issues
should be taken into account as a
priority.

Politics Parliamentary republic  Multi-party representation in politics

may support a SEA approach but
capacity-building activities are needed.
Environment Desertification &climate  Climate and environmental change is a
change priority concern and need to be taken
into account during the development
process and any SEA exercise.
 Sea level rise is not an issue.
Education and High literacy rate,  High literacy rate may support the
culture nomadic culture process of SEA introduction and
implementation.
 Cultural impact as a priority to protect
the nomadic peoples’ lifestyle, local
languages and local lifestyle patterns
need to be considered.
Urban & Rural High urban population  Policies are needed to balance urban &
population rural population .Rural regeneration
issues should particularly be considered
and promoted.

It can be summarised there might be more competitive as regards resources

including land, water, food and jobs, although low wages tend to lead to a lower
quality of human life (Clarke, 1971; Harper, 1996; Leisinger et al., 2002; Zhang and
Wen, 2008) in populous countries yet with small land, in one hand. On the other
hand, Bhutan, Lao and Mongolia, with comparatively more territory and fewer
people, have more resources but are less competitive compared with China.
However, these findings should be treated with caution and should be interpreted
in the context of social, economic and environmental issues put in place and
coordinated by the state.

According to the human development index, all countries studying are classified
into the HDI rank of countries with medium human development (UNDP, 2013).
However, low indicators are suggesting that economic development has to go hand
in hand with other indicators of development in order to maintain a sustainable

41
development and all four countries would benefit from improvement in social
integration, greater transparency, openness, sound and efficient governance and
sustainable development.

In terms of Mongolia, it is landlocked with its small population compared to the

size of its enormous territory, rapidly moving to the cities (specifically
Ulaanbaatar). Thus, the agricultural contribution to the GDP as compared with
previous years is declining. Need of diversification to relieve dependence on
mining and other sector's development to contribute to the GDP should be
considered during the economic issues of SEA.

The most pressing problems are desertification and the negative consequences of
climate change directly impacting the nomadic people living in rural areas. The
political system with multi-party parliamentary system may offer opportunities for
promoting the transparency, therefore, it can be implied that the SEA could be
practiced properly, if it is maintained well.

42
4. Current practices of SEA

This section aims to explore the current SEA practices in Bhutan, China, Lao and
Mongolia and describe how SEA has been established and is being practiced at the
moment. Because it is considered that it will support to explore what current
conditions and what weakness and strong points are existent. It attempted to
present both the positive and negative information and opinions in order to deliver
a range of lessons where Mongolia can learn.

4.1 Mongolia

Over the last 14 years, Environmental Impact Assessment (EIAs) has been widely
practiced as planning tools for identifying the potential impacts associated with
developments and the need for mitigation measures, shown in the Table 4.1. EIA
was mainly focused on project-based impacts and mitigation measures and it
became clear to experts and environmentalists that the current EIA is limited to
identifying cumulative and large scale environmental impacts. The assessment was
conducted by certified independent experts, private companies and institutions.
International donor organizations have initiated the new context and called for a
need to apply the method (UNDP, 2012). Recently, in 2012, the SEA has been
adopted by the Government of Mongolia. There are four tiers of strategic decision
making including law, policy, plan and programme and are subject to SEA.
Numerous attempts to support the initiative have been undertaken under the
United National Development Programme (UNDP) and Asian Development Bank
(ADB) country offices in Mongolia, in terms of both capacity building activities and
the process of developing legislations. In fact, the Division for Environmental
Evaluation and Auditing within the Ministry of Environment and Green
Development (MEGD) is responsible for the SEA oversight and coordination. One

43
of the positive findings is that Mongolia is developing its methodological guideline
beside its SEA procedure, which is important to set up the approach.
Table 4.1: General information of SEA in Mongolia.
Country EIA SEA SEA Scope of Oversight Responsible
Law Law Regulation application Institutions department/
division
Mongolia 1998 2012 Ongoing Policy Ministry of Division for
process Plan Environment Environmental
Programme and Green Evaluation and
Project Development Auditing
(MEGD)
Source: Ministry of Environment and Green Development

UNDP's "Strengthening the Environmental Governance in Mongolia" project has

been supporting the MEGD to strengthen its environmental legislative framework
since 2007 (UNDP, 2013). Legalising the SEA was one of the areas supported
through this initiative. Recently, Asian Development Bank in Mongolia has begun
assisting with the SEA regulation development by obtaining international
consultancy. According to the unpublished and internal reports, (UNDP, 2011;
UNDP, 2012), the project has supported the MEGD to attend the IAIA training held
in Prague (September 2011), consultative meetings and a 3-day capacity building
training by international consultant Mr. John Carter. Four EIA-related staff in
charge of the MEGD attended the SEA training course entitled "Innovative uses of
SEA‐ Strategic Sustainability Approaches" held in Prague, Czechoslovakia,
obtaining in-depth knowledge and basic skills of the SEA and aspects related with
its sustainability. Subsequent support was provided for the facilitation of
consultative meetings to draft SEA legislations. According to the minutes of the
meeting, it suggested that experts were concerned about the applying the new
context, limited methodological skills and absence of baseline data to carry out the
assessment (UNDP, 2011).

The report produced by the International Consultant (UNDP, 2012), who

conducted the 3-day SEA training for the MEGD personnel and other non-

44
environmental sectoral officials, revealed an impression that the training could
not deliver a training providing advanced knowledge and skills as the participants
expected. It might be assumed EIA scholars and practitioners expected more
detailed and 'learning by doing' approach of training with good examples and clear
methodological approaches to assess the PPPs.

The baseline study of the Eastern Region carried out by the 'The Nature
Conservancy' NGO in 2011 is discussed and further studies are planned to be
undertaken (UNDP, 2012) including a project under the World Bank which will
integrate the SEA in the mining sector. Based on the available information and the
current state on SEA, the SWOT analysis is used to find out what internal
weaknesses and threats Mongolia has and what should be considered while
strengthening the strengths and opportunities, shown in the Table 4.2.
Table 4.2: SWOT analysis of current state of SEA 'early stage' in Mongolia.
Strengths Weaknesses
 Legalised  Responsible structure for the SEA is not
 Oversight institution for SEA is set within the planning and Department
 Regulation is under development level
 Previously trained experts are responsible  A low technical knowledge and capacity
for SEA issue of methodological approach of SEA at
 Baseline study on Eastern Region is national and local levels
conducted to support the SEA  Limited availability of baseline data
 Baseline studies in other regions are  No publications and articles and
planned academic study is established
Opportunities Threats
 Organize and/or attend in the Regional  Climate change might show a negative
Training on SEA impact on the environmental condition
 Outsource international consultant on  Political change that might lead to a
methodological approaches decreased willingness to conduct SEA
 Establish a Regional Network for sharing
knowledge and skills on SEA
 Establish a good model for SEA application
 Learn from best practices and examples
from other and developing countries
Source: Ministry of Environment and Green Development, 2012, UNDP's "Strengthening the
Environmental Governance in Mongolia" project.

45
In summary, Mongolia made the SEA as a mandatory assessment in May, 2012 and
the Ministry of Environment and Green Development (MEGD) is responsible for
the SEA. It evidenced that there is a limited capacity and awareness of SEA. Also,
there is almost no national expert or practitioner who is skilled in the SEA at the
time of writing this dissertation.

4.2 Bhutan

Bhutan has more than 10 years of successful experience of integrating

environmental and sustainable development considerations into development
planning and policies in Asia (ODI, 2011). In Bhutan, the SEA became a mandatory
assessment in 2000, shown in the Table 4.3, and regulation was developed in 2002
by the Secretariat of National Environment Commission (NEC) under the Planning
Commission (now the Gross National Happiness Commission) (Brown and
Annandale, 2010). There are four tiers of strategic decision making including law,
policy, plan and programme and are subject to SEA.
Table 4.3: General Information about SEA in Bhutan.
Country EIA SEA SEA Scope of Oversight Responsible
Law Law Regulation application Institutions department/
division
Bhutan 1993 2000 2002 Policy, plan, Gross Secretariat of
programme, National National
project Happiness Environment
Commission Commission (NEC)
Source: National Environment Commission.

The important factor that has influenced Bhutan to legalise the SEA successfully
was the introduction of the Gross National Happiness (GNH) concept, which had
been pursued since 1970s and was later addressed King of Bhutan. It established a
firm basis for considering sustainability and environmental issues with a focus of
sustaining the 'happiness' of the people of Bhutan and the development strategy of
this country (Pennock and Ura, 2011). The GNH concept is developed with 9
primary contributors including time use, living standards, governance,
psychological wellbeing, community vitality, culture, health, health, education and

46
ecology. The Centre for Bhutan Studies embedded conservation of the
environment as one of the four pillars of the sustainability of the Bhutan (ODI,
2011), as shown in the Figure 4.1.

4 PILLARS OF GROSS NATIONAL

HAPPINESS

1) Sustainable and 2) Conservation of 3) Preservation 4) Promotion of

equitable social the environment and promotion good governance
development of culture

Figure 4.1: 4 pillars of Gross National Happiness (GNH) in Bhutan.

Although a formal SEA became operational in 2003, it took a slow progress to

operationalise it, which took place in 2006. The new concept was not accepted by
the government and national authorities straightaway. The NEC has been hesitant
to assume SEA responsibility in absence of implementation guidelines and was
resistant because of their concern that such a law may only further complicate the
existing situation and compromise sector-specific needs (NEC, 2005). From 2006
and onward, Bhutan has been supported by 3 years’ of intensive donor-funded
capacity building activities including: UNDP support for mainstreaming
environmental issues into UN Development Assistance Framework (UNDAF) 2008-
2012 and capacity building of government officials by AusAID (Brown and
Annandale, 2010). The formal SEA approach has been applied to Punatshangchhu
II Hydropower Project and Dhamdhum Industrial estate (Brown et., al, 2012).

All these coordinated efforts have offered opportunities to incorporate SEA

formally in Bhutan, despite the fact that Bhutan has its SEA-like element of
integrating environmental consideration into policy and planning, and it might
require a relatively small attempt and modifications to increase the opportunity of
the SEA approach to be applied (Brown and Annandale, 2010). The summary of

47
findings and lessons learned to assist the Mongolia case are shown below in Table
4.4.
Table 4.4: Lessons to Learn from SEA Experience of Bhutan.
Findings to reflect
Positive findings:
- GNH Commission is established with
remit of planning overall national
development plans and to discuss and
endorse to National Assembly
- GNH Commission is established with
high level chaired by Prime Minister as
the Chairperson
- Seek windows of opportunities for SEA
incorporation and incorporate it in
planning protocol that enables
considerations of mainstreaming
environmental and other cross-cutting
issues in all policy making
- Continue discussions, trainings on SEA
and get it addressed by a high level
leaders
- Linked with the sustainability policy at
the higher tier of planning
- Seek for donor organization,
international consultant's supports and
involvement in formulation of guidelines
What can Mongolia learn?
 Establish a structure that has a higher level
of capacity and mandate to formulate and
coordinate all national level development
PPPs
 Set the structure led by national high level
personnel for better enforcement
 Incorporate SEA approach into planning
protocol, enabling implementers to take
environmental considerations and other
cross-cutting issues into account for all
national development PPPs
 Create capacity building trainings for higher
level planners and communities and ensure
that it is acknowledged and addressed by
high profile leaders
 Link with the sustainability policy at the
higher tier of planning
 Consult with donor organizations and
experienced international consultants and
involve them to learn best practices and
examples of SEA

- Seek short term placement  Have opportunities for short term placement
opportunities in developing countries opportunities in developing countries to
with extensive SEA experience learn the best practice

Negative findings:  Promote capacity building trainings for

- Higher level decision makers hesitant
and reluctant attitude towards SEA
introduction
- Slow progress to operationalise SEA into
practice
higher level planners and ensure
acknowledgement by policy shapers
 Make all required guideline sounds, clear
and ready to work and while raising
awareness of SEA benefits

4.3 China

China adopted its first Environmental Protection Law (EPL) in 1979 followed by
several attempts for amendments to the law and the final EIA Law has made the
SEA a mandatory assessment in 2003, as shown in the Table 4.5. There are four
tiers of strategic decision making including law, policy, plan and programme and

48
are subject to SEA. Department of EIA within the Ministry of Environmental
Protection is responsible for the SEA implementation (Yang, 2012).
Table 4.5: General Information on SEA in China.
Country EIA SEA SEA Scope of Oversight Responsible
Law Law Regulation application Institutions department/
division
China 1979 2003 2003 Policy Ministry of Department of EIA
Plan Environment
Programme Protection
Project

A number of publications demonstrate that rapid socio-economic development

coupled with the population explosion in China have resulted in high pressure on
the environment and an increased demand and utilisation for the natural
resources since 1990s. During mid 1990s, six Chinese scholars and a professor at
Beijing Normal University, who had learned about SEA potentials during an annual
meeting of the International Association for Impact Assessment (IAIA) mid-1990s,
introduced the SEA concept in China. They have since undertaken a number of
trainings and other workshops (Bao et al., 2004), which has been done at limited
level in Mongolia.

At the same time, a high level political message was made by the former President
of China Jiang Zemin in 1996 which showed considerable impacts on the SEA
legislation later for formulating significant economic and social development
policies, and planning for major projects (Bao et al., 2004). China’s Agenda – 21 in
1994 (Zhu et al., 2005) considers the economic, social and environmental benefits
equally while formulating economic construction and social development
decisions. Nevertheless, SEA has been in practice almost for 10 years in China,
therefore one can expect that there should be a strong SEA practice. However, the
vast majority of the research (Che et al., 2002; Bao et al., 2004; Wu et al, 2011;
Yang, 2012) has repeatedly demonstrated there is still failure and inadequacy in
the areas of weak legal system, administration of the government, public

49
participation and knowledge and skills of local level government officials and
general public.

It has been claimed that China started to consider the ‘SEA -like' approach in the
mid-1980s (Che et al., 2002; Zhu et al., 2004; Whu et al., 2011). It has been stated
that it evolved from the Regional Environmental Assessment (REA) and it was
adopted particularly for the construction of economic development proposals
prior to approval by the government. However, it is highly debatable whether the
REA is similar to SEA or does the REA really can represent the SEA approach
considering that SEA was legalized in European countries during 2000s (Fisher,
2007; Partidario, 2005; Therivel, 2010). At the same time, it is debateable what
'SEA-like' really means and what the differences are between 'SEA-like' and the
real SEA approaches stated in those publications.

Subsequently, another paper recommended the importance of assessing the SEA

performance and its effectiveness (Jing et al., 2010) due to the slow but efficient
SEA implementation at the provincial level in the mainland of China (Yang, 2012).
Zhu and Ru (2007) argued that a bureaucratic political regime was reflected in the
SEA and there are weak institutional arrangements at all levels, a lack of a clear
requirement of public consultations, insufficient cooperation and transparency
among stakeholders, weak environmental authorities and no system for sharing
data and information.

It was important to learn that there are more than 15 postdoctoral research
reports, doctoral dissertations, and master’s theses on SEA that had been
completed by 2002, and more than 50 academic papers on SEA had been published
in key Chinese environmental journals (Bao et al., 2004). A summary of key
findings and important lessons that Mongolia can learn from the experience of
China is outlined below in Table 4.6.

50
 Table 4.6: Lessons to Learn from SEA Experience in China.
Findings to reflect What can Mongolia learn?
Positive findings:
- A high level leader’s address for SEA  Mainstream SEA at all levels and get it
mainstreaming acknowledged through top level leaders
 Link with Agenda -21 or sustainability
- Link with the Agenda -21: More earlier PPPs Promote capacity building trainings,
discussions, trainings and publications on discussions and publications for successful
SEA SEA

- Pilot or case studies to be used to  Undertake pilot/case studies in order to

demonstrate the effectiveness of the
specific methods
Negative findings:
- Unclear practical and procedural
requirements
- Low SEA knowledge and skills at the
provincial government officials
- Weak institutional arrangements,
insufficient cooperation and transparency
among stakeholders
- Weak environmental authorities and no
system for sharing data and information
contrast the effectiveness of SEA
 Develop a sound and clear SEA regulation
 Train local level government officials and
communities
 Establish a sound and influential
institutional structure to oversee SEA
implementation
 Establish SEA database, training and
discussion site and frequent seminars for
sharing knowledge and experiences

4.4 Lao

SEA in Lao has been legislated recently in 2012, the same as Mongolia and it is in
its early stage of starting the SEA implementation, shown in the Table 4.7. There
are four tiers of strategic decision making including law, policy, plan and
programme and are subject to SEA.
Table 4.7: General Information of SEA in Lao.
Country EIA SEA SEA Scope of Oversight Responsible
Law Law Regulation application Institutionsdepartment/
division
Lao 2002 2012 ~ Policy Ministry of Division of
Plan Natural Environmental
Programme Resources Management,
Project and Department of
Environment Environmental
(MONRE) Quality Promotion
~ - under process of development, Source: Ministry of Natural Resources and Environment

Ministry of Natural Resources and Environment (MONRE) is responsible for the

SEA implementation and SEA is being supported by the Environmental
Management Support Programme (EMSP) and financed by the Government of

51
Finland, according to Mr. Peter. G Jensen, Technical Advisor to the MONRE . SEA in
Lao is not part of the EIA legislation, however, both SEA and EIA have their legal
basis in the Environmental Protection Law of 2012 and 7th five-year National
Socio-Economic Development Plan 2011-2015. The draft SEA decree has been
prepared and is expected to be endorsed by the Government of Lao PDR early
2014 and a draft SEA guideline is expected to be completed in 2014. A pilot SEA in
one of the provinces (Oudomxay) is going to be established by EMSP in the three
potential areas of development: agriculture, industry and tourism. As a part of the
SEA component, the programme has also planned to arrange study tours to
Thailand and Vietnam (Munkhjargal, 2013). A summary of take-away messages are
shown below in Table 4.8.
Table 4.8: Lessons to Learn from SEA experience in Lao.
Findings to reflect What can Mongolia learn?
- A pilot project in one of the most  Implement a pilot project with SEA
promising provinces with potential of application
development  Apply SEA approach into the National
- Application of SEA in National Environmental or other key Strategy and
Environmental Strategy and Action Action plan with a view of sustainable
Plan toward sustainable development development plan

4.5 Summary of Key Messages and its Implications

Reflecting on the findings and lessons to learn, implications have considered for
Mongolia, and these are summarised in Table 4.9 below.

EIA has been widely practiced as a planning tool; however, environmental

degradation and certain limitations of EIA are now being increasingly recognised
with regard to the identification of large-scale environmental and cumulative
effects.

Extensive and early discussions, intensive donor-supported capacity building

trainings as well as academic researches and publications were all attempted by
and produced to shape and improve the new practice. Constraints such as weak

52
legal system, resistant government, lack of public participation and low awareness
and knowledge of local level government officials and general public also need to
be taken care of. Education and studies on SEA which have been carried out in
China and a pilot study in Lao are all beneficial to be considered for Mongolia as
lessons.

It is evidenced that capacity building trainings should promoted and discussions,

knowledge sharing and publications are also important for developing successful
SEA. Undertaking pilot or case studies in order to contrast the effectiveness of SEA
is also considerable for Mongolia.

It is, therefore, reasonable to conclude that Bhutan has shown the best practice of
mainstreaming SEA so far and has a lot to reflect in the process of SEA in Mongolia.

Despite the insufficient capacity available on SEA, progresses on the shift to a

market economy, a high literacy rate and a strong willingness of SEA adoption in
Mongolia promise good potential for the introduction of SEA.

53
Table 4.9: Summary Lessons to Learn and Implications for Mongolia.
Lessons
- Incorporate SEA approach into a higher
tier of planning protocol requiring PPPs to
be screened out by SEA that are large scale
and with potential of cumulative and
significant environmental impacts
- Link the SEA as one of the core duties of
the national development planning agency
and/or establish a structure with strong
mandate and vision that has a remit to
ensure coordination and harmonization of
long and medium term planning in the
country
- Develop a sound and clear SEA regulation
or guideline that includes a view of
promoting sustainable development
- Conduct capacity building activities for
higher level planners and communities and
get it acknowledged and addressed by high
profile leaders and local government
authorities and communities
- Consult with donor organizations and
experienced international consultants and
involve them to learn best practices and
examples of SEA
- Have opportunities for short term
placement opportunities in developing
countries to learn the best practice
- Undertake pilot/case studies in one of the
areas, sectors or regions in holistic and
systematic way in order to contrast the
effectiveness of SEA and gain SEA
experience
54
Implications
 Reflecting the SEA approach into a higher
level of planning protocol will make it
mandatory for PPPs and enable the
screening of environmentally detrimental
projects which in turn contributes in
pursuing the sustainable development
 Tying the SEA issue with responsibility of
national planning organization and/or
establishing a structure with a remit to
review and report the progress of SEA will
improve the coordination and
harmonization of the long and medium
term planning and enable considering the
SEA as a tool for sustainable development
 A sound and clear SEA regulation and/or
guideline will make the SEA
implementation smooth and enable the
production of more robust and rationale
statements and comprehensive
recommendations potential to influence in
decision making process
 Through capacity building activities
Mongolia can build more capacity at the
higher and local levels ensuring the
pursuit of less environmental degradation
and reduce the PPPs that are harmful to
the environment
 Obtaining international consultancy on
SEA development will be beneficial to look
at the areas where there are gaps and
weakness to fulfil or strength to develop
and strengthen for better SEA
implementation
 Opportunities for short term placements
in other developing countries with SEA
experiences will be beneficial to learn
experiences and practices of SEA and
apply best practices into the real
procedures of SEA in more comprehensive
way
 Establishing a pilot project or case study in
one area, sector or region may provide
opportunity to apply SEA in a more
successful and comprehensive way
yielding more lessons and experiences to
learn
5. Results and Discussions
This chapter will present the results of the review of the legislations and the
findings from the questionnaire. In order to do this, this chapter is split into three
sections: 1) results of the legislation review, 2) results of the questionnaire and 3)
the summary.

5.1 Results and discussions of the SEA Legislation Review

SEA is defined as:

"a systematic process for evaluating the environmental consequences of

proposed policy, 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"
(Sadler and Verheem, 1996).

This definition clearly describes that the SEA is a systematic process and that it
should ensure that environmental considerations are fully integrated into PPPs at
the earliest stage of decision making when considering economic and social issues.

EU Directive (2001/42/EC) defined its objective as:

“The objective of this Directive is to provide for a high level of protection of
the environment and to contribute to the integration of environmental
considerations into the preparation and adoption of plans and programmes
with a view to promoting sustainable development, by ensuring that, in
accordance with this Directive, an environmental assessment is carried out
of certain plans and programmes which are likely to have significant effects
on the environment”.

It is considered that it is embedding three objectives: a high level of environmental

protection, contribution to the integration of environmental considerations into

55
the preparation and adoption of PPPs as well as promoting sustainable
development. Given the definition above, this review is able to look at whether
they are implemented through the case studies. The regulations of Bhutan, China
and Mongolia (draft regulation) are reviewed but Lao is not included due to the
ongoing process of developing its draft regulation. A summary of the review is The
findings are explained below with an emphasis on describing only the most weak
and strong sides that were reflected in the legislations of case studies, shown in
Table 5.1.

Three objectives of a high level of environmental protection, and a view of

sustainable development, significant effects were not all-inclusive in the objectives
described in the legislations reviewed. Promotion of the view of sustainable
development should be defined through a clear and focused objective, which
defines the rest of the tone for the dissertation (Therivel, 2010). However,
objectives established in the legislations of case studies lacked this view.
Mongolian draft legislation lacked this view and there was an absence of a
statement of fully integrating the environmental concerns into the planning of the
Chinese legislation.

Screening is the very first step whether informal or formal to initiate the SEA and
is usually conducted by an assessor and a competent authority (Therivel, 2010).
Although the EU Directive has a vague statement about a screening requirement,
however, it has been (Carrol and Turpin, 2009; Fisher, 2007; Therivel, 2010)
stated the screening state is used to decide if SEA is needed or not and different
countries put different requirements. As Glasson et.al, (2010) stated, the whole
SEA process should be streamlined, transparent, collaborative, ethical and
adaptive and, therefore, it should start from the process of screening the
development proposals properly.

56
Table 5.1: The result of SEA legislation review.
Review criteria B C M Remarks
The view of sustainable √ It does not go hand-in-hand throughout the
development regulations except Bhutanese regulation.
Clear and appropriate Three key objectives were not all inclusive at
objective once.
Clearly and fully focused √ √ Uncertainties have partiality remained in
regulations of China and Lao.
Planning hierarchy √ √ Planning hierarchy and their roles and
responsibilities were explained clearly in all
legislations, except partial explanation in Chinese
regulation.
Competences/Clear √ √ Roles and responsibilities were clearly defined in
responsibilities legislations of Bhutan and Mongolia, except
partially in China.
Roles of assessor clearly √ √ √ Role of assessor was clearly stated, especially,
defined three types of assessors (entity, individual,
academics) were invited in the Mongolian
legislation.
Significant effects X Definitions as rational, cumulative and other
direct or indirect large scale effects were not
defined explicitly in all legislations.
Screening X X X Screening stage is not in all regulations.
Scoping X The information on scoping brief required in
Bhutanese and Mongolian regulations, but
consideration hierarchies of alternatives were
absent.
Report Information to include in the SEA statement is
partially stated in all regulations.
Review √ √ Requirement of reviewing the SEA was clearly
stated in Bhutanese and Mongolian regulations.
Monitoring √ √ Monitoring showed some uncertainties in the
case of Chinese regulation.
Consultation √ √ A clear requirement of integrating SEA outputs
into PPPs is partially stated in Chinese regulation.
Transboundary X X X Was totally absent in all legislations which are
consultation important for these countries to cooperate.
Public participation √ √ Timing of consultation is not clearly stated.
Consideration of √ √ Appropriately addressed in the regulations of
appropriate alternatives Bhutan and Mongolia where it was missing in the
legislation of Lao.
Mitigation hierarchy √ √ It should be explicitly described as well as
required in the case of Chinese regulation.
Integration of public view √ √ It should be explicitly described as well as
required in case of Chinese regulation.
Information on decision Decision note to place in the web is clearly
making described in all regulations.
Overall assessment G S G
√ Yes/Explicit Partially explicit X No/Not explicit

57
Information to state in the scoping brief is not described which means there were
clear in Bhutanese and Mongolian regulations, where Chinese statement was brief
or partial. Furthermore, suitable techniques for the assessment and potential
stakeholders need to be identified and consultation should be conducted. These
approaches were demonstrated in the Bhutanese and Mongolian regulations, but
not fully.

Establishing the alternatives is at the heart of the SEA process (Therivel, 2010)
and it should identify hierarchies of alternatives as 'business as usual', 'do nothing'
and 'do minimum' and inform the choice of alternatives and its implications. These
different hierarchies of alternatives
Box 5.1. Regulation on SEA, Bhutan.
were not required providing choice of
Principles of SEA.
alternatives in all legislations. 8.2. Consideration of all feasible alternatives to
the agency's proposal,
Nevertheless, it was stated partially including the alternative of taking no action;
without clear direction of what
The Environmental Statement
options of alternatives to consider 10.3. Feasible alternatives to the proposal,
including the alternative of taking no action,
during the identification and and a comparison of the environmental effects
of these
assessment of alternatives. The alternatives
example of regulation of Bhutan is Source: Regulation on SEA, Bhutan.
shown in the Box 5.1.

The likely significant environmental effect should state a detailed requirement

(shown in the Box 5.2) of what should be assessed within the term of the likely
significant effects (EU Directive, 2004) or otherwise it will make the assessment
fluffy and with a lot of uncertainties (Therivel, 2013). Definitions as rational stated
in the regulation of China, cumulative and other direct or indirect large scale
effects reflected in Mongolian regulation were not defined explicitly.

58
 Box 5.1: Requirement of information to be provided for the impact assessment of
significant environment effects.
Annex I
Information to be provided under Article 5(1), subject to Article 5(2) and (3), is the following:
(f) the likely significant effects (1) on the environment, including on issues such as
biodiversity, population, human, health, fauna, flow, soil, water, air, climatic factors, material
assets, cultural heritage including architectural and archaeological heritage, landscape and the
interrelationship between the above factors…

Source: EU Directive (2001/42/EC).

Predicted impacts were all incorporated, but the unforeseen impacts were shown
in the Assessment Act of Bhutan (but not specifically SEA regulation) and others
did not consider this impact in the legislations reviewed.

Information on decision making is clearly required by the EU Directive. This

requires an explanation of the plan or programme which will be adopted. There
must also be a summary of how the results of the consultations influenced the
decision making and measures chosen for monitoring. However, this was not
explained explicitly. It should the public to enable them understand that the results
are reliable and possible (Fisher, 2007; Therivel, 2010). A clear requirement of
integrating SEA outputs into PPPs is partially stated in Chinese regulation.

However, there were some positive findings

from the review of the legislation, too. There Box 5.2: Article 5 Strategic
Environmental Assessment.
was a clear inclusion of the roles and
responsibility of assessor in the Bhutanese and 5.2. The strategic assessment can
be carried out by certified experts,
Mongolian regulation the EU Directive does not sectoral research organisations and
certified entities.
specify who to carry out the SEA, shown in the
Source: EIA Law 2012, Mongolia.
Box 5.2. The Role of assessor in Mongolian
regulation was clearly stated, especially, three
types of assessors as private entities, individual consultants, and academia were all

59
invited to conduct the SEA proposing their approach and project to conduct the
evaluation, according to the Mongolian legislation.

The requirement for public consultations and its integration mechanisms were
well stated in the legislations of these two countries. In contrast, Chinese
regulation is limited to a technical assessment rather than enabling SEA to become
flexible, diversified as a way of promoting transparency (Partidario et al., 2008)
whilst mechanisms of integration and the outcome of public consultations is not
explicitly described. The requirement of transboundary consultation was absent.
Transboundary consultation is important in SEA because some of their area,
ecosystem or watershed is shared with their neighbours and this has to be done
through a high level of protection and negotiations between countries. Well known
examples are the Mekong River management which passes through China and Lao
out of 6 countries and research by Munkhjargal (2007) the Selenge River (in
northern Mongolia) from Mongolia to the Russia.

SEA report is at the heart of the SEA process and it should be sufficiently robust
and transparent to enable stakeholders and information to include in the SEA
statement should be detailed, as stated in the EU Directive. It should be consulted
on the final output of the assessment to enable decision makers and stakeholders
to be informed and help planners to feel that have to environmental and
sustainability issues (Therivel, 2010). Clear list of statements required to be
included in the SEA report was incorporated sufficiently in all legislations except
some absence.

Monitoring and follow up is stated to be carried out by the existent structure of

the state action. However, the approach to monitoring and follow up differs from
country to country. Mongolian regulation stated that a professional entity shall
undertake regular monitoring where agencies and planners themselves are

60
required to conduct monitoring in case of Bhutan and China. It was required by all
legislations to make amendments to the original PPPs if it is considered necessary.
EU Directive (Article 10) notes that 'Member states shall monitor the significant
environmental effects of the implementation in order, inter alia, to identify at an
early stage of unforeseen adverse effects, and to be able to undertake appropriate
remedial action'. However, once the significant effects and unforeseen effects are
note defined explicitly in the regulations, it is revealing to produce a lot of
uncertainties what to monitor and follow -up in all regulations.

In conclusion, this exercise has confirmed that SEA approaches differ, for example,
in their openness (for instance, with strong or weak requirement of public), their
vision (for instance, with partial and absence of the vision of promoting
sustainable development) and the integration and explanation of SEA key stages
explicitly (for instance, the likely significant effect was not defined in the Chinese
regulation where it was described partially in Bhutanese and Mongolian
regulations). These problems might pose adverse influences for the appropriate
implementation of SEA legislation. As the SEA practice should and/or can be
achieved through a clearly stated and focused regulation or guideline to be
followed (Briffett et al., 2003; Therivel, 2010). Therefore, the regulations needs a
room for improvement in terms including all necessary SEA stages with list of
required data and information and clearly define some key definitions as
significant environmental effects and hierarchy of alternatives and fu require a
clear monitoring and follow-up stage of SEA.

5.2 Results and discussions of the questionnaire

As described earlier in Section 2.2.3, two types of questionnaires were developed

for 1) countries with SEA experience, and 2) the countries with no SEA practice.
Totally eight participants are involved in the study and the full list of respondents
and their contact addresses are attached to the Appendix B.

61
Bhutan and China are included in the category of countries with SEA experience
and Lao and Mongolia can be found under the category of countries with no SEA
experience. Lao is included in the survey because Mongolia can also learn from the
practice of other countries at the same level and adapt some best practice
approaches. Therefore, this section fells in 2 sub-sections to discuss it separately.
This exercise has confirmed that the perception and experience of SEA approach is
distinct from country to country and it revealed some important information that
should be considered for Mongolia.

5.2.1 Results of countries with 'SEA experience'

Four respondents contributed to the questionnaire and they were asked about the
factors that have influenced the introduction of SEA and their original responses
are attached to the Appendices C1-C4. This is because it is important to learn from
the past so that Mongolia can benefit from past knowledge when it is in its early
stages of the SEA. The result, in Figure 5.1, showed that political will plays an
influential role in China, whereas the planning agency responsible for the SEA
oversight and coordination is important for Bhutan.

Figure 5.1: Results of countries with SEA experience on the view of factors influenced:

62
 How would you evaluate the following factors, if it is assumed to be an influence for the
implementation of the SEA?
This might be because of the strongly controlled political regime of socialism
established in China which has a strong influence for forming the planning and
implementation stages. Also, both Chinese respondents representing the
government and independent consultancy on SEA claimed that technical
knowledge and skills of SEA plays an important part in SEA implementation which
also has been repeatedly documented in several publications.

This suggests that Mongolia could establish a strong and a sound legal SEA
background to regulate SEA practice in order to avoid being influenced by the
political dogma. At the same time, capacity building and systematic education or
trainings programme are required to maintain the system which will contribute in
improving SEA knowledge and skills. For example, in order to improve the
technical knowledge and skills, regional trainings could be organised with certain
routines so that experts and practitioners would share their knowledge and
improve their skills.

The Bhutanese respondent claimed that an establishment of strong and influential

structure for SEA oversight and a clear guidance have played important roles in
implementing the SEA rather than the country’s political will and interest. The
reason behind the response might be involved with the respondent's well known
experience of integrating the environmental considerations into national planning
through the National Environmental Commission under the Gross National
Happiness Commission which promotes sustainable development. This could be
another option to consider for Mongolia: to establish an independent agency
responsible for both sustainable development and environmental integration
measures in order to mitigate the political influence while coordinating and
monitoring the cross cutting issues.

63
Figure 5.2 and Figure 5.3 show the results which asked about the indirect effects of
SEA, as the SEA achieves the improvements to plan making (Therivel, 2010). Both
the government officer and the National Consultant (NC), who provide consultancy
to the government of China, considered that the SEA has fewer indirect effects
compared with the respondents of Bhutan. Both the government officer and
International Consultant (IC), who was involved in the development of the SEA
regulation in Bhutan, considered that the SEA is contributing to the achievement of
MDGs2 and ensuring a better quality plan. This could be connected with the
political system where China is strongly influenced by the political will of its single
party, but Bhutan has never been under the single-party regime.

6 6
5 5
4 4
3 3
2 2
1 1
0 0
Bhutan Bhutan (IC) China (Gov. China (NC) Bhutan Bhutan (IC) China (Gov. China (NC)
(Gov. officer) (Gov. officer)
officer) officer)

Strongly disagree 0 1 2 3 4 5 Strongly agree Strongly disagree 0 1 2 3 4 5 Strongly agree

Figure 5.2: Indirect effects of SEA: 'Do you Figure 5.3: Indirect effects of SEA: 'Do
agree that the SEA is contributing to the you agree that the SEA is ensuring a
promotion and achievement of Millennium better quality of the planning process?"
Development Goals?"

Moreover, Bhutan has a well known experience of integrating environmental

considerations into national planning since the 1970s so that planners could have
found more SEA benefits and experienced more indirect effects of the SEA for

2 The Millennium Development Goals (MDGs) are eight international development goals that were officially
established following the Millennium Summit of the United Nations in 2000, following the adoption of the
United Nations Millennium Declaration. All 189 United Nations member states and at least 23 international
organizations have agreed to achieve these goals by the year 2015.

64
integrating environmentally friendly development and sustainability into planning
process than compared to China. Additionally, intensive capacity building activities
conducted among government officials, high level planners and decision makers
could have contributed in the higher appreciation of the effects of the SEA as
mentioned in the Chapter 4.
The Bhutanese government officer highest recommendation was to engage the
highest decision making body of all sectors including financial agencies, in a core
team from sectors as coordinators and implementers, enhance the practice of SEA
monitoring. This is used to consider the current situation for the SEA exercise.

Therefore, from the findings of Bhutan and China it can be reflected that a
systematic and intensive capacity building activities for high level planners and
decision makers as well as related officials from non-environmental sectors are
crucial in appreciating and applying the SEA with better effects. Also, there should
be clear and sound regulations in place with an educated team responsible for SEA
who play an important part in efficient SEA implementation.

5.2.2 Results of countries with 'no SEA experience'

The result of countries with no SEA experience were mainly asked about what
factors and constraints they expected to encounter, and what are their needs and
expectations of SEA for contributing to environmentally sustainable development
as well as implementing efficient SEA in their countries.

Both Lao and Mongolia were well aware about the early stage of SEA practice and
highlighted the importance of intervention of donor organisations and capacity
building activities.

Lao expects that the SEA technical knowledge and skills, political will, SEA
knowledge and skills of government officials and non-governmental sectors will

65
have a strong role for the SEA implementation. Interestingly, Mongolia expects that
all factors mentioned in the Figure 4.4 will be highly influential. Again, it is evident
that SEA technical knowledge and skills is considered to play an important part in
SEA implementation because of the new context and methodology that are
required to be carried out for SEA practice.

5
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0
Political will Strong and Clear and detailed Inter and intra- Technical know- Public
influential SEA SEA guideline sectoral planners' how consultations
structure knowledge

Lao (Government officer) Lao (International consultant)

Mongolia (Government officer) Mongolia (Independent Consultant)

Figure 5.4: Expectations on the view of factors: During its early stage of SEA
implementation, how the following factors will show impacts? How would you
evaluate them?

Respondents stated that the SEA is highly demanded in their countries and SEA
will be beneficial because it will support economic development which is
environmentally friendly and socially beneficial (Table 5.2). They say it has the
potential to screen out environmentally detrimental projects.
Table 5.2: Expectations of SEA demand and potential.
If you think the SEA is required to be implemented in Lao or Mongolia, how would you rate
the demand of the SEA implementation in your country?
Lao Not very in demand 0 1 2 3 4 5 Very demanded
(Gov.officer)
Lao Not very in demand 0 1 2 3 4 5 Very demanded
(IC)
Mongolia Not very in demand 0 1 2 3 4 5 Very demanded
(Gov.officer)
Mongolia Not very in demand 0 1 2 3 4 5 Very demanded
(NC)
Do you think SEA has a potential to identify the serious environmental threats of proposed
development plans, programmes and projects?

66
 Lao Not potential 0 1 2 3 4 5 Very potential
(Gov.officer)
Lao Not potential 0 1 2 3 4 5 Very potential
(IC)
Mongolia Not potential 0 1 2 3 4 5 Very potential
(Gov.officer)
Mongolia Not potential 0 1 2 3 4 5 Very potential
(NC)
When asked about the suitability of timing of SEA introduction for Lao and
Mongolia, different views were given. Lao considered that the timing of SEA
introduction to the country is just in time. Whereas both Mongolian respondents
considered the timing of SEA introduction to be too late. It can be generally implied
that the environment is degrading from rapid economic development in Mongolia
since Mongolia shifted to a market economy in the 1990s and experts are
becoming aware of the limitations of the project-based assessment which has been
inefficient. Therefore, experts and planners were looking for some other methods
to cope with this problem and they considered that the SEA is in high demanded in
Mongolia, as shown in Table 5.2. Lessons to learn from best practices of other
countries for Lao (Table 5.3) is stated to be the infrastructure, agriculture,
industry, mining and hydropower development plans where Mongolia is willing to
learn from Australia, USA and China.
Table 5.3: Response to the early examples of SEA and best practices to learn.
Are there any early examples of SEA implementation yet?
Lao Renewable energy strategy, Tourism development in the north of Lao PDR , Mekong
dams
Mongolia Mining sector
If you think Lao or Mongolia needs some examples of SEA to learn from where and what
should it look for?
Lao Infrastructure, agriculture, industry, mining and hydropower development plans,
Mongolia Australia, USA and China

Therefore, it can be concluded that these two countries are well aware that they
are in the early stages of SEA and the need of SEA is considered to be in a high
demand. Demand is high because with SEA there is a strong potential to screen out
environmentally detrimental projects. Additionally, SEA knowledge and skills,

67
political will and a strong and sound SEA structure are considered to be important
for implementing the SEA. They are starting to implement SEA at a small scale in
some sectors but state that they need to learn more from other countries best
examples and from the particular experiences of some sectors.

5.2.3 Summary of Key Messages and its Implications for Mongolia

In conclusion, despite the aforementioned facts, other requirements were

incorporated in the legislations; however, this exercise has confirmed that the SEA
approach needs to be improved in these areas as. This is considerable, as the SEA
practice should and/or can be achieved through a clearly stated and focused
regulation or guideline to be followed (Briffett et al., 2003; Therivel, 2010) to some
extent, that the SEA should move beyond the notion of the sequence of standard
activities (Partidario et al, 2008). Thus, regulations reviewed could be modified or
developed with care ensuring that three main objectives of the SEA went hand in
hand and all necessary SEA processes are fully included and clearly stated. The
summary of key messages and its implications from legislation review is outlined
in Table 5.4.
Table 5.4: Summary of Key Messages and its Implications of Legislation Review.
Results Implications to Mongolia
- The view of sustainable  Ensure that the view of sustainable
development should go hand-in- development go hand in hand in order to
hand throughout the regulations promote the contribution to the
environmentally sustainable projects and
sustainable development
- Clear and appropriate objective of a  A clear and all-inclusive objective will affect the
high level environmental protection, proper and inclusive application SEA processes
promoting the sustainable and enable it to produce more robust and
development and term of significant rationale outcomes which are used to influence
effect were absent the decision making process
- Responsibilities of parties involved  A clear set of roles and responsibilities will help
in the SEA has to be clearly defined to process the SEA implementation efficiently
in legislations without the waste of time, confusion or
misconduct
- Definitions of the significant effects  Will make the SEA more robust, rationale and
were not defined in detail and did effective to integrate the environmental
not require assessments on considerations into development planning
environmental and social receptors

68
 - Absent or partial inclusion and
requirements of all necessary SEA
processes
- Transboundary consultation was
not included
 All inclusive SEA processes will provide a clear
direction and guidance for the SEA
 Will help to undertake transboundary
environmental issues effectively and improve
the mutual accountability and cooperation

It has been also demonstrated the Mongolia needs to learn from several important
lessons and helpful ideas from the questionnaires, shown in the Table 5.5. First of
all, establishment of and housing the SEA issue within the national development or
planning agency and having clear and sound regulations are important together
when coupled with an educated core team who are responsible for the SEA. SEA
could be promoted as an environmental mainstreaming tool, as the international
advisors recommended. A systematic and intensive capacity building activities at
all levels and sectors along with initiating pilot SEAs are also vital. There is a high
demand and expectation over the SEA in countries with no SEA experience and it is
noteworthy that investments or a high growth rate are sustainable and are subject
to SEA with an emphasis on obtaining donor organisations assistance in capacity
building activities. By considering these findings, Mongolia could enhance its
capacity to introduce the SEA effectively which in turn offers safeguards for the
environment, whilst prevention from irreversible decisions is taken. This ensures
that things lead to a path of sustainable development.
Table 5.5: Summary of Key Messages and its Implications of the Questionnaire.
Results Implications for Mongolia
Factors influenced prior to SEA  Considering both negative and positive factors
introduction: influenced will help to take assertive steps while
- International organizations pressure for formulating the regulations or guideline before
SEA and during the implementation.
- House the SEA within national planning
 Establishment and housing of proper
or coordination agency organisation for SEA will prevent any external
- Promote SEA as an environmental
influences and enable the effective SEA
mainstreaming tool
Necessity of SEA:  Using the SEA for screening out development
- A useful instrument ensuring that PPPs will enable it to reduce the number of EIA
investments are sustainable taking into based impacts, alert irreversible decisions are
considerations of impacts on social, taken, reduce the costly PPPs with large
environmental and economic matters environmental effects
- A rapid growth and many new

69
 investment projects are subject to be in
line with national strategies and plans
and sector development strategies and
plans and with SEA

Contribution to the quality of planning  Should promote the tradition of transparency

process and development agenda:
- Moderate agreement on the promotion
of MDGs and quality of planning in
China, but stronger agreement in
Bhutan
Constraints:
- Limited technical knowledge and skills
- A political pressure or reluctance
- Availability of data
- Gaps in decision making
and coordination and the view of sustainable
development will enhance the SEA
implementation
 Carry out capacity building activities at all levels
and sectors
 Attempt to establish a stronger and sound
structure without gaps in decision making to
increase the benefits of the SEA practice

Recommendations:  Housing the SEA within proper organisation will

- Make the SEA the responsibility of
national planning or coordinating
agency
- Initiate a pilot study
- Educate the core team who will conduct
the SEA
- Good SEA regulation
prevent any external influences and enable the
effective SEA
 Establishing a pilot study will enable it to
contrast the outputs and replicate in other
regions
 Strong regulation will enable it to reduce the
external influences

5.3 Recommendations

It is evident that efforts to legalizing SEA practices differ from country to country;
this review yielded both negative and positive lessons for Mongolia. Based on the
findings and key messages, are proposed for countries' with SEA experience':

 Recommendation 1: it is recommended that SEA practice is reviewed and

monitored in order to identify gaps, weakness or strengths and modify or
improve the system. s proposed for the countries with SEA experiences.

 Recommendation 2: Sharing knowledge and experiences through regional

trainings and study tours will enable extensive knowledge and skills transfers.

70
 Recommendation 3: It is evidenced that the legislations need to be improved
specifying necessary SEA stages (transboundary consultations, integration of
public views and etc), choice of alternatives, information to require for SEA
statements and providing more detailed requirements for impact assessment
and reporting.

Additionally, recommendations are put forward for countries 'without SEA

experience' with special consideration of Mongolian context.

 Recommendation 1: It is recommended that, in situations where it is

governments are pursuing rapid economic growth, yet, evaluated with lower
human development rank and experiencing environmental degradation, the
effective SEA implementation is vital in order to pursue sustainable
development. Initial stage of

 Recommendation 2: This study recommends that all necessary SEA processes

are fully and clearly integrated key definitions as significant environmental
effects, hierarchy of alternatives and transboundary consultation. It is
important that three main SEA objectives of a high-level environmental
protection, PPP integration of environmental considerations and promotion of
sustainable development are clearly defined in the SEA legislations.

 Recommendation 3: In order to maximise the benefits and effectiveness of

the SEA, systematic and intensive capacity-building activities at all levels and
sectors should comprehensively be carried out. Particularly, a high level
decision makers, planners and stakeholders from non-environmental sectors
should be trained and involved in capacity building activities. A specific
sectoral approach to SEA efforts and best practices and examples of not only

71
 other developing countries but also developed countries are highly encouraged
to be researched and learnt.

Additionally, some Mongolia-specific recommendations are proposed to consider

when it is starting its SEA as below:

 Recommendation 1: New investments are pouring into the country owing to

rapid economic growth, thus implementation of SEA practices is an urgent
priority. Practices should be aimed at ensuring that investments are
sustainable while screening out environmentally unfriendly projects. It is
important that both negative and positive impacts on social, environmental and
economic matters are considered.

 Recommendation 2: It is recommended that the SEA team is housed within

the national development planning agency to facilitate and coordinate national
and sectoral PPPs. In order best to pursue a path towards sustainable
development, the PPPs should have environmental considerations and other
cross-cutting issues at their core.

 Recommendation 3: In order to maximise the benefits and effectiveness of

the SEA, systematic and intensive capacity-building activities at all levels and
sectors should comprehensively be carried out. Particularly, a high level
decision makers, planners and stakeholders from non-environmental sectors
should be trained and involved in capacity building activities. A specific
sectoral approach to SEA efforts and best practices and examples of not only
other developing countries but also developed countries are highly encouraged
to be researched and learnt.

 Recommendation 4: Where climate change is impacting fragile ecosystems,

especially in areas where unsustainable agriculture and mineral extraction are

72
 in progress, measures to mitigate drought, desertification and vegetation
degradation should be considered as priority when development projects are
proposed.

 Recommendation 5: SEA approach should also focus on protection of

endangered landscapes, diverse cultures and land use of patterns of nomadic
lifestyles especially where mining activities are threatening to fragment
herding activities. A herding lifestyle represents natural heritage of Mongolia
and should be weighed against economic benefits.

73
6. Conclusions

This study has reviewed the application of SEA in developing countries in order to
draw lessons that could be applied to Mongolia, currently at an early stage of SEA
application. Both weak and strong points as regards SEA methodology were
considered and the research yielded a number of negative and positive lessons. It
should be noted that in order to contribute to the early practice of SEA in Mongolia
a draft of this paper was sent to related experts dealing with the ongoing process
of SEA regulations and guidelines for the country.

It is acknowledged that there are limitations associated with the case study
methodology. Although several methodological approaches were used in an
attempt to minimize the necessarily scant data set, it is acknowledged that use of a
number of participants to generate a much larger data set would have increased
the reliability and accuracy of the methodology; future revision is recommended.

In conclusion, due to any work carried out on SEA implementation in Mongolia,

this research aims to establish a baseline for future work. Strategic Environmental
Assessments are going to be carried out in Lao and Mongolia in the near future
with adoption of SEA regulations and guidelines. This present research revealed
some inconsistencies in SEA regulations including a lack of clarity of definition and
a partial absence of certain important stages in the SEA directive, nevertheless the
SEA draft regulations for Mongolia are currently of a "Good" standard and it is
therefore hoped that as knowledge, experience and the practice of SEA evolves,
SEA will be further developed and modified and may reach an "Excellent" level
within the next 10-15 years.

74
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 Appendices

Appendix A1

Bhutanese Regulation on Strategic Environmental

Assessment, 2002

Purpose, Definitions and Commencement

Purpose
1. The purpose of this regulation is:
1.1. to ensure that environmental concerns are fully taken into account by
all government agencies when formulating, renewing, modifying or
implementing any policy, plan or program, including Five-Year
developmental plans under Articles 7 and 32.2 of the Environmental
Assessment Act, 2000;
1.2. to ensure that the cumulative and large scale environmental effects are
taken into consideration while formulating, renewing, modifying or
implementing any policy, plan or program;
1.3. to complement project specific environmental reviews as per the
Regulation for the Environmental Clearance of Projects and to
encourage early identification of environmental objectives and impacts
of all governmental proposals at appropriate planning levels;
1.4. to promote the design of environmentally sustainable proposals that
encourage the use of renewable resources and clean technologies and
practices; and
1.5. to promote and encourage the development of comprehensive natural
resource and land use plans at the local, Dzongkhag and national levels.

Scope and Definitions

2. This regulation shall serve as a broad guideline to be followed by all
governmental agencies while formulating, renewing, modifying or
implementing any policies, plans, programmes and Five-Year developmental
plans, which may have significant impacts on the environment

3. For the purpose of this regulation:

3.1. Agency means a ministry, department, municipality established under
the Bhutan Municipal Act, 1999 or any autonomous public body of the

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 Royal Government of Bhutan, including sector, regional or local
administrations.
3.2. Cumulative and large scale environmental effects are those that are
built up incrementally over periods of time, result from the addition
and interaction of multiple activities and stresses, and are pervasive,
cutting across policy sectors and ecological boundaries.
3.3. Environment means the complex web of interrelationships between
the a biotic and biotic components, which sustains life on earth,
including the social, health and cultural aspects of human beings.
3.4. Environmental Assessment means all procedures required under
Bhutanese law to identify means to ensure that the activities of a
project are managed in an environmentally sound and sustainable way.
3.5. Environmental Clearance means the decision under Chapter III of the
EA Act 2000, issued in writing by the Secretariat/Agency, to let a
project proceed, which includes terms to ensure that the project is
managed in an environmentally sound and sustainable way.
3.6. Environmental Statement means the written documentation after
evaluating the environmental consequences, including cumulative
impacts, of a proposed policy, plan or program including Five-Year
developmental plans. It may be a separate report or part of a proposal.
3.7. Monitoring means a program of systematic, objective and quantitative
measurements, observations and reporting of projects that may have
environmental impacts.
3.8. Project means an activity, which may have significant impacts on the
environment.
3.9. Policy means a statement of long-termn goals or strategies of the Royal
Government of Bhutan.
3.10. Plan means a coordinated set of policies and programs, based on the
political decisions of the Royal Government of Bhutan, intended to
achieve specific objectives within a specified time period.
3.11. Program means a set of coordinated activities of the Royal Government
of Bhutan to achieve the specific objectives of a plan.
3.12. Secretariat means the Secretariat of the National Environment
Commission, or its successor as decided by the Royal Government of
Bhutan.
3.13. Strategic Environmental Assessment is a systematic, flexible process
of addressing the environmental aspects and consequences of proposed
policies, plans and program initiatives at the earliest appropriate stage
of decision making at par with economic considerations.

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 3.14. Sectoral Guidelines means all guidance documents, including codes of
best practices, published by the Secretariat or any agency of the Royal
Government of Bhutan.

Commencement
4. In accordance with Article 62 of the EA Act 2000, this regulation shall come
into effect on 24th April 2002.

Strategic Environmental Assessment

Duty of Agencies
5. Any agency that formulates, renews, modifies or implements any policy, plan
or program including Five-Year developmental plans which may have a
significant effect on the environment, shall perform a Strategic Environmental
Assessment in accordance with this regulation, before the proposal is adopted
or submitted to the Royal Government of Bhutan;
6. Any agency that formulates, renews, modifies or implements any policy, plan or
program including Five-Year developmental plans which may have a significant
impact on the environment shall include financial provisions to carry out
environmental assessments and mitigation measures where deemed
necessary; and
7. All agencies shall establish an environmental unit/focal person to ensure full
compliance with this regulation.

Principles of Strategic Environmental Assessment

8. Strategic assessments of the environmental implications of policies, plans and
programs including Five-Year developmental plans shall be based on the
following principles:
8.1. Early identification and integration of environmental concerns and goals
in governmental planning and decision-making;
8.2. Consideration of all feasible alternatives to the agency's proposal,
including the alternative of taking no action;
8.3. Openness and transparency in Government decision-making;
8.4. Documentation and assessment of results of the Strategic Environmental
Assessment;
8.5. Open access to information generated or compiled by the agency; and
8.6. Accountability to the public and the Royal Government of Bhutan.

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The Environmental Statement
9. When a Strategic Environmental Assessment is required, the agency shall
include an environmental statement in the draft of the proposal.
10. The environmental statement shall contain a clear and concise description of:
10.1. The proposal and its policy objectives;
10.2. The anticipated adverse environmental effects of the proposal,
including direct, indirect and cumulative effects
10.3. Feasible alternatives to the proposal, including the alternative of
taking no action, and a comparison of the environmental effects of these
alternatives;
10.4. Feasible methods to avoid, minimize or mitigate adverse
environmental effects of the proposal;
10.5. The potential overall effect on the environment assuming the
successful implementation of described impact avoidance and
mitigation measures;
10.6. How the proposal complies with relevant guidelines, if any, published
by the Secretariat or any other Agency;
10.7. The environmental benefits of the proposal and how the proposal
advances the Government's objectives of: (a) sustainable
development; (b) environmental protection; (c) preservation of
cultural heritage; (d) use of clean technologies; and e) economic
benefits; and
10.8. Commitments for avoidance and mitigation of environmental effects
and mechanisms for future monitoring and assessment.

11. The Secretariat may issue further guidelines on strategic environmental

assessment tools and procedures.
12. All policies, plans and programs including Five-Year developmental plans
shall contain an environmental statement or incorporate it by reference. The
information included in the Environmental Statement prepared pursuant to
Sections 10 shall be in such detail as may reasonably be required for the
purpose of assessing the significant direct and indirect effects of implementing
the policy, plan or program including Five-Year developmental plans on
humans, fauna, flora, soil, water, air, climate, landscape, material assets and
cultural heritage.

Compliance
13. The Planning Commission, in consultation with the Secretariat, shall issue
necessary guidelines to ensure the incorporation of 'Strategic
Environmental Assessment in the formulation of policies, plans and
programs including Five- Year developmental plans by all the agencies of
the Royal Government of Bhutan.

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Monitoring and Assessment
14. Where a policy, plan or programme including Five- Year developmental
plans, may have significant negative effects on the environment, it shall
include a system for monitoring and mitigating such effects.
15. All Agencies shall monitor and assess environmental effects of the policy,
plan and programme including Five- Year developmental plans at regular
intervals, and shall take the results of assessment into account in future
planning process.

89
Appendix A2

Chinese Plan Environmental Impact Assessment Regulations

2009
Translated by Kai-Yi Zhou

Chapter 1 General provisions

Article 1
The objective of these regulations is to strengthen Plan Environmental Impact ssessment
(PEIA), improve scientific rationality of planning, avoid environmental pollution and
ecological degradation from the beginning, and promote economic, social and
environmental development in a harmonious way.

Article 2
1. PEIA should apply to plans developed by relevant ministries and commissions of the
State Council, governments and their departments of administrative level above
municipal with district regarding land use, regional development, watershed and
marine development, construction and utilization (‘comprehensive plans’), and
industry, agriculture, animal husbandry, forestry, energy, water resources, transport,
urban construction, tourism and natural resources (‘special plans’).
2. Subject to Para. 1 Art. 2, the detailed scope of sectors to which PEIA applies will be
drafted by the competent authority of environmental protection (CAEP) of the State
Council jointly with relevant ministries and commissions of the State Council, and
implemented after the State Council has ratified it.

Article 3
PEIA application must comply with the principles of objectivity, openness and impartiality.

Article 4
1. The State will develop a system to make PEIA information publicly available.
2. Governments and their departments whose administration level is municipal with
districts and above shall make PEIA information publicly available.

Article 5
The costs of PEIA application should be part of the budget for the development of a
proposed plan. PEIA-related expenditure must be strictly supervised and audited.

Article 6
Any organization or person has the right to report activities that breach these Regulations,
or any plan implementation that has significantly adverse environmental impacts to the

90
planning examination approval authority (PEAA), planning authorities or the CAEP. After
any relevant
departments have received a report, they should investigate and manage the case
according to regulations.

Chapter 2 Assessment

Article 7
Planners should apply PEIA during the course of plan-making.

Article 8
The PEIA should analyze, predict and evaluate the following:
1. Likely cumulative effects on relevant regional, river basin and marine areas due to the
implementation of the plan;
2. Likely long-term effects on the environment and communities due to the
implementation of the plan;
3. The relationship between economic, social and environmental benefits; and current
andlong-term benefits due to the implementation of the plan.

Article 9
1. When applying PEIA, relevant environmental protection standards and PEIA technical
guidelines and technical specifications should be complied with.
2. The Technical Guidelines of PEIA are formulated by the CAEP of the State Council
jointly with relevant ministries and commissions of the State Council. The Technical
Specifications of PEIA2 are formulated by ministries and commissions of the State
Council according to the Guidelines. A copy of the Technical Specifications should be
sent to the CAEP of the State Council to serve as a record.

Article 10
1. When drafting a comprehensive plan, an environmental impact chapter or note should
be compiled on the likely environmental effects of implementing the plan.
2. When drafting a special plan, an environmental impact report (EIR) should be
compiled before the plan is submitted for approval. When drafting a conceptual (or
directive) plan for a special plan, an environmental impact chapter or note should be
compiled subject to Para. 1 Art. 10.
3. A conceptual (or directive) plan in Para. 2 is a kind of special plan mainly addressing
development strategies.

Article 11
1. An environmental impact chapter or note shall contain the following:
1. Analyses, prediction and assessment of the likely environmental effects of plan
implementation, including an analysis of carrying capacity, analysis and prediction
of adverse environmental impacts, and analysis of the environmental compatibility
of the plan with other relevant plans;

91
 2. Counter measures and solutions that can avoid or reduce adverse environmental
impacts, mainly including policies, management measures and technical measures.
2. In addition to the above contents, the EIR should contain the conclusions of the PEIA
process, including the environmental rationality3 and feasibility of the draft plan, the
rationality and feasibility of counter measures and solutions for avoiding and reducing
adverse environmental impacts, and suggestions for how to adjust the draft plan.

Article 12
The planner or organization in charge of PEIA applications should compile the
environmental impact chapter or note, or the EIR. The planner is responsible for the
quality of the document.

Article 13
1. For special plans that may have adverse environmental impacts and directly involve
the interests of the public4, before the plan is submitted for approval, the planner
should publicly solicit comments and suggestions on the EIR from institutions
concerned, experts and the public through questionnaires, fora, meetings and/or
hearings. These requirements do not apply to plans that have been legally classified5.
2. If institutions concerned, experts and the public have major divergence on the
conclusions of the EIR, the planner should make further contacts by hearings,
meetings etc.
3. The EIR submitted for approval should document comments or suggestions made by
the public, state whether they have been adopted or not, and explain the reasons for
doing so.

Article 14
To make significant changes or revisions to a plan’s implementation area or period of
application, or the scale, structure and layout of a plan which has been formally approved,
the planner should re-apply PEIA or apply PEIA to the changes according to these
regulations.

Chapter 3 Examination

Article 15
When a planner submits a draft comprehensive plan or a conceptual plan of a special plan
for examination and approval, the environmental impact chapter or note should also be
submitted as a part of the plan to the PEAA. Where a draft plan is submitted without an
environmental chapter or note, the PEAA should require the planner to supply this. If the
planner does not supply this, the PEAA shall not examine and approve the plan.

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Article 16
When planner submits a draft special plan, the plan’s EIR should also be submitted to the
PEAA. If an EIR is not submitted, the PEAA should require the planner to supply this. If the
planner does not supply this, the PEAA shall not examine and approve the plan.

Article 17
1. For special plans that only local governments at or above the level of municipal with
districts have the authority to examine and approve, before the examination and
approval procedure may begin, the CAEP of the sector that the given special plan
belongs to should convene an EIR examination team comprised of experts and
representatives from relevant departments to examine the given plan’s EIR. The team
should provide written conclusions.
2. For special plans that only provincial governments and above have the authority to
examine and approve, the EIR examination and approval process and procedure is
formulated by the CAEP of the State Council working with ministries and commissions
of the State Council.

Article 18
1. The members of an EIR examination team should be selected randomly from a number
of experts in relevant topic areas within the national statutory expert database.
2. Those experts that participated in the compilation of the EIR are not eligible to be the
members of the team.
3. More than half of the members of the EIR examination team should be experts. If the
number of experts is fewer than half, the examination conclusions made by the team
are not valid.

Article 19
1. The members of an EIR examination team shall prepare written EIR examination
conclusions, basing these on their objective, fair and independent judgments. During
the course of the EIR examination, the PEAA, the planner and the organization that
convenes the team shall not intervene.
2. The EIR examination conclusions shall include the following:
1. The authenticity of the original materials and data used;
2. The rationality of the assessment methods used;
3. The reliability of the environmental impact analysis, prediction and evaluation;
4. The reasonability and effectiveness of the adopted counter measures and solutions
for avoiding or reducing adverse environmental impacts;
5. The rationality of explanations of the reasons for whether comments and
suggestions made by the public have been adopted;
6. The scientific rationality of the conclusion of the PEIA process.
3. The EIR examination conclusions should be agreed and signed by three-quarters of the
members of the examination team. If members of a team have different opinions, those
opinions should be truthfully documented and reported.

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Article 20
If the following conditions occur, the EIR examination team shall suggest that an EIR must
be revised and the revisions should be re-assessed:
1. in authenticity of the original materials and data;
2. irrationality of the assessment methods used;
3. the analysis, prediction and evaluation of adverse environmental impacts is not
correct and not thorough, therefore further examinations are required;
4. the adopted counter measures and solutions for avoiding or reducing adverse
environmental impacts have serious flaws;
5. the conclusions of the PEIA process are unclear, unreasonable and wrong;
6. the EIR does not include an explanation of the reasons for whether comments and
suggestions made by the public have been adopted, or the explanation for why
comments and suggestions made by the public were not adopted are clearly
unreasonable.
7. the contents of the EIR have other serious flaws and omissions.

Article 21
1. The EIR examination team shall not approve an EIR where:
2. according to current levels of knowledge and technological conditions, it is very
difficult to come to a scientific judgment on the scale and extent of adverse
environmental impacts caused by the implementation of a plan; the implementation of
the plan may cause significantly adverse environmental impacts and there are no
feasible prevention or mitigation measures and solutions.

Article 22
1. When the PEAA examines and approves a draft special plan, its final decision should
be made mainly based on the conclusions of the EIR and the conclusions of the EIR
examination.
2. If the PEAA does not adopt the conclusions of an EIR and the comments and
suggestions made by the EIR examination team, the PEAA shall provide written
explanations for each individual conclusion, comment or suggestion of why it was not
adopted, and those written explanations should be archived for future examination.
Institutions concerned, experts and the public have the right to apply to review those
explanations. These requirements do not apply to plans that have been legally
classified6.

Article 23
If a plan that has undergone PEIA includes specific construction projects, when project
EIAs are carried out for construction projects under the plan, the conclusions of the PEIA
should be seriously taken into account and the contents of the project EIAs could be
simplified based on the outcomes of the PEIA.

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Chapter 4 Follow-up assessment

Article 24
Soon after a comprehensive plan or a special plan which is likely to have significant
adverse impacts on the environment7 has been implemented, the planner should organize
follow-up assessment for the PEIA. The planner should report on the outcomes of the
follow-up assessment to the PEAA, and inform departments concerned including the
environmental protection authority.

Article 25
The follow-up assessment of a PEIA should include the following contents:
1. comparative analysis and evaluation between those environmental impacts that
actually occur due to the implementation of a plan and those environmental impacts
documented in the EIR;
2. analysis and evaluation of the effectiveness of those counter measures and solutions
adopted in the plan aimed at preventing or reducing adverse environmental impacts;
3. the public’s comments on environmental impacts associated with implementation of
the plan;
4. conclusions of the follow-up assessment.

Article 26
During the course of PEIA follow-up assessment, the planner should organize
questionnaires, on-site interviews, hearings and/or other methods to solicit opinions from
relevant departments, experts and the public.

Article 27
The planner should identify remedial measures without delay if significant adverse
environmental impacts have been identified during the course of plan implementation;
report the event to the PEAA, and inform the relevant departments including the
environmental protection authority.
Article 28
Where the CAEP identifies significant adverse environmental impacts occurring during the
course of plan implementation, the CAEP should re-check the findings without delay. Once
confirmed, the CAEP should put in place improvement measures or suggest revisions to
the adopted plan to the PEAA.

Article 29
After the PEAA receives a report from the planner or suggestions from the CAEP, the PEAA
should organize a formal discussion, and the adopted plan should be reformulated or new
mitigation measure should be put in place.

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Article 30
If the total emissions of a key pollutant exceed the national limit or regional limit within
the implementation area of a given plan, the examination and approval of EIR of new plans
that increase the concentration of the key pollutant within the area should be suspended.

Chapter 5 Legal liabilities

Article 31
If, during the course of a PEIA application, a planner practices fraud or is negligent of their
duties, and this causes the PEIA process to be seriously inconsistent with facts,
punishments should apply to the person in charge and other personnel with direct
responsibilities in conformity with legal provisions.

Article 32
Where the PEAA is responsible for the following, punishments should apply to the person
in charge and other personnel with direct responsibilities in conformity with legal
provisions:
1. Approval is granted to a comprehensive plan or a conceptual plan of a special plan for
which an environmental impact chapter or note should have been compiled according
to law but was not;
2. Approval is granted to a draft special plan for which an EIR should have been compiled
according to law but was not; or to a draft special plan whose EIR has not be examined
by the EIR examination team.

Article 33
1. Where the authority that brings together an EIR examination team practices fraud or
misuses its power during the course of an EIR examination, and this causes the PEIA
process to be seriously inconsistent with facts, punishments should apply to the
person in charge and other personnel with direct responsibilities in conformity with
legal provisions.
2. Where a PEIA process is seriously inconsistent with facts due to fraud or neglect of
duty by any experts of the EIR examination team, the CAEP in charge of developing the
national statutory expert database shall remove the experts from the database and
make an announcement to this effect. If representatives from the departments
concerned practice similar activities, punishments should apply according to law.

Article 34
Where an EIR is seriously inconsistent with facts due to fraud or neglect of duty by any
PEIA consultants, the CAEP of the State Council should circulate a notice to this effect. The
fine is more than one time and below three times the consultation fee. If the PEIA
consultants’ activities constitute a crime, responsibility for the crime should be
investigated according to law.

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Chapter 6 Supplementary provisions

Article 35
Provincial level governments will require their lower level governments to apply PEIA to
their plans according to the local situation. Detailed application measures shall be
formulated by provincial governments according to the provisions of the EIA Law and
these regulations.

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Appendix A3

Lao PDR's Environmental Protection Law (Revised Version)

2012

Part I
General Provisions

Article 1: Purpose(revised)

The Environmental Protection Law defines principles, regulations and measures

related to environmental management, monitoring of protection, control,
preservation and rehabilitation, with quality of mitigating impacts and pollution
created by anthropogenic loads or by nature, aiming to provide balance between
social and natural environment, to sustain and to protect natural resources and
public health; and contribution into the national socio-economic development and
reduction of global warming.

Article 2: Environment (revised)

Environment means any organic and inorganic features existing naturally or
created by mankind and surrounding such as people, animals, plants and others
and the positive and negative interaction and impacts on livelihood, production,
existence and expansion of mankind and nature.
Environment consists of social and natural environment.

Article 3: Environmental Protection (revised)

Environmental protection means application of methods and measures for
environmental protection, conservation and rehabilitation, pollution control,
environmental emergency and natural disasters; and for creation of green, clean
and beautiful environment without pollutions and impacts on human life and
health, animals, plants and ecosystem.

Article 4: Explanation of Terminologies (new)

Defined terms used in this law shall have following meanings:
1. “Social Environment” means any organic and inorganic features created by
mankind and the positive and negative interaction and impacts on livelihood,
production, existence and expansion of mankind and nature.

2. “Natural Environment”means any organic and inorganic feature existing

naturally and the positive and negative interaction and impacts on livelihood,
production, existence and expansion of mankind and nature.

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3. “Environmental Rehabilitation” means restoration and reversal of
annihilable or degradable environment back to better states and to ample
ecosystem.

4. “Strategic Environmental Assessment” means a process of anticipating an

environmental impact and including environmental protection while
developing policies, strategies, and plans undertaken by sectors.

5. “Integrated Spatial Plan” means allocation of land use aiming to protect,

improve and rehabilitate environmental quality, particularly through
identification of future residential, agricultural and industrial areas, and
locations of large-scale investment projects.

6. “Environmental Impact Assessment” means a process of studying, surveying,

data analysis and anticipation of both positive and negative impacts on social
and natural environment caused by various projects in short and long term,
along with taking appropriate methods and measures to protect, avoid and
mitigate those environmental impacts.

7. “Biodiversity” means variations of species of plant, animal, and biome within

any natural territories.

8. “Sustainable Development” means socio-economic development in parallel

with environmental protection without any impacts on future generations.

9. “Waste” means objects, chemical substances or any things that persons or legal
entities do not want and cannot recycle such as used oil, rubbish, wastewater
and others, which are toxic or non-toxic.

10. “Environmental Inspection” means follow-up and inspection of the socio-

economic development plans implementation, particularly investment projects,
extraction and utilization of natural resources, for protection, problem solving,
environmental rehabilitation and pollution control in accordance to regulations
aiming to ensure sustainability of socio-economic development and good
quality of the environment.

11. “Social and Natural Environmental Management Plan of Investment

Project” means a plan that consolidates various key tasks of social and natural
environment, identifying methods and preventive measures, mitigation, solving
of environmental impacts, which are already reported by Social and Natural
Environmental Impact Assessment, and identification of organizational
structures, responsibilities, time schedules and sufficient budgets for

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 implementing the management and inspection of the social and natural
environment.

12. “Clean Technology” means machines and equipment used into production
processes and service operations without polluting or generating wastes; and
uses of the least energy consumption to avoid impacts and damages to the
environment.

13. “Toxic chemical substance” means the objects or poisonous substances mixed
in the air, soil or water, with adverse impacts on lives and non-life forms.

14. “Radioactive Particle” means the object with constant distribution of

radiation that is harmful to human bodies or cells of all live forms.

15. “Ecosystem” means positive and negative interactions between lives and non-
life forms, which exist in the nature.

Article 5: Environmental Protection Policy(s) (new)

The State promotes protection and rehabilitation of social and natural
environment through dissemination of regulations and environmental
information, building of awareness and knowledge, training and conducting
campaigns for individuals and organizations, both domestic and international, to
recognize importance of social and natural environment in daily livelihoods and in
strictly implement the environmental protection regulations, methods and
measures.
The State encourages investments into clean production and technology, green
economy, and environmental protection via policies, particularly provisions of
credits, technical assistance, information, and exemptions or reduction of duties-
taxes based on regulations.

Article 6:Principles of Environmental Protection(revised)

The environmental protection shall follow these following principles:
1. Socio-economic development with linkages to sustainable protection of social
and natural environment;
2. Protection of social and natural environment as key tasks while rehabilitation
of social and natural environment as main tasks;
3. Active participation and consultation of individuals and organizations into
protection of social and natural environment;
4. Utilization of natural resources, raw materials and energy with economical and
rational manners, utmost benefits and the least impacts on the environment;
and

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5. Liabilities in damages of social or natural environment resulted by an
offender’s action, with the evidences and application of the Pollution Control
Standard as the obligations of him or her.

Article 7: Commitment in Environmental Protection (revised)

Persons, households, legal entities and organizations have commitments of
protecting, improving, rehabilitating, controlling, monitoring and inspecting the
environment based on regulations to avoid creating impacts on the environment,
causing degradation and polluting that exceeds the Pollution Control Standard and
the National Environmental Quality Standard, aiming to ensure good quality of the
environment and sustainable development.

Article 8: Scope of Application(new)

This Law applies to persons, legal entities and organizations including Lao citizens,
aliens, eupatrids and foreigners, who are living and working in Lao PDR.

Article 9: International Cooperation (revised)

The State promotes overseas, regional, and international cooperation regarding
environmental protection and rehabilitation through sharing of lessons learnt,
information, science, technology, technical assistance, participation and
implementation of international treaties and agreements, which Lao PDR is the
state member of.

Part II
Impact on Environment

Article 10: Impact on Social Environment(new)

An impact on social environment is an adverse impact on human life and health,
properties and livelihoods, including shelters of people, and on cultural and
historical heritages.

Article 11: Impact on Natural Environment (new)

An impact on natural environment is an adverse impact on natural ecological
fundamentals, natural resources, biodiversity, arable land, water sources, climate
change and natural heritages.

Part III
Environmental Protection

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Article 12: Importance of Environmental Protection(new)
Environmental protection is important for existence and expansion of current
societies and nature; and for generating green, clean and beautiful environment,
without being affected, damaged, free from pollutants and negative effects on
human, animal, and plant health or ecological balance.

Article 13: Environmental Protection Practices(new)

Environmental protection consists of these key following practices:
1. Environmental prevention
2. Pollution control
3. Toxic chemical control and waste disposal
4. Environmental certification and permission
5. Promotion and public participation

Chapter 1
Environmental Prevention

Article 14:Environmental Prevention (revised)

Environmental prevention is an action of safeguarding and preventing against any
natural or manmade events, which may possibly happen, are happening or already
happened, leading to damages or depletions of social and natural environment.

Article 15: Content of Environmental Prevention (new)

Environmental prevention is described below:
- Prevent against impacts on people’s lives, health, shelters and productions
- Prevent against impacts on forests, water resources, animals and natural
biodiversity and resources, including climate change

Article 16: Forest Protection and Development(new)

Forest protection and development of other natural resources focus on
management and development of forest categories: protection, conservation,
production, watershed; or of tree species and NTFPs, in order to promote
abundance of resources, sustainable supplies of timbers and forest products,
protection of soil quality and prevention against erosion, protection of water
resources, aquatic and wild animals, and to promote income generation for state,
organizations and individuals via forestation, restoration and protection of forests
and other natural resources.

Article 17: Environmental Prevention Tasks (new)

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Environmental prevention consists of main tasks:
1. Integrated spatial planning
2. Strategic environmental assessment
3. Preventive measures against natural disasters
4. Initial environmental examination
5. Environmental impact assessment
6. Environmental management of household businesses
7. Use of clean technology
8. Limitation of impacts caused by construction and other activities
9. Environmental prevention against chemical leakages due to accidents
10. Identification of the National environmental standards
11. Report on state of the environment

Article 18: Integrated Spatial Planning (new)

To ensure environmental protection, Integrated Spatial Planning shall:
1. Identify sustainability of natural resource use plans and land use plans in
accordance to the national land use master plan;
2. Manage natural resources and environment in areas, particularly residential,
agricultural and future industrial sites or locations, and large scale investments;
and
3. Develop standards and rules on demarcation and zoning of areas as mentioned in
the above paragraph 2.

Article 19: Strategic Environmental Assessment (new)

A strategic environmental assessment is a process of anticipating an impact that
may affect social and natural environment, while developing policies, strategic
plans, and programs, including considerations towards impacts of climate change.
This impact assessment shall determine methods and measures to avoid or
mitigate impacts on social and natural environment in order to accomplish
sustainable development goals.

While developing the policies, strategic plans, and programs, particularly of energy
and mining, agriculture and forestry, industry and commerce, public works and
transportation, post-telecommunication and communication, information-culture
and tourism sector, a strategic environmental assessment shall be conducted,
except a plan, which applies to uses of small-scale areas and subject to the
Integrated Spatial Plans.

By conducting the SEA, there shall be participations by organizations, local

concerned authorities and people, who are directly or indirectly affected by the
sectoral policies, strategic plans and programs.

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Article 20: Preventive Measures Against Natural Disasters(new)
In order to mitigate impacts of natural disasters, there shall be preventive
measures, particularly tree plantation and construction of dykes and drainage
canals to prevent against flooding, erosion, and drought due to storms or impacts
of climate change, bushfire prevention, development of early warning system and
others.

Article 21: Initial Environmental Examination (new)

IEE is a data examination, exploration and analysis to anticipate possible minor
environmental impacts, while identifying appropriate methods and measures to
prevent, avoid or mitigate environmental impacts from investment projects or
activities including considerations of climate change.

IEE shall promote participations by organizations, local concerned authorities and

people, who directly or indirectly affected by the sector’s plan or program.
Process of conducting IEE on investment projects and activities shall comply with
the specific regulations.

Article 22: Environmental Impact Assessment(revised)

EIA shall be a process of addressing an issue in order to anticipate impacts that
may affect the environment, society and nature, derived from investment projects
or activities, along with considerations related to climate change in Lao PDR, and
development of reports. Apart from reporting, there shall be development of
Environmental Social Management and Monitoring Plans.
Both the report and the plan shall be approved by MONRE prior to functioning
investment projects and activities.
The process of assessing impacts from the investment project and the activity on
the environment, society and nature, shall comply with the specific regulations.

Article 23: Environmental Management of Household Businesses(new)

Households with business operations, production, cultivation, livestock and any
services that may impose negative impacts on social and natural environment,
particularly waste disposal, waste water discharge, making noise, light, odour,
smoke emission, vibration and hazardous chemicals, shall have plans to solve all of
these issues.

Environmental protection commitments, solution plans and approvals of these

plans related to household businesses are stipulated by the specific regulations.

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Article 24: Use of Clean Technology(revised)
For production, business operations shall apply clean technology that suites
emerging socio-economic conditions; provides clean manufacturing with less
environmental impacts or not exceeding the National Pollution Control Standard;
and strictly pursue other technical standards imposed by line sectors.
Importation or transference of technology related to environmental protection
must be endorsed by line sectors upon coordinating with the natural resources
and environmental sector.

Article 25: Limitation of Impacts Derived from Construction Activities and

Others(revised)
Persons, legal entities and organizations providing services on construction,
renovation and others for roads, bridges, water supply, electrification, irrigation,
airports, buildings, or factories, which emit pollutants, shall take measures or
actions to prevent against or correct environmental impacts caused by toxic
chemicals, smoke, dust, vibration, noise, light, odour, wastes and disturbance as
being stipulated by the National Environmental Quality Standards.

Article 26:Environmental Prevention Against Chemicals Due to Accidents

(new)
Persons, legal entities or organizations possessing, utilizing and transporting
hazardous chemicals, shall take preventive measures against possible accidents or
damages on the environment, society and nature. In case of accident, there would
be measures to limit its impacts, along with solutions, repair, and rehabilitation
back to normal situations with remedies.

Article 27: Identification of National Environmental Quality Standards(new)

The National Environmental Quality Standards are identification of contaminant
concentrations in the air, soil and water as parameters of environmental quality.
The Government shall identify the National Environmental Quality Standards
based on the proposal fromMONRE upon coordinating with line sectors.

Article 28: Report on State of Environment (new)

The natural resources and environmental sector shall develop a report on state of
environment for every three years to describe:
1. Current state of the environment
2. Current state of biologyand socio-economy
3. Overall observation on projects or activities that may have impacts on the
environment and create pollutions
4. Appraisal on implementation of environmental strategies and action plans

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The report on state of environment shall rely on the national parameters including
waste, water quality, air quality, and chemical contamination of soil, forest
coverage, biodiversity and adaptation to climate change.
In case of serious pollutions and urgent incidents, there shall be an immediate
report.

Chapter 2
Pollution Control

Article 29: Pollution(revised)

Pollution is a chemical substance, radiation, dust, smoke, noise, light, odour and
heat mixing in the air, soil, and water with concentration exceeding the National
Environmental Quality Standards or National Pollution Control Standards, as the
results of manmade or nature, affecting human life and health, animals, plants,
other living creatures and ecosystem.

Article 30:Pollution types(revised)

Pollution types are:
 Air pollution
 Soil pollution
 Water pollution
 Disturbance such as noise, light, odour, vibration and heat
The pollution is mainly caused by the toxic chemical, radioactive residue and
waste.

Article 31: Air, Soil, Water and Disturbing Pollutions(new)

Air pollutions are caused by dusts and smoke mixing with the air, exceeding the
National Environmental Quality Standards and the National Pollution Control
Standards; and having negative impacts on lives and non-live forms.

Soil pollutions are pollutants contaminated by poisonous substances that exceed

the National Environmental Quality Standards and the National Pollution Control
Standards, existed by manmade with impacts on human life and health, animals,
plants, other living creatures, ecosystem and change of soil structure, which is not
usable.

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Water pollutions are pollutants contaminated by poisonous substances that exceed
the National Environmental Quality Standards and the National Pollution Control
Standards, existed by manmade with impacts on rivers, streams, underground
water, human health, animals, other living creatures and ecosystem.

Disturbing pollutions are manmade activities, particularly noise, light, color, odor
and vibration that exceeds the National Environmental Quality Standards and the
National Pollution Control Standards, with impacts on human life and health,
animals, plants, other living creatures and ecosystem.

Article 32: National Pollution Control Standards(new)

The National Pollution Control Standards are identification of pollutant
concentrations emitted by persons, legal entities and organizations with
permission, from any sources into the air, soil or water.
The Government shall identify the National Pollution Control Standards based on
the proposal from MONRE upon coordinating with line sectors.

Article 33: Rights of Operator(s) Involved in Pollution Control(new)

An operator involved in pollution control shall have these following rights:
1. Emit pollutants with compliance to the National Environmental Quality
Standards and the National Pollution Control;
2. Develop a monitoring system for environmental quality and pollution control
under its scope of responsibilities;
3. Coordinate with other relevant sectors for pollution control; and
4. Exercise other rights as being stipulated by regulations

Article 34: Obligations of Operator(s) Involved in Pollution Control(revised)

An operator, who is manufacturing, enterprising and servicing in industry,
agriculture, forestry, energy, mining, and handicraft, have obligations in pollution
control with compliance to the NEQS & NPCQ, through development of pollution
control manage and action plans including disturbance, and environmental tax
payment commitment based on regulations.

Article 35: Pollution Control Measures(revised)

An operator, who is operating, shall strictly apply methods and measures
regarding pollution control, such as use of appropriate technology and equipment
installation, prevention, solution, treatment-sterilization, improvement and
rehabilitation of the environment that is affected by air, soil and water pollution.

An operator must release, discharge of wastewater, dispose, burn, burry or

demolish wastes and rubbish in areas identified by regulations.

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Production, importation, utilization, transportation, storing and demolishing of
toxic chemicals or radioactive residues shall strictly comply with the specific
regulations and standards.

Chapter 3
Toxic Chemical Control and Waste Disposal

Article 36: Toxic Chemical Control(new)

Toxic chemicals are substances used for production processes, businesses and
services such as industry, agriculture, forestry, energy, mining, handicraft, or other
activities including household consumptions, which can be harmful to human life
and health, animals, plants and non-live forms; and are needed for controlling
through treatment, dumping, burn, cremation, bury or elimination, with
compliance to exact specific procedures and regulations.
The natural resources and environmental sector is directly responsible in
coordinating with other line sectors for inspection and endorsement of toxic
chemical lists, which are under periodical management by the sector.

Article 37: Types of Wastes (new)

Wastes are categorized into two types:
1. General wastes
2. Toxic and hazardous wastes

Article 38: Waste Disposal(new)

Disposal of general wastes, particularly rubbish, shall be separation for different
purposes such as recycle, reuse, reprocess as new products and elimination with
methods and techniques within identified areas based on regulations.

Disposal of toxic and hazardous wastes including explosive materials, flammable

objects, chemical substances, wastes or discharged water by hospitals, industrial
factories, particularly chemical product manufacturing, radiation, and mineral
processing, requires treatment, dumping, burn, cremation, bury or elimination,
with methods and techniques within identified areas based on regulations.

Landfills for districts, villages, households, healthfacilities, educational institutes,

governmental offices, factories and others shall be determined by the sectors and
by collaborating with the natural resources and environmental sector.

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Article 39: Management of Toxic and Hazardous Wastes(new)
Importation of toxic and hazardous wastes that are contaminated with chemicals
and radiation into Lao PDR shall be prohibited, except specific regulations
stipulating about them.

Persons, legal entities and organizations producing toxic and hazardous wastes
due to its own production and business operations shall be liable with compliance
to the law and shall keep, eliminate, bury and treat the waste in accordance to the
standards and regulations.
In regards to wastes from hospitals, there shall be management and control with
exact compliance to the regulations and standards enacted by the concerned
sectors.

The management of toxic and hazardous wastes shall be stipulated by the specific
regulations.

Article 40: Obligations of Operators Involved with Toxic Chemicals and

Wastes(new)
An operator has an obligation to construct and install equipment to measure,
control and monitor pollutants; and sets up systems to treat, dump, burn, cremate,
bury or eliminate with strict compliance to procedures and regulations, and with
liabilities in toxic chemicals and wastes adversely affecting human life and health,
especially mothers and children, plants, animals, other non-live forms and
ecosystem.

A consumer shall be responsible in controlling toxic chemicals and in eliminating

wastes, which he or she possesses or uses for household consumption, with
appropriateness.

Chapter 4
Environmental Certification and Permission

Article 41: Environmental Certification(new)

The natural resources and environmental sector shall be the person, who provides
environmental certification under its scope of authority, by referring to impacts
from invested construction projects and other activities via sector-wide
collaboration.

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Certification is an endorsement of an initial environmental examination report,
environmental and social impact assessment of investment projects and activities
including environmental management and monitoring plans.

Article 42: Permission on Pollutant Emission(new)

Permission on pollutant emission is recognition and provision of rights to
producers or enterprises in industry, mining, agriculture, forestry, handicraft,
services or other activities,for pollutant emission with compliance to the emission
standards, which determined by the natural resources and environmental sector
upon coordinating with line sectors.
In regards of investment types and development activities needed permission on
pollutant emission, these shall refer to the specific regulations.

Article 43: Environmental Compliance Certificate and Pollution Permit(new)

An environmental compliance certificate for a social and natural environmental
impact assessment report shall be valid through project lifespan, with an exception
that if the certificate recipient does not implement any activities within two years
upon the date of obtaining permission, the certificate shall be expired. In case that
the recipient has the interest to continue the operations or activities, there shall be
petition submitting to revalidate the certificate.
An environmental compliance certificate for a social and natural environmental
management and monitoring plan, and a pollution permit shall be valid from two
to five years, based on any project types; and shall be extended on the basis of
fulfilling environmental requirements as being stipulated by the specific
regulations.

Article 44: Environmental Services(new)

Persons, legal entities or organizations with interests to provide technical services
on environment shall submit a petition attached with a feasibility study to the
natural resources and environmental sector for considerations.
Considerations on a petition shall be stipulated by the specific regulations.

Article 45: Qualifications of Environmental Service Providers(new)

An environmental service provider shall acquire these following qualifications:
1. Having technical staff members with environmental experience;
2. Having capitals, and equipping with sufficient tools and environmental
technologies;
3. Showing environmental morality; and
4. Fulfilling other requirements in accordance to regulations.

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Chapter 5
Promotion and Public Participation

Article 46: Environmental Education and Awareness(new)

The State shall promote public participation and participation in protecting the
environment via curriculum development of formal or non-formal education, all
levels of vocational school, and state or private universities.
The State shall support and promote persons, legal entities or organizations to
build environmental awareness and involve in environmental campaigns during
main event celebrations.

Article 47: Environmental Information Services(new)

The natural resources and environmental sector shall develop the environmental
information management and services to ensure the public information provision
based on regulations.
Persons, legal entitiesand organizations shall be able to access environmental
information.

Article 48: Public Participation(new)

An integrated spatial plan, strategic environmental assessment, environmental
action plan, social and natural environmental impact assessment, environmental
management and monitoring plan, pollution control and others, shall be developed
with participations by organizations, local authorities and people, who are directly
or indirectly affected by investment projects or activities.
Part IV
Conservation and Utilization of Natural Resources

Article 49: Listing Of Natural Resources(new)

Line sectors shall develop lists of natural resources by determining species,
volumes and types needed for conservation, substitution and obtainment of values
in regards to economy, culture, and ecosystem, which form basics to impose
policies, strategies, legislations, utilization plans, identification of approved
exploratory areas, natural resource royalties, environmental taxes, payments for
ecosystem services, payments for environmental protection and compensations,
management and monitoring measures on natural resource utilization.
The methods of listing natural resources shall be stipulated by the specific
regulations.

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Article 50: Conservation of Natural Resources(revised)
The State promotes conservation and protection of natural resources via
enactment of policies, laws and regulations, methods and measures to prevent
against mankind invasion or destruction or natural disasters, aiming to maintain
ecological balance and abundance of natural resources, particularly soil, water,
minerals, forests, plants, animals, insects and organic features, along with
preserving species and genes that provide benefits and habitats with variations
and sustainability.
Line sectors and local authorities shall demarcate conservation, protection,
restriction, or green natural parks or zones, based on their management to restore
and widely expand forestlands.
Measures in regards to conservation of natural resources shall be stipulated by the
specific regulations.

Article 51: Rights of Natural Resource Users(new)

Persons, legal entities, and organizations shall be able to use natural resources in
accordance with relevant laws.

Article 52: Obligations of Natural Resource Users(new)

A natural resource user shall fulfil these obligations:
1. Using natural resources with economical, rational, effective and sustainable
manners;
2. Assessing possible impacts on the environment and society as a result of using
natural resources, in order to prevent against or mitigate those impacts in
accordance with relevant laws;
3. Refraining from infringement of others’ legitimate rights and interests in using
natural resources;
4. Correcting impacts, restoring and rehabilitating affected areas as a result of
using natural resources;
5. Contributing and participating actively into protecting natural resources;
6. Paying environmental royalties, ecosystem services and protection fees in
accordance to the specific regulations;
7. Remunerating damages caused by impacts on social and natural environment as
the result of using natural resources; and
8. Fulfilling other obligations in accordance to the specific regulations.

Article 53: Exploitation and Use of Natural Resources(revised)

Persons, legal entities and organizations engaging in extraction, transportation,
storage, manufacturing and use of natural resources shall comply with the Law on
Investment Promotion and other relevant regulations.

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Part V
Environmental Rehabilitation

Article 54: Environmental Rehabilitation (revised)

Environmental rehabilitation is a reversal action of damaged or degraded social
and natural environment to recover and to maintain for good state and ecological
balance.

Article 55:Responsibilities in Environmental Rehabilitation(new)

Persons, legal entities or organization implementing investment projects or
activities, which create environmental and social impacts, shall correct, improve,
rehabilitate and remunerate damages within the affected areas.
In case of natural disasters, the line sectors and local authorities shall coordinate to
improve and restore the affected areas.

Article 56: Obligations of Environmental Rehabilitation(revised)

Persons, legal entities and organizationshave obligations to contribute their
capitals, wisdom, labour force and various materials in the rehabilitation of
damaged or degraded Environment.

Article 57: Rehabilitation of Damaged Areas(revised)

Persons, legal entities, and organizations operating production enterprises,
services or any operations causing damages shall be responsible for solving and
rehabilitating of the damaged areas, natural sites, cultural heritages, historical and
archaeological sites under the monitoring by the local authorities and line sectors.
In case of natural disasters, local administrative authorities together with line
sectors shall collaborate each other for taking methods and measures in solving
and rehabilitating the affected areas.

Article 58: Environmental Financial Assurance(new)

An investment project or activity owner shall provide financial securities to
restore, remove pollutants and clean the environment affected by its operations,
from commencement till completion.

Financial securities used for restoration cover expenses during installation,

operation, and completion or post-completion of activities. The financial securities
shall be used in case when the operator cannot fulfil its obligations in restoring,
correcting, and cleaning the environment, and remunerating damages or expenses
related to impacts, as being stipulated by this Law or concession contracts.

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In case that the investment project or activity owner fully fulfils the obligations as
being stipulated in the concession contract, the financial securities shall be
remitted back to him or her.

Part VI
Environmental Emergencies and Natural Disasters

Article59: Environmental Emergencies(new)

Environmental emergencies are the environmental states reaching the higher level
of danger than the National Environmental Quality Standards, resulting from
natural, accidental or human-induced factors.
Environmental emergency areas shall be declared as environmental danger zones.

Article 60: Preventive Measures Against Environmental Emergencies(new)

To safeguard from and prevent against environmental emergencies that are
possibly caused by persons, legal entitiesor organizations possessing, using, or
transporting hazardous chemicals or flammable or easily ignited materials, there
shall be measures such as labelling or marking, pre-notification, control and
mitigation of impacts and damages on the environment and society.

Article 61: Environmental Emergency Control(new)

Environmental emergency control shall be implemented as followings:
1. In regards to an area with toxic chemical concentration higher than the
approved level, the concerned authorities at provincial level shall be the person
declaring the area as environmental danger zone.
2. In regards to an area with the severely degraded environment that is not
reversible and inhabitable for living creatures, the Government shall be the
person declaring the area as environmental emergency zone.

In case of environmental emergency and danger resulted from operating

investment projects or any activities, the investment developer and operator shall
be liable in correcting the root cause(s) and impact, and then inform the
Government, local authorities, health sector, natural resources and environmental
sector, other line sectors and public for timely acknowledgement.
Inside environmental danger zones, there shall be suspension, limitation or
prohibition of any activities that are harmful to human life and health, animals,
plants, other living creatures and ecosystem.

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MONRE shall be the person identifying rules regarding management of
environmental danger zones. In regards to management of environmental
emergency zones, the Government shall be the declaring person based on the
proposal from MONRE.

The Government and local authorities shall promote participations of public or

private organizations to solve root causes and impacts derived from
environmental emergencies, along with evacuating the local people from the
danger zones.

Article 62: Natural Disaster(s)(revised)

A natural disaster is an event, phenomenon and change incurred naturally which
have severe impacts and consequences on the environment, socio-economy,
properties, human life and health, plants, animals, living creatures and ecosystem.
These consist of floods, droughts, typhoons,forest fires, earthquakes and others.
The area affected by the natural disaster shall be declared as the danger zone
based on the National Disaster Management Regulations.

Article 63: Preventive Measures Against Natural Disasters(new)

To mitigate impacts of natural disasters, there shall be appropriate measures to
prevent against, correct or control possible impacts, through main setups,
particularly early warning systems, tree planting plans to protect against floods,
soil erosion, droughts, forest fires, and impact mitigation of climate change.

Article 64: Natural Disaster Control(new)

Natural disaster control shall be implemented as followings:
1. Persons, legal entitiesor organizations shall fulfil obligations of prevention and
safeguard against natural disasters, cooperation and assistance for immediate
disaster relief.
2. Persons, legal entities and organizations shall urgently report local authorities
or line sectors.
3. Local authorities and line sectors shall collaborate with state agencies and all
stakeholders in seeking prevention and mitigation methods and measures, and
public contributions regarding wisdom, workforce, funds, vehicles and necessary
equipment.
In case that a natural disaster exists in many areas at the same time, various local
authorities shall collectively cooperate to seek methods and measuresfor
immediate prevention and mitigation.

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The Government shall establish the National Disaster Management Committee to
provide general guidance on natural disaster management, by assigning MONRE as
the Secretariat with direct responsibilities in analysing strategic plans, preventive
measures, mitigation, correction and rehabilitation of existing or foreseeing
natural disaster affected areas nationwide, as well as regular monitoring.

Part VII
Environmental Protection Fund

Article 65: Environmental Protection Fund(revised)

The State promotes establishment of the Environmental Protection Fund used in
environmental researches, prevention, correction, and rehabilitation.
Implementation and performance of the EPF shall be stipulated by the specific
regulations.

Article 66: Sources of Environmental Protection Fund(revised)

Main sources of the Environmental Protection Fund are:
1. State Budget;
2. Environmental rehabilitation fees from investment projects or activities
3. Payment for ecological services
4. Contribution by investment projects, enterprises and ordinary persons
5. Grant aids from both local and international organization;
6. Fines and indemnities of environmental damages
7. Interest and profits generated from capital investments of the Environmental
Protection Fund

Article 67: Use of Environmental Protection Fund(revised)

The Environmental Protection Fund shall be used for:
1. Studies and researches on technological science for environmental protection,
green development model, clean development, restoration of forests, soil and
water, impact mitigation of climate change, clean productions and others;
2. Projects regarding prevention against, control or elimination of air, soil and
water pollutant;
3. Development of environmental laws and regulations;
4. Environmental studies, capacity building, awareness raising and promotion of
environmental protection, particularly the World Environmental Day, the
World Water Day and others;
5. Environmental management and problem solving as priorities of all levels; and
6. The Environmental Protection Fund’s administration and investments.

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Part VIII
Prohibitions

Article 68: General Prohibitions(new)

Persons, legal entities or organizations, both local and foreign, shall be prohibited
from these following behaviours:
1. Logging-deforestation, mining operations with fragmenting manners, and land
uses with infringement to laws;
2. Import, export, transit, sell, store, use, reproduce and demolishtoxic and ozone
depleting chemicals, equipment with ozone depleting chemicals, radiation,
hazard wastes and persistent organic pollutants without permissions;
3. Generate impacts on social and natural environment exceeding the NEQS and
NPCS, and pollutants including water, air and soil, radiation, toxic chemicals,
hazard wastes, smoke, dust, disturbance such as noise, light, colour, odour,
vibration, heat and others;
4. Burn, burry, dispose and demolish wastes, release and discharge waste water
into canals, rivers, natural water sources or any sites without treatment based
on the technical standards;
5. Transport of sand, soil, gravel stone and rubbish with infringement to
regulations;
6. Discharge of toxic chemicals, smoke, dust, vapor or odor that exceeds the
National Environmental Quality Standards and the National Pollution Control
Standards;
7. Generate vibration, noise and light exceeding the enacted limitations;
8. Offer bribes to officers or civil servants with certain duties for any personal
gains;
9. Defame or discredit state agencies and civil servants without any facts; and
10. Other behaviours that infringe regulations

Article 69: Prohibitions of Officers or Civil Servants (new)

Officers or civil servants shall be prohibited from these following behaviors:
1. Exploitation of power, position or mandate regarding environmental
management for personal gains
2. Request, requirement or receipt of bribes from investment project or
environmental activity owners
3. Performing duties without fairness and with prejudice against persons, legal
entities or organizations involved in environmental activities
4. Being reckless or neglected of duties, and creating barriers in considering
environmental dossiers
5. Producing or using counterfeit dossiers, disclosing of State’s or official
confidentialities, and eliminating of environmental dossiers
6. Other unlawful acts

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Article 70: Prohibitions of Operators(new)
Operators shall be prohibited from these following behaviors:
1. Running businesses that impose negative impacts exceeding the standards of
social and natural environment
2. Running businesses that create odor, noise, and smoke exceeding the
enactedstandards
3. Operating projects, activities and technical services that are not consistent to
permission and certification
4. Avoiding fulfilment of obligations
5. Counterfeiting dossiers or providing unreliable information
6. Having other behaviours that infringe regulations

Part IX
Dispute Settlement

Article 71: Forms of Dispute Settlement(new)

Settlement of environmental disputes shall be one of these forms:
1. Conciliation of conflicting parties
2. Mediation
3. Administrative settlement
4. Settlement by the Economic Dispute Resolution Office
5. Lawsuits via people’s courts
6. Settlement of Internationally Characterized Disputes

Article 72: Conciliation of Conflicting Parties(new)

In case of the dispute with minor and low-cost impacts on social and natural
environment, the conflicting parties shall consult and conciliate together for
settling the dispute.

Article 73: Mediation(new)

In case of the dispute with minor and low-cost impacts on social and natural
environment, the conflicting parties shall settle the dispute via mediation.

Article 74: Administrative Settlement(new)

In case of the dispute with minor and low-cost impacts on social and natural
environment, the conflicting parties shall have rights to propose the
Environmental Administration to consider the settlement.

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Article 75: Settlement by The Economic Dispute Resolution
Organization(new)
In case of the economic dispute resulted from implementing environmental
operations, the conflicting parties shall have rights to request the Economic
Dispute Resolution Organization for considerations based on regulations.

Article 76: Lawsuits via People’s Courts(new)

In case of the dispute resulted from implementing environmental operations, the
conflicting parties shall have rights to take lawsuits via people’s courts for
considerations based on regulations.

Article 77: Settlement of Internationally Characterized Disputes(new)

When there is an internationally characterized dispute, particularly trans-
boundary pollution, transport of toxic chemicals, hazard wastes, and green house
gases, there shall be implementation of relevant regulations of Lao PDR, treaties
and international agreements that Lao PDR is the state member.

Part X
Management and Inspection

Chapter 1
Environmental Management

Article 78: Environmental Management Organization(s)(revised)

The Government manages environmental activities with centralization and unity
throughtout the country, by assigning MONRE to take direct responsibilities and
leading roles in coordinating with line sectors and local authorities to study and
identify policies, strategies, regulations, methods and measures of environmental
protection. The Environmental management organizations in shall consist of:
1. MONRE
2. Provincial or Capital DONRE
3. District or municipality office of natural resources and environment
4. Village unit of natural resources and environment

In case of necessity, the National or Provincial or Capital Environment

Committee(s) may be established.

Article 79: Rights and Duties of MONRE(revised)

In regards to environmental management, MONRE shall have the following rights
and duties:

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1. Study and materialize directions, strategies, policies and others into
programs, detailed projects and regulations regarding environmental
management;
2. Disseminate legal acts on the environment to the entire people aiming at
educating them, culturing awareness and uplift affection conscience to
monopolize and protect the environment;
3. Supervise the environmental management implementation, natural disaster
related works, climate change along with allocating and resettling villagers
affected by investment projects, activities and natural disasters, via
coordinating with related ministries, other organizations and local
authorities;
4. Promote and instruct investment projects and various activities using largely
Natural resources to proceed environmental impacts assessment,
environmental management and monitoring plan in accordance with
regulations;
5. Issue certificates regarding social and natural environmental impact
assessment reports and environmental management and monitoring plans to
operations;
6. Issue permits regarding technical services on the environment;
7. Receive proposals and reports on environment from people and related
parties including conflict tackling according to one’s own responsibility.
8. Issue order to suspend or withdraw certificates on social and natural
environmental impact assessment reports, and environmental management
and monitoring plans, and permissions on technical services of the
environment when legal violation is found;
9. Develop, train and upgrade technical knowledge on the environment in
addition to education and raising awareness to all social parties, organize
environmental protection campaign across nationwide by coordinating with
related line ministries and localities administration;
10. Collaborate and cooperate with international organizations in the
environmental affairs;
11. Summarize, evaluate and report the results of environment implementation
to Government on regular basis; and
12. Exercise other rights and duties based on regulations.

Article 80: Rights and Duties of Provincial/Capital DONRE(revised)

In regards to environmental management, DONRE shall have the following rights
and duties:
1. Materialize and implement policies, strategies, resolutions, orders, regulations,
action plans, integrated spatial plans, environmental impact assessment, and
pollution control;

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2. Disseminate regulation on environment to people so they could understand
and participate in implementing actively, educate and uplift environment
awareness of people and related parties within the provinces and capital;
3. Supervise, monitor and assess the results of environmental implementation of
district/municipality DONRE Office;
4. Take leaderships in coordinating with other stakeholders in regards to allocate
and resettle villagers affected by investment projects, activities and natural
disasters;
5. Receive proposals and reports on environmental issues from people and
stakeholders along with dispute settlement based on DONRE’s mandates;
6. Issue certificates of IEE
7. Suspend or withdraw certificates of IEE
8. Propose to suspend or withdraw certificates of social and natural
environmental impact assessment reports, EMMPs, and permissions on
technical services of the environment if legal violation is found;
9. Collect, summarize, study, analyse data on the environment aiming at
specifying prevention methods, repairing, improving and rehabilitating the
environment including various potentials of the environment in order to
contribute to the socio-economic development within the provinces, capital;
10. Collaborate and cooperate with international organizations in the
environmental affairs as being assigned by top authorities;
11. Summarize and report results of environment-related works to top authorities
on regular basis; and
12. Exercise other rights and duties based on regulations and assignments.

Article 81: Rights and Duties of District/Municipality Office(s) of Natural

Resources and Environment(revised)
In regards to environmental management, District/Municipality Office(s) of
Natural Resources and Environment shall have the following rights and duties:
1. Implement environmental plans, agreements, orders and instructions of top
authorities;
2. Disseminate regulations on environment, education and raising awareness on
environment to people and various parties within districts and municipalities;
3. Guide, monitor and evaluate implementation of environment-related works
undertaken by the Natural Resources and Environmental Village Unit(s);
4. Take leaderships in coordinating with other stakeholders in regards to allocate
and resettle villagers affected by investment projects, activities and natural
disasters within the scope of responsibilities;
5. Issue certificates on household business environmental management;
6. Suspend or withdraw certificates on household business environmental
management;
7. Propose to suspend or withdraw IEE;

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8. Consult and correct environmental issues with Provincial/Capital DONRE(s),
local authorities, and other stakeholders within the district and municipality;
9. Receive proposals and reports on environmental issues from people and
stakeholders along with dispute settlement based on its mandates;
10. Propose to concerned organizations regarding improvement, modification,
suspension or termination of any activities within the district/municipality as
the result of adverse impacts on human life and health, animals, plants and
other living creatures;
11. Summarize and report results of environment-related works to top authorities
on regular basis; and
12. Exercise other rights and duties based on regulations and assignments.

Article 82: Rights and Duties of Natural Resource and Environmental Village
Unit(s)(revised)
In regards to environmental management, the Natural Resources and
Environmental Village Units shall have the following rights and duties:

1. Implement plans or regulations of environmental protection in accordance with

district or municipality guidance;
2. Disseminate, train, build awareness, guide, support and encourage public to take
leaderships in managing, protecting, problem solving and rehabilitating the
village environment and natural resources;
3. Appraise and follow up villagers’ implementation of plans and guidance in
environmental protection;
4. Take leaderships of participating in villager resettlement and allocation as a
result of implementing investment projects or activities and natural disasters
within the village territory;
5. Propose to suspend or withdraw certificates of household business
environmental management plans;
6. Participate in consultation and to share ideas on environmental issues and
endorsement of investment projects or activities sited inside the village, together
with the district office(s) of natural resources and environment, district or
municipality authorities and other line sectors for solving environmental issues
within the village territory;
7. Receive and correct environmental issues or claims submitted by villagers
together with line sectors based on the mandate;
8. Suggest concerned authorities in improving, justifying, suspending and
terminating any village activities that create adverse impacts on human live and
health, animals, plants and ecosystem;
9. Develop environmental and natural resource management rules for the village to
keep cleanliness and to develop green, clean and beautiful village, protection
streams and communal forests;

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10. Summarize and report results of implementing environment-related works to
top authorities on regular basis; and
11. Exercise other rights and duties based on regulations and assignments.

Article 83: Rights and Duties of Line Sectors(revised)

In regards to environmental management, every line sector at central and local
level shall have rights and duties in managing, protecting and rehabilitating the
environment through establishing any taskforces in charge of environment-related
works in order to manage, monitor and inspect the environment within the scope
of responsibilities.

Chapter 2
Environmental Inspection

Article 84: Environmental Inspecting Agencies(new)

Environmental inspecting agencies shall consist of:
1. Internal inspecting agencies that are identical as the environmental
management organizations as stipulated in the
2. Article 81 of this law; and
3. External inspecting agencies such as the National Assembly, State Inspection
and Anti-Corruption Authority, and State Audit Authority in accordance with
relevant laws.

Article 85: Rights and Duties of Environmental Inspecting Agencies(new)

Environmental inspecting agencies shall have these following rights and duties:
1. Develop environmental inspection programs or annual plans to ensure that
investment projects or activities shall not create environmental impacts
exceeding the standards;
2. Inspect pursuance of environmental policies, strategies, programs, projects and
regulations;
3. Inspect environmental state of investment projects or activities based on
environmental management and monitoring plans via sector-wide coordination
and collaboration with local authorities;
4. Inspect pollution and disturbance in accordance with the National
Environmental Quality Standards and National Pollution Control Standards;
5. Propose the line sectors to issue orders regarding suspension or termination of
investment projects and activities upon recognizing severe environmental
impacts that are not resolved; and
6. Coordinate with other concerned organizations for conducting their
inspections.

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Article 86: Contents of Inspection(new)
Environmental inspection shall obtain the following contents:
1. Pursuance of policies and laws related to environmental protection
2. Implementation and performance of environmental protection agencies
3. Performance, liabilities, behaviour and work-plans of environmental protection
officials

In respect to technically environmental inspection of investment projects or

activities, there shall be reviews against environmental management and
monitoring plans, pollution and disturbance in accordance with the specific
regulations.

Article 87: Modes of Inspection(revised)

Inspection shall consist of three modes:
1. Regular inspections
2. Announced inspections
3. Surprise inspections
Regular inspections are conducted with plans, constant manners and within
certain timelines.
Announced inspections are conducted with off-track as necessary by notifying
inspected persons at least twenty-four hours.
Surprise inspections are conducted as necessary with immediate actions without
prior notifications to inspected persons.
Inspections shall be on documents, actual implementation and strict compliance of
regulations.

Article 88: Appraisal and Reporting of Environmental Protection

Performance(new)
MONRE shall take duties in annually appraising and reporting environmental
protection performance to the Government.
The appraisal and reporting of environmental protection performance shall be in
accordance with the Article 22 and 28 of this Law.

Part XI
National Environment Day, Symbols, Uniforms and Stamps

Article 89: National Environment Day(new)

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Lao PDR recognizes the date, every fifth of June, as the National Environment Day
in order to promote, build awareness and enhance public self-consciousness in
environmental protection.
Annually, central and local authorities shall arrange celebrating events with
appropriate manners.

Article 90: Symbols, Uniforms and Stamps(new)

The environmental management organization shall have symbols, uniforms and
stamps approved by the Government for performing official assignments.

Part XII
Awards for Outstanding Persons and Sanctions against Offenders

Article 91: Awards (revised)

Persons, legal entities and organizations with outstanding performance in
implementing this Law, particularly environmental protection and quality
promotion, pollution control, rehabilitation of natural resources and the
environment, will be admired or receive other policies in accordance with
regulations.

Article 92: Sanctions against Offenders(revised)

Persons, legal entities and organizations violating the Law on Environmental
Protection shall be subject to re-education, warning, disciplinary sanctions, fines
or civil remedies or criminal penalties based on the seriousness degree of each
case in accordance with regulations.

Article 93: Re-Education Measures (revised)

Persons, legal entities and organizations violating the Law on Environmental
Protection for the first time, not being harmful or serious, without the intention
and serious economic damages, shall be subject to re-education and warning based
on regulations.

Article 94: Disciplinary Sanctions Against Civil Servants(new)

Civil servants infringing the Law on Environmental Protection and other
restrictions with minor characteristics, which are not criminal acts and not serious
economic damages, but only with intention to alter reporting, shall be subject to
disciplinary sanctions in accordance to each of these following cases:
- Warning, referring to the civil servant codes and filing of offender cases
- Suspending of promoting position, an increase of monthly salary and
admiration

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 - Removing from position or assigning lower-range duties in other places
- Expelling without any incentives
Persons under disciplinary sanctions shall return all assets that are gained by
unlawful acts back to concerned agencies.

Article 95: Fine(s)(revised)

Persons, legal entities and organizations infringing this law, restrictions and
contractual terms as stipulated in concession contracts or environmental
compliance certificates shall be fined in accordance with the relevant regulations.
Fine rates, depended on each case, are identified by the specific regulations.

Article 96:Penal Measures(revised)

Persons violating this Law ascriminal offences shall be punished based on the
Penal Law, depending on the seriousness degree of each case, and including
remedies to all damages caused by him or her.

Article 97: Additional Measures(revised)

Apart from the measure mentioned above in Article 96 of this Law, the offender
shall be subject to additional measures such assuspension, withdrawal of license,
or termination of operation.

Part XIII
Final Provisions

Article 98:Implementation
The Government of the Lao People's Democratic Republic shall implement this
law.

Article 99:Effectiveness(revised)
This Law shall enter into force ninety days from the date of the promulgating
decree issued by the President of the Lao People's Democratic Republic.
This Law repeals the Environmental Protection Law No. 02-99/NA, dated 3 April
1999.
All regulations and provisions that are contradicting to this Law are null and void.

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Appendix A4

Mongolian Procedure for Strategic Environmental Assessment

and Cumulative Environmental Assessment 2012
Draft procedures

One. General Provisions

Purposes:
1.1 To further enable the implementation of Articles 5 and 6.2 of the Law on
Environmental Impact Assessment;
1.2 To ensure that environmental concerns are fully taken into account by all
Government Agencies when formulating, renewing, modifying or
implementing any national, regional, or sectoral policies, programmes or
plans.
1.3 To ensure that cumulative and other direct or indirect large scale
environmental effects are fully taken into consideration while implementing
any policy, plan or programme, and that prevention and mitigation actions
are identified;
1.4 To enable early identification of potential environmental negative impacts
due to implementing policies, programmes, or plans at early planning stages
and to reflect prevention and mitigation actions in the policies, programmes,
or plans, and to use them as justifications for making decisions on
environmental impact assessment of any individual project;
1.5 To enable the state administrative agency in charge of nature and the
environment to assess, and to take action for mitigating cumulative negative
impacts to environment and human health due to the implementation of two
or more projects by individuals, private entities and organizations within
certain area and river basin;
1.6 To promote the design of environmentally sustainable proposals which
encourage the use of renewable resources and clean technologies and
practices.

Two. Scope
1.1 As required by Article 5.1 of the Law on Environmental Impact Assessment,
all policies, programmes, and plans developed by Government agencies shall
undergo strategic environmental assessment. A list of initiatives subject to
strategic environmental assessment is attached in Annex #1 of this
regulation.

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1.2 This regulation shall serve as a broad guideline to be followed upon
formulating, renewing, modifying or implementing any policies, programme,
or plan possessing potential significant impacts on the environment.
1.3 The state central administrative body in charge of nature and the
environment shall undertake cumulative environmental assessment studies
defined in Article 6.2 of the Law on Environmental Impact Assessment, in
cases where two or more proposed or existing projects within a specific
region or river basin may have confirmed or potential adverse cumulative
impacts on environment and/or human health.

Three. Definitions
For the purposes of this Procedure, these terms have the following meanings:
3.1. Government Agency means a ministry, department, or any autonomous
public body of the Government of Mongolia, including sector, or regional
administrations authorized to elaborate policies, programmes, and plans.
3.2. Cumulative and large scale environmental effects is defined in Article 3.15
of the Law on Environmental Impact Assessment
3.3. Environmental impact assessment is defined in Article 3.1.6 of the Law on
Environmental Impact Assessment.
3.4. Project is defined in Article 3.1.1 of the Law on Environmental Impact
Assessment.
3.5. Strategic environmental assessment is defined in Article 3.1.3 of the Law
on Environmental Impact Assessment.
3.6. Policy means the Government’s long-term goals or strategies which set
overall directions in decision-making activities.
3.7. Programme means a mid- or long-term document which determine
coherent, organized agenda or schedule of commitments and instruments
designed to implement policy.
3.8. Plan means a document of short-term actions with coordinated measures
and schedules aimed to implement a programme.
3.9. Proponent means the authorized government agency proposing to develop
national or regional policy, plan, or programme.
3.10. Environmental statement means the outcome of a strategic environmental
assessment study that is integrated into the final policy, plan, or programme.
3.11. Technical Board for Environmental Assessment means the Board
appointed by the state central administrative body in charge of nature and
the environment, as per Article 7.9 of the Law on Environmental Impact
Assessment.
3.12. Scoping Brief means the five-page document that the proponent and the
appointed licensed professional entity must produce before beginning the
strategic environmental assessment study.

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3.13. Final Decision means the final approval given to proponent’s policy, plan,
or programme.

Four. Rights and Responsibilities of Government agencies

4.1. Government agencies authorized to propose formulation and update of
policies, programmes, and plans shall be defined as proponents for the
purposes of this regulation.
4.2 When a strategic environmental assessment is required, the proponent shall
include an Environmental Statement in, and as part of, the draft of the
proposed policy, plan, or programme. The required content of an
Environmental Statement is presented in Section 8 of this regulation.
4.3 As required by Article 5.1 of the Law on Environmental Impact Assessment,
proponents responsible for formulating, renewing, modifying or
implementing any policy, plan, or programme are required to submit the
draft policy, plan, or programme document to the state central administrative
body in charge of nature and environment. Relevant procedures are
presented in Section 9 and Section 10 of this regulation.
4.4. Any proponent that formulates, renews, modifies or implements any policy,
plan or programme which may have a significant impact on the environment
shall include financial provisions to carry out strategic environmental
assessments and mitigation measures when deemed necessary.
4.5. The proponent shall bear all costs associated with strategic environmental
assessment.
4.6. Cumulative environmental assessment shall be performed on occasion, and
when necessary by the state central administration organization in charge of
nature and the environment based on the decision of the Minister of Nature
and Environment in accordance with Article 8 of this Procedure, in cases
where two or more projects may be causing, or be likely to cause, adverse
cumulative impacts to the environment and human health.
4.7. The state central administrative body in charge of nature and the
environment shall bear all costs associated with cumulative environmental
assessment studies. In cases the assessment results reveal negative impacts
due to breaches of law, the assessment costs shall be claimed through
lawsuits from the proponent in compliance with applicable law.
4.9. The state central administrative body in charge of nature and environment
shall develop and enact methodologies, and procedures for undertaking
strategic environmental assessment and cumulative impact assessment.

129
Five. Principles of Strategic Environmental Assessment
Strategic environmental assessments shall be based on the following principles:
5.1. Early identification and integration of environmental concerns and goals in
planning and designing stages of policies, programmes, and plans;
5.2. All feasible alternatives to avoid and prevent adverse effects to the
environment to be considered during the planning/designing stage, including
the alternative of taking no action;
5.3. Openness and transparency in Government decision-making;
5.4. Documentation and assessment of results of the strategic environmental
assessment (to avoid subjective assessment or judgement);
5.5. Open access to information generated or compiled by the agency;
5.6. Accountability to the public and the Government.

Six. Procedure for Production of Strategic Environmental Assessment Study

6.1. As required by Article 5.2 of the Law on Environmental Impact Assessment,
proponents may wish to contract the production of strategic environmental
assessment studies and Environmental Statements to professional entities,
licensed by the state central administrative body in charge of nature and the
environment through an open competitive basis.
6.2. The appointed expert team shall conduct the environmental baseline
assessment during the planning/designing stage of the proposed policy,
programme or plan within the territory where the policy, programme or plan
will be implemented, as required by Article 3.1.4 of the Law on Environmental
impact assessment.
6.3. Before beginning the strategic environmental assessment study, the proponent
and the contracted expert team are required to produce a draft Scoping Brief.
This shall be of no more than five (5) pages in length and include the following
information:
 identification of potential alternatives;
 spatial and temporal focus;
 most significant likely adverse impacts;
 identification of feasible mitigation measures;
 outline of a public consultation plan.
6.4. The completed draft Scoping Brief shall be submitted to the state central
administrative body in charge of nature and the environment for review and
comment.

130
6.5. The state central administrative body in charge of nature and the
environment shall respond to the submitted draft Scoping Brief with
comments, within 10 working days of having received the aforesaid draft
Scoping Brief.
6.6. The contracted expert team shall organize public consultations based on the
plan defined in Article 7.3 of this Procedure. Public consultations shall cover
the following issues:
 identification of potential alternatives;
 spatial and temporal focus;
 most significant likely adverse impacts;
 identification of feasible mitigation measures;
6.7. The outcome of public consultations shall be integrated in the strategic
environmental assessment report and completed as required in Article 8 of
this Procedure.
6.8. The outcome of a strategic environmental assessment study shall be an
Environmental Statement that is integrated into the policy, plan, or
programme.
6.9. The Environmental Statement shall further detail reasonable information
required to assess the significant direct and indirect effects of implementing
the policy, plan or programme on humans, fauna, flora, soil, water, air,
climate, landscape, material assets and cultural heritage.
6.10. The environmental statement shall contain a clear and concise description of:
 the proposal and its objectives;
 the anticipated adverse environmental effects of the proposal, including
direct, indirect and cumulative effects;
 feasible alternatives to the proposal, including the alternative of taking no
action, and a comparison of the environmental effects of these alternatives;
 feasible methods and tools to avoid, minimize or mitigate adverse
environmental effects of the proposal;
 the potential overall effect on the environment assuming the successful
implementation of described impact avoidance and mitigation measures;
 how the proposal complies with relevant guidelines, if any, issued by the
state central administrative body in charge of nature and environment or any
other relevant agencies;
 the environmental benefits of the proposal and how the proposal advances
the Government's policy objectives of: (a) sustainable development; (b)
environmental protection; (c) preservation of cultural heritage; (d) use of
clean technologies; and e) economic benefits; and
 commitments for avoidance and mitigation of environmental effects and
mechanisms for future monitoring and assessment.

131
6.11. Upon completion of the strategic environmental assessment study, and the
integration of the Environmental Statement into the policy, plan, or
programme, the proponent will submit the policy, plan, or programme to
the state central administrative body in charge of nature and the
environment.
6.12. The state central administrative body in charge of nature and the
environment shall disclose the draft policy document and strategic
environmental assessment report to the public on relevant websites and
accessible print versions for 30 working days before the review by the
Technical Board.
6.13. Public feedback and the strategic assessment report shall be appraised by
the Technical Board. Comments and recommendations issued by the
Technical Board shall be presented to the Minister of Nature and
Environment.
6.14. The Minister of Nature and Environment shall submit the draft policy,
programme, or plan, along with the Technical Board’s comments and
recommendations to the Government. If necessary, the Minister for Nature
and the Environment may attach legally binding conditions to the policy,
programme, or plan.

Seven. Cumulative environmental assessment

7.1. The cabinet member in charge of nature and the environment may direct
the state central administrative body in charge of nature and the
environment to undertake cumulative environmental assessment when
there is direct evidence of, or potential for significant negative impacts to
the environment and human health emanating from multiple private or
public projects , regardless of their public or private ownership status.
7.2. The Minister of Nature and the Environment shall appoint a team of
experts or a licensed professional entity to undertake cumulative
environmental assessment, as required by Article 6.3 of the Law on the
Environmental Impact Assessment. The professional entity and expert team
assigned to perform the cumulative environmental assessment shall be
selected through open competitive selection processes.
7.3. Upon completion of the cumulative environmental assessment study, the
team of experts or licensed professional entity will present its findings to
the Technical Board for Environmental Impact Assessment of the state
central administrative agency in charge of nature and the environment for
further review.

132
7.4. The state central administrative body in charge of nature and the
environment and the Technical Board for Environmental Impact
Assessment shall review and comment on the cumulative environmental
assessment report, and disclose the report along with Technical Board’s
recommendations to the public on relevant websites for a period not less
than 30 working days. A print version of shall also be made accessible to the
public.
7.5. Cumulative environmental assessment studies should include, at a
minimum, the following content:
 identify regional issues of concern;
 select appropriate regionally important environmental components, such
as water, soil etc;
 identify spatial and temporal boundaries;
 identify all activities taking place within identified spatial and temporal
boundaries that are likely to have a significant negative environmental
impact;
 identify potential impacts;
 collect regional baseline data as part of environmental baseline
assessment;
 assess effects on regional important environmental components;
 identify mitigation possibilities;
 evaluate the significance of environmental impacts that cannot be
mitigated;
 and, establish follow-up plans and phases.

Eight. Monitoring and Reporting

8.1 As required by Section 7.3, an Environmental Statement shall include clear
mechanisms for monitoring any identified negative environmental impacts.
8.2 The monitoring system outlined in the Environmental Statement should
present a set of monitoring indicators and timeframes.
8.3 The state central administrative body in charge of nature and the
environment will nominate a licensed professional entity to undertake
regular monitoring. This entity will different from the one appointed to
undertake the strategic environmental assessment study.
8.4 The state central administrative body in charge of nature and the
environment shall review the monitoring reports and require the
proponent to make amendments to the original policy, plan, or programme,
if necessary.

133
As required by article 7.7. law on EIA, the role and responsibilities of Technical
Board should include in regulation of EIA, which should be approved by
Government (cabinet minister). I think also licensing of professional entities
should be a section in EIA regulation. Therefore, I removed your sections 13 and
14 from this regulation.

Annex 1: Classification of policies, programmes, and plans subject to

Strategic Environmental Assessment
1. National comprehensive socio-economic development policies or strategies
2. Strategies for sectoral development at the national level, including (but not
restricted to) industry, agriculture and rural development, transport,
construction, tourism, health. This would include for instance:
 Policies, programmes, and plans for development of the power sector,
including hydropower, thermal power, atomic power and nuclear power;
exploitation of petroleum and gas, refining and petrochemicals; paper;
essential chemicals, fertilizers, cement; steel, exploitation and processing
of coal, iron ore, gold, and other significant minerals; cement, paper,
fertilizers and chemicals;
 Policies, programmes, and plans to develop agriculture, forestry, irrigation;
 Policies, programmes, and plans to develop infrastructure, including road
transport, railways, sea transport, inland water transport, ports, and
airways;
 Development plans for urban development, building materials, solid waste
management, hazardous waste management;
 Plans to develop tourism and golf courses;
 Development planning for economic zones, industrial parks, export
processing zones, and hi-tech zones.
3. Plans for river basins and watersheds;
4. Socio-economic development planning regions;
5. Planning for land use, protection and development of forests, exploitation
and utilization of other natural resources.

134
Appendix B
List of names of people communicated through emails.

Table E: List of people communicated through emails.

Case studies List of names Job title/Organization Contact email address
1. Mr. Karma Tshering, Senior Program Officer,
Bhutan National Environment
Commission (NEC)
2. Mr. David Annandale Independent consultant david@kookemai.com

3. Mr. Wangchuk NEC nwangchuk2007@gmail.

Namgay com
4. Mr. Kinley Choden Gross National Happiness kchoden@gnhc.gov.bt>
commission
5. Mr. Nyedrup NEC kc@nec.gov.bt>
6. Mr. Dechen Lham NEC <dechen.lham@gmail.co
m
7. Ms. Sanath ADB Bhutan sranawana@adb.org
Cambodia 8. Mr. Florian Steinberg ADB Cambodia fsteinberg@adb.org
9. Ms. Nida Ouk Senior Project Officer <nouk@adb.org
Resident Mission
Asian Development Bank
10.Mr. Khy Lim Mekong River <khy@mrcmekong.org
Commission
11.Mr. Meas Sophal Ministry of Environment ppcr.moe@gmail.com
12.Mr Chanthlou Hem Senior Project officer chem@adb.org
Resident Mission
Asian Development Bank
13. Mr. Someth Paradis Mekong River someth@gmail.com
Commission
China 14. Ms.Yang Shanshan Ministry of yangshanshan1976@hot
Environmental mail.com>
Protection

15. Mr. Wei Ren Current PhD student of wei.ren-

Oxford Brookes 2011@brookes.ac.uk
University
Lao 16. Ms. Tania Lee International Rivers tlee@internationalrivers.
Organization org
17. Mr. Peter Chief Technical Advisor, pgjcbi@gmail.com
Gammelgaard Jensen Environmental
Management Support
Programme (EMSP)
18. Mr. Keu Ministry of Natural keu1062@gmail.com

135
 Keomuanvong Resources and
Environment
19. Mr. Vinata Sayavong (EMSP) vinatasayavong@gmail.c
Ministry of Natural om
Resources
and Environment
20.Mr. Bayasaa Jigjid Project officer, UNDP jbayasb@yahoo.com
Governance project
Mongolia 21. Mr. Chimed-Ochir WWF Mongolia, Director
22. Mr. Dorjsuren. D Director, Eco-trade dorjsurend@gmail.com
consulting company
23. Mr. Enkhbat. D Director, Department of enkhbat_num@yahoo.co
EIA and Auditing, MEGD m
24.Ms. Ongonsar. P Environmental Specialist, opurevconsultant@adb.o
ADB Mongolia rg
25. Ms. Purevsuren. T Officer, Department of t.puujee@yahoo.com
EIA and Auditing, MEGD
26. Ms. Tumenjargal Officer, Department of tumee_13@yahoo.com
EIA and Auditing, MEGD
27. Mr. Tsogtsaikhan Chief, Division of EIA john_fuji2003@yahoo.co
m
Nepal 28. Mr. Duncan IIED duncan.macqueen@iied.
Macqueen org
29. Mr. Shankar Prasad Ministry of Science sadhikari2005@hotmail.
Adhikari Technology and com
Environment
30. Ms. Anu Adhikari IUCN Nepal Anu.ADHIKARI@iucn.org
31.Mr. Tej Kumar tejthaiva@hotmail.com
Shrestha
32.Ms. Kareff Rafisura UNESCAP Nepal kareff@gmail.com
Vietnam 33.Ms. Lauren Sorkin ADB, Vietnam lsorkin@adb.org,
34. Mr. Genandrialine Senior Safeguards gperalta@adb.org
Specialist (Environment)
Southeast Asia Energy
Division (SEEN), ADB
35.Mr. Anthony J. Jude Chair, Energy Committee ajude@adb.org
Senior Advisor and
Practice Leader (Energy)
Regional and Sustainable
Development
Department, ADB
36.Mr. Pham Anh Dung Director, Department of phamanhdung29564@y
EIA and Auditing ahoo.com
37. Mr. Sumit Pokhrel Greater Mekong Sumit@gms-eoc.org
Subregion office

136
Appendix C1
Questionnaire response of Bhutan (Government official)

137
138
139
Appendix C2
Questionnaire response of Bhutan (International Advisor)

Questionnaire on Strategic Environmental Assessment

I am, Munkhjargal Tsend-Ayush, studying at the MSc in Environmental Assessment and

Management course at the Oxford Brookes University. Mongolia has recently (May, 2012) amended
the EIA Law including SEA approach in it. Thus, I am studying about the 'early stage' of Strategic
Environmental Assessment (SEA) of other Asian countries who have already adopted the SEA and
implementing it and draw lessons to learn. This questionnaire has been designed for this purpose
of learning what lessons can be learnt from the SEA practice in your country particularly, what have
been important factors to consider upon adoption of SEA legislation, constraints and
advantageousness that you have been experienced and how have you been reacting to it and etc..
The information will be used for my research work only and a copy of my completed dissertation
will be sent to you.

All information provided will be treated in strictest confidence. Please spare a few minutes to
complete this important questionnaire. Thank you for your time!

Mogi Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, July 2013.

1. Prior to SEA implementation, what factors have influenced positively in promoting the SEA
implementation in your country? Why? (e.g., international organization, environmental
degradation, government will for sustainable development, requirement for a shared regional
responsibility for natural resource management etc?)

The Bhutan SEA regulation was strongly influenced by donor pressure

Which one from the following organizations has a potential to offer a better integrated and
coordinated efforts of the SEA implementation in the longer run, if you had to select the one
from the following choices? Please tick one.
x International donor organizations intervention
National authority responsible for environmental issue
A separate national higher-profile coordination structure
Regional NRM body or commission
Political bureau of the central committee of the communist party
National planning agency

2. How would you evaluate the following factors, if it is assumed to be influenced for the
implementation of the SEA? Please rate it using either symbols as √ or X.

140
 Not very Fairly Neither Fairly Very
influential not not influential influential
influential influential
Nor
influential
Political will and x
interest
Strong and x
influential
structure of SEA
oversight and
coordination
structure
Clear and detailed x
SEA guideline
Technical know- x
how of personnel
responsible for
SEA
Inter and intra- x
sectoral planners'
knowledge of SEA
Greater public x
involvement and
consultation

Is there any other comment?

3. Do you agree that the SEA is strengthening the achievement of Millennium Development
Goals? Please circle one.

Strongly disagree 0 1 2 3 4 5 strongly agree

Why or why not?

4. Do you agree that SEA is ensuring better quality plan?

5. Please circle one.
a. Strongly disagree 0 1 2 3 4 5 strongly agree

6. Is it appropriate to have a separate SEA legislation from the EIA law? Why?
In Bhutan, the SEA regulation sits beneath the EIA law. However, its implementation is now
controlled by the Gross National Happiness Commission (the national planning agency). Control

141
 of the SEA process by a national development agency is more important than the structure of
the legal system.

7. Which of the following constraints have influenced negatively for successful SEA
implementation in your country? You can select as many as possible.

Political pressure or reluctance

x
Lack of technical know-how of staff
Weak structure

x Level of highly sensitive issues that made the politicians argumentative

Availability of data
Gap in decision making and
Misunderstanding or misconduct of previous or partial SEA-like approach that lacks
classical meaning of SEA

8. In your opinion, what did work well and what did not work well for the SEA implementation?
Worked well: 1. Having an all-inclusive SEA regulation. 2. Using SEA as a mainstreaming tool. 3.
Convincing the Gross National Happiness Commission to take responsibility for SEA.

Didn't work well: 1. Minister’s originally saw SEA as a “break” on sectoral policy. It only
became possible to apply the SEA regulation when it was promoted as an environmental
mainstreaming tool. 2. Having SEA responsibility housed within the National Environment
Commission.

9. Is there anything you would like to recommend for the countries which are just starting to
implement the SEA?
1. Make responsibility sit with national development/planning agency, and not
Environment Ministry. 2. Develop a SEA regulation. 3. Initiate pilot SEAs to show economic
benefits.

10. What is the good and bad examples of SEA implementation in your country?

Good example:
Bad example:

11. Your job title: Independent consultant

Your email address: ddannandale@gmail.com

Thank you very much!

Prepared by: Munkhjargal.Ts
Oxford Brookes University

142
Appendix C3
Questionnaire response from China (Government official)

Questionnaire on Strategic Environmental Assessment

I am, Munkhjargal Tsend-Ayush, studying at the MSc in Environmental Assessment and
Management course at the Oxford Brookes University. Mongolia has recently (May, 2012) amended
the EIA law including SEA approach in it. Thus, I am studying about the 'early stage' of Strategic
Environmental Assessment (SEA) of other Asian countries who have already adopted the SEA and
implementing it and draw lessons to learn. This questionnaire has been designed for this purpose
of learning what lessons can be learnt from the SEA practice in your country particularly, what have
been important factors to consider upon adoption of SEA legislation, constraints and
advantageousness that you have been experienced and how have you been reacting to it and etc..
The information will be used for my research work only and a copy of my completed dissertation
will be sent to you.
All information provided will be treated in strictest confidence. Please spare a few minutes to
complete this important questionnaire. Thank you for your time!

Mogi Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, July 2013.

12. Prior to SEA implementation, what factors have influenced mostly in promoting the SEA
implementation in your country? Why? (Is it an international organization, environmental
degradation, government will for sustainable development, requirement for a shared regional
responsibility for natural resource management etc?)

13. Which one from the following organizations has a potential to offer a better integrated and
coordinated efforts of the SEA implementation in the longer run, if you had to select the one
from the following choices? Please tick one.

International donor organizations intervention

National authority responsible for environmental issue
National higher-profile coordination structure (Political bureau)
Regional NRM body or commission

14. How would you evaluate the following factors, if it is assumed to be influenced for the
implementation of the SEA? Please rate it.

Not very Fairly Neither not Fairly Very

influential not influential Influential Influential
influential Nor
influential

Political will X

143
 Strong and X
influential
structure of SEA
oversight and
coordination
structure
Clear and detailed X
SEA guideline
Technical know- X
how of personnel
responsible for
SEA; Inter and
intra-sectoral
planners'
knowledge of SEA
Greater public X
involvement and
consultation

15. Do you agree that the SEA is strengthening the achievement of Millennium Development
Goals? Please circle one.

Strongly disagree 0 1 2 3 4 5 strongly agree

16. Do you agree that SEA is ensuring better quality plan? Please circle one.
Strongly disagree 0 1 2 3 4 5 strongly agree

17. Is it appropriate to have a separate SEA legislation from the EIA law? Why?
Yes, reduce the government involvement

18. Which of the following constraints have influenced negatively for successful SEA
implementation in your country? Please tick one.

Political pressure or reluctance

Lack of technical know-how of staff
Weak structure
Level of highly sensitive issues that made the politicians argumentative
Availability of data
Gap in decision making and
19. In your opinion, what did work well and what did not work well for the SEA implementation?
Achievement: established a huge number of SEA laws and regulations, research, impacts
assessment methods and theory.
Insufficient: difficult to implementation; far from practice and close to academic, not all the
environmental planer clear to know this.

144
20. Is there anything you would like to recommend for the countries which are just starting to
implement the SEA?

21. What is the good and bad examples of SEA implementation in your country?

22. Your job title:

Your email address:

Wei ren and the participants may involves the legal and political issues if the contacts has been
leaked to any foreigns without China government authorization. Some photos can be provided
as the evidence that Wei conducted such survey in China 3 rd Strategic Environmental
Assessment Forum during 10-12 July 2013.

Thank you very much!

Prepared by: Munkhjargal.Ts
Oxford Brookes University

145
Appendix C4
Questionnaire response from China (National consultant)

Questionnaire on Strategic Environmental Assessment

I am, Munkhjargal Tsend-Ayush, studying at the MSc in Environmental Assessment and
Management course at the Oxford Brookes University. Mongolia has recently (May, 2012) amended
the EIA law including SEA approach in it. Thus, I am studying about the 'early stage' of Strategic
Environmental Assessment (SEA) of other Asian countries who have already adopted the SEA and
implementing it and draw lessons to learn. This questionnaire has been designed for this purpose
of learning what lessons can be learnt from the SEA practice in your country particularly, what have
been important factors to consider upon adoption of SEA legislation, constraints and
advantageousness that you have been experienced and how have you been reacting to it and etc..
The information will be used for my research work only and a copy of my completed dissertation
will be sent to you.

All information provided will be treated in strictest confidence. Please spare a few minutes to
complete this important questionnaire. Thank you for your time!

Mogi Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, June 2013.

23. Prior to SEA implementation, what factors have influenced mostly in promoting the SEA
implementation in your country? Why? (Is it an international organization, environmental
degradation, government will for sustainable development, requirement for a shared regional
responsibility for natural resource management etc?)

24. Which one from the following organizations has a potential to offer a better integrated and
coordinated efforts of the SEA implementation in the longer run, if you had to select the one
from the following choices? Please tick one.

International donor organizations intervention

National authority responsible for environmental issue
National higher-profile coordination structure (Political bureau)
Regional NRM body or commission

After some informal talking between the Wei Ren and some SEA conference participants,
most participants claimed political bureau of the central committee of the communist party
of china have the most influence on such issues, and china Ministry of Environmental
Protection have certain influence as well.

25. How would you evaluate the following factors, if it is assumed to be influenced for the
implementation of the SEA? Please rate it.

146
 Not very Fairly Neither not Fairly Very
influential not influential Influential Influential
influential Nor
influential

Political will X

Strong and X
influential
structure of SEA
oversight and
coordination
structure
Clear and detailed X
SEA guideline
Technical know- X
how of personnel
responsible for
SEA; Inter and
intra-sectoral
planners'
knowledge of SEA
Greater public X
involvement and
consultation

26. Do you agree that the SEA is strengthening the achievement of Millennium Development
Goals? Please circle one.

Strongly disagree 0 1 2 3 4 5 Strongly agree

27. Do you agree that SEA is ensuring better quality plan? Please circle one.
Strongly disagree 0 1 2 3 4 5 Strongly agree

28. Is it appropriate to have a separate SEA legislation from the EIA law? Why?
No, China SEA regulations, however, the real issues that is the implementation

29. Which of the following constraints have influenced negatively for successful SEA
implementation in your country? Please tick one.

Political pressure or reluctance

Lack of technical know-how of staff
Weak structure
Level of highly sensitive issues that made the politicians argumentative
Availability of data

147
 Gap in decision making and

30. In your opinion, what did work well and what did not work well for the SEA implementation?
Achievement: Ministry of Environmental Protection glad to hear the opinions from outside
Insufficient: it is hard to cooperate to work with planning department

31. Is there anything you would like to recommend for the countries which are just starting
to implement the SEA?

32. What is the good and bad examples of SEA implementation in your country?

Good: some new areas SEA very close to local plans authorities
Bad: Guanxi Sinopec （it is to late to involves SEA）
33. Your job title:
Your email address:

Wei ren and the participants may involves the legal and political issues if the contacts has been
leaked to any foreigns without China government authorization. Some photos can be provided
as the evidence that Wei conducted such survey in China 3 rd Strategic Environmental
Assessment Forum during 10-12 July 2013.

Thank you very much!

Prepared by: Munkhjargal.Ts
Oxford Brookes University

148
Appendix C5

Questionnaire response from Lao (Government official)

Questionnaire on Strategic Environmental Assessment

Hi! I am, Munkhjargal Tsend-Ayush, studying a MSc in Environmental Assessment and Management
course at the Oxford Brookes University in the UK and I am conducting a research work on the
Strategic Environmental Assessment (SEA). Some Asian developing countries have already started
implementing SEA approach earlier compared with Mongolia where an amended Law on
Environmental Impact Assessment has recently adopted by the Parliament on 17 May 2012.
Objective of my research works is to draw lessons to learn from other developing countries that are
already practicing it. Therefore, this questionnaire has been designed for the purpose of learning
what capacity, opportunity have for Mongolia and your response to this questionnaire will play a
valuable part for this research work. The information will be used for only this research work only
and a copy of my completed dissertation will be sent to you.

Please spare a few minutes to provide detailed and clear response. Thank you!

Munkhjargal Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, June 2013.

1. As of today, in what stage is Lao for SEA implementation, in your opinion? Does the process of
starting SEA implementation encounter any problems or difficulties so far? If yes, what are
they?
SEA implementation in Lao PDR is still at the preliminary stage, where there is on-going
development of legislative instruments including Decree and Guideline. The Environmental
Protection Law was officially promulgated on December 2012 and Article 19 stipulated SEA
implications. At this moment, SEA is therefore not yet fully integrated into the key economic
sectors’ planning.

2. Do you think is the SEA implementation necessary to be exercised in Lao? Why?

Yes, in order to mitigate or avoid serious negative impacts on environment caused
by development projects at early stage, when planning for policies, strategies and programs can
integrate SEA

3. If you think the SEA is required to be implemented in Lao, how would you rate the demand of
the SEA implementation in Lao? Please select only one answer using either √ or X symbols.
Highly Fairly Neither in demand Fairly Very
not in not in Nor not in demand demanded demanded
demand demand
X
4. Do you think the SEA will contribute in achieving sustainable development?
These issues have no mutual correlation

149
 It will not contribute in the sustainable development
There may or may not be contribution in the sustainable development
It will contribute in the sustainable development

5. What do you think about the timing of SEA legislation adopted compared with the development
growth and environmental degradation in Lao?
Please select one answer only!
Timing of introduction does not matter
This is just in time, I think
This is too late to introduce it now
It should have been introduced earlier

Why? It is just in time because the 7th 5-Year National Socio-Economic

Development Plan 2011-2015 clearly integrated sustainable development and
environmental/natural resource conservation. The statement didn’t exist in all of the 6 plans.
The key economic sectors/ministries need to integrate SEA in their planning due to the EPL but
when, how and what needs to be elaborated in Decree and Guideline.

6. Do you think does SEA has a potential to identify a serious environmental threats of proposed
development plans, programmes and projects? Please select only one answer using either √ or X
symbols.
Not very Fairly Neither with no Fairly Very
potential with no potential potential potential
potential Nor potential
x

7. When Lao is in its early stage of SEA implementation, how the following factors will show
impacts? How would you evaluate them? Please select only one answer using either √ or X
symbols.
Not very Fairly Neither not Fairly Very
influenti not influential influential influential
al influential Nor
influential
Political will x
Strong and influential x
structure of SEA
oversight and
coordination structure
Clear and detailed SEA x
guideline
Inter and intra- x
sectoral planners'
knowledge of SEA

150
 Technical know-how x
of personnel
responsible for SEA
Greater public x
involvement and
consultation

Is there any other comment to add? NA

8. In order to introduce the SEA, do you think the SEA should be assisted by the efforts by donor
agencies or not? Why?
Yes, there should be supports from donor organizations otherwise knowledge and experience-
based SEA is not easily accessed in Lao PDR. There are needs for Technical Assistance to
initiate SEA concepts for local people.
9. Do you think should the SEA legislation be separate law from the EIA? Please tick one.
No, it can be implemented within the EIA framework
Yes, it should be separate due to its high profile planning and larger impact

Why? Early integration into long-term policies, strategies and programs by concerned
stakeholders unlike EIA, produced by project owner consultants

10. According to the revised EIA Law 2012, who is/are entitled to conduct the SEA? Does
MONERE provide any license or certification to individual experts and consulting companies?
Is the international consultant or consulting company is eligible to conduct the SEA in Lao? Is
there a anyone or any organization certified to carry out SEA in Lao? How many of them?
SEA integration into planning supports and promotes cross-sectoral consultation to anticipate
adverse impacts on environment, thus no need certification

11. Is there any early examples of SEA implementation yet?

For the case of Lao PDR, not yet

12. If you think, Lao needs some examples of SEA to learn, from where and what should it look
for? Why?
Due to different characteristics and nature of each respective country planning process in
regards to policies, strategies and programs, it is somehow difficult to focus on lessons learnt
of some particular countries and/or case-studies. However, south-south cooperation could be
enhanced for sharing of experience and information.

13. Your job title: EMSP-TA Planning

Email address: vinatasayavong@gmail.com

Thank you very much!

Questionnaire prepared by: Munkhjargal.Ts
Oxford Brookes University

151
Appendix C6
Questionnaire response from Lao (International Advisor)

Questionnaire on Strategic Environmental Assessment

Hi! I am, Munkhjargal Tsend-Ayush, studying a MSc in Environmental Assessment and Management
course at the Oxford Brookes University in the UK and I am conducting a research work on the
Strategic Environmental Assessment (SEA). Some Asian developing countries have already started
implementing SEA approach earlier compared with Mongolia where an amended Law on
Environmental Impact Assessment has recently adopted by the Parliament on 17 May 2012.
Objective of my research works is to draw lessons to learn from other developing countries that are
already practicing it. Therefore, this questionnaire has been designed for the purpose of learning
what capacity, opportunity have for Mongolia and your response to this questionnaire will play a
valuable part for this research work. The information will be used for only this research work only
and a copy of my completed dissertation will be sent to you.

Please spare a few minutes to provide detailed and clear response. Thank you!

Munkhjargal Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, July 2013.

14. As of today, In what stage is Lao now for SEA implementation, in your opinion? Does the
process of starting SEA implementation encounter any problems or difficulties so far? If yes,
what are they?
Status is that a draft SEA Decree has been prepared and is expected to be endorsed by the
Government of Lao PDR early 2014. A draft SEA Guideline has also been prepared and will be
completed in 2014.
There is a need to continue capacity building in SEA among government officials at both central
and provincial level and this requires funding, which needs to be sought. There is also a need to
build capacity of Lao consulting firms - at this time there is very little experience and capacity.
The future implementation of the SEA Decree will also require funding and in principle this
should come out of the budget for national planning and sector planning, but it is still an open
question if this is possible.

15. Do you think is the SEA implementation necessary to be exercised in Lao? Why?
Yes, SEA will certainly be a useful instrument towards ensuring that investments are
sustainable and that decisions on socioeconomic development and sector development
strategies are made taking into consideration both positive and negative impacts on social,
environmental and economic matters. Lao PDR continues to have high growth and many new
investment projects are coming into the country every year. These investments need to be in
line with national strategies and plans and sector development strategies and plans and with
SEA there is a better chance that such strategies and plans and consequently the investment
projects will weigh in social and environmental considerations

152
16. If you think the SEA is required to be implemented in Lao, how would you rate the demand of
the SEA implementation in Lao? Please select only one answer using either √ or X symbols.
Highly Fairly Neither in demand Fairly Very
not in not in Nor not in demand demanded demanded
demand demand
X

17. Do you think the SEA will contribute in achieving sustainable development?
These issues have no mutual correlation
It will not contribute in the sustainable development
There may or may not be contribution in the sustainable development
X It will contribute in the sustainable development

18. What do you think about the timing of SEA legislation adopted compared with the development
growth and environmental degradation in Lao?
Please select one answer only!
Timing of introduction does not matter
X This is just in time, I think
This is too late to introduce it now
It should have been introduced earlier

Why? Timing is not that crucial - the important thing isthat SEA is introduced and that it
is implemented and taken seriously. Of course you could say that it should have been
introduced earlier, but all things considered the timing seems to be good for this to have an
effect and be successful. There is to day much more general awareness about the need to take
social and environmental considerations and without this awareness SEA would have
difficulties in being successful

19. Do you think does SEA has a potential to identify a serious environmental threats of proposed
development plans, programmes and projects? Please select only one answer using either √ or X
symbols.
Not very Fairly Neither with no Fairly Very
potential with no potential potential potential
potential Nor potential
X

20. When Lao is in its early stage of SEA implementation, how the following factors will show
impacts? How would you evaluate them?
Please select only one answer using either √ or X symbols.

153
 Not very Fairly Neither Fairly Very
influential not not influential influential
influential influential
Nor
influential
Political will X
Strong and x
influential
structure of SEA
oversight and
coordination
structure
Clear and detailed x
SEA guideline
Inter and intra- x
sectoral planners'
knowledge of SEA
Technical know- x
how of personnel
responsible for SEA
Greater public x
involvement and
consultation

Is there any other comment to add?

21. In order to introduce the SEA, do you think the SEA should be assisted by the efforts by donor
agencies or not? Why?
Yes, the donor community should push SEA and provide funding. This is important because
there will be a need not only for funding but also for training and technical assistance

22. Do you think should the SEA legislation be separate law from the EIA? Please tick one.
No, it can be implemented within the EIA framework
X Yes, it should be separate due to its high profile planning and larger impact

Why? In Lao PDR the detailed SEA legislation is separate from the detailed EIA
legislation. This is good for many reasons. SEA follows different procedures, has different
objectives and different target goups and implementers. It would be very confusing to have SEA
and EIA in the same decree.
However, the overall legal basis for both SEA and EIA is in the Environmental Protection Law

23. According to the revised EIA Law 2012, who is/are entitled to conduct the SEA? Does
MONERE provide any license or certification to individual experts and consulting companies?

154
 Is the international consultant or consulting company is eligible to conduct the SEA in Lao? Is
there a anyone or any organization certified to carry out SEA in Mongolia? How many of them?

The Environmental Protection Law Article 19 says that “Strategic environmental assessment
shall be undertaken during the development of policies, strategic plans, and programs,
particularly of energy and mining, agriculture and forestry, industry and commerce, public
works and transportation, post-telecommunication and communication, information-culture
and tourism sectors, except for land use plans of small-scale areas that have been determined
in an Integrated Spatial Plan”

MONRE will not issue any licenses or certificates to consultants or consulting companies.
There are no provisions on eligibility to do SEA. The draft decree is silent on this matter.

24. Is there any early examples of SEA implementation yet?

Yes - just a few done mainly with donor support e.g SEA on renewable energy
strategy, SEA on tourism in the north of Lao PDR (part of a regional SEA) SEA on mainstream
Mekong dams (part of regional SEA)

25. If you think, Lao needs some examples of SEA to learn, from where and what should it look
for? Why?
It would be useful to do SEA on the following sector plans:
National Infrastructure development plans,
National Agriculture development plan cum National Industry development plan
National mining development plan
National hydropower development plan

26. Your job title: Chief Technical Adviser

Email address: pgjcbi@gmail.com

Thank you very much!

Questionnaire prepared by: Munkhjargal.Ts
Oxford Brookes University

155
Appendix C7

Questionnaire response from Mongolia (Government official and

National consultant)
Unofficial translation

Questionnaire on Strategic Environmental Assessment

Hi! I am, Munkhjargal Tsend-Ayush, studying a MSc in Environmental Assessment and Management
course at the Oxford Brookes University in the UK and I am conducting a research work on the
Strategic Environmental Assessment (SEA). Some Asian developing countries have already started
implementing SEA approach earlier compared with Mongolia where an amended Law on
Environmental Impact Assessment has recently adopted by the Parliament on 17 May 2012.
Objective of my research works is to draw lessons to learn from other developing countries that are
already practicing it. Therefore, this questionnaire has been designed for the purpose of learning
what capacity, opportunity have for Mongolia and your response to this questionnaire will play a
valuable part for this research work. The information will be used for only this research work only
and a copy of my completed dissertation will be sent to you.
Please spare a few minutes to provide detailed and clear response. Thank you!

Munkhjargal Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, July 2013.

1. As of today, In what stage is Mongolia now for SEA implementation, in your opinion? Does the
process of starting SEA implementation encounter any problems or difficulties so far? If yes,
what are they?
There is a limited capacity and experience on SEA. However, some capacity building training
has been don. Mongolia adopted its Law and now developing its regulation.

2. Do you think is the SEA implementation necessary to be exercised in Mongolia? Why?

SEA is being used as a tool for maintaining the sustainable development and many countries
are introducing it. It is not only useful for improving the planning process but also inter-and
intra sectoral cooperation and coordination. Therefore, it is essential to be adopted in
Mongolia.

3. If you think the SEA is required to be implemented in Mongolia, how would you rate the
demand of the SEA implementation in Mongolia? Please select only one answer using either √
or X symbols.
Highly Fairly Neither in demand Fairly Very
not in not in Nor not in demand demanded demanded
demand demand
X

4. Do you think the SEA will contribute in achieving sustainable development?

These issues have no mutual correlation

156
 It will not contribute in the sustainable development
There may or may not be contribution in the sustainable development
It will contribute in the sustainable development

5. What do you think about the timing of SEA legislation adopted compared with the development
growth and environmental degradation in Mongolia?
Please select one answer only!
Timing of introduction does not matter
This is just in time, I think
This is too late to introduce it now
It should have been introduced earlier

Why? Large scale environmental and cumulative effects started to be discussed from 2000s
during the implementations of WB and GEF projects.

6. Do you think does SEA has a potential to identify a serious environmental threats of proposed
development plans, programmes and projects? Please select only one answer using either √ or X
symbols.
Not very potential Fairly Neither with no Fairly Very
with no potential potential potential
potential Nor potential
X

7. How would you evaluate the following factors, if it is assumed to be influenced for the
implementation of the SEA? How would you evaluate them? Please select only one
answer using either √ or X symbols.
Not very Fairly Neither not Fairly Very
influential not influential influential influential
influential Nor
influential
Political will X

Strong and X
influential
structure of SEA
oversight and
coordination
structure
Clear and X
detailed SEA
guideline
Inter and intra- X
sectoral

157
 planners'
knowledge of
SEA
Technical know- X
how of
personnel
responsible for
SEA
Greater public X
involvement and
consultation

Is there any other comment to add? Training on SEA is needed.

8. In order to introduce the SEA, do you think the SEA should be assisted by the efforts by donor
agencies or not? Why?
It requires to study and learn from other practices of developed countries. There is any person
educated on this in Mongolia yet.

9. Do you think should the SEA legislation be separate law from the EIA? Please tick one.
No, it can be implemented within the EIA framework
Yes, it should be separate due to its high profile planning and larger impact
Why?

10. The amended law says " …strategic assessment can be carried out by certified experts, sectoral
research organizations and certified entities Strategic assessment can be carried out by certified
experts, sectoral research organizations and certified entities". Is there a anyone or any
organization certified to carry out SEA in Mongolia? How many of them?
We are not providing a separate certificate to conduct SEA. It will be done by current experts
certified by the MEGD.

11. Is there any early example of SEA implementation yet?

No.

12. If you think, Mongolia needs some examples of SEA to learn, from where and what should
it look for? Why?
Canada, USA, Hong Kong, China, Denmark
13. Your job title: Officer , Division of EIA and Auditing
Email address: t.puujee@yahoo.com

Thank you very much!

Questionnaire prepared by: Munkhjargal.Ts
Oxford Brookes University

158
Appendix C8

Questionnaire response from Mongolia (National consultant)

Unofficial translation

Questionnaire on Strategic Environmental Assessment

Hi! I am, Munkhjargal Tsend-Ayush, studying a MSc in Environmental Assessment and Management
course at the Oxford Brookes University in the UK and I am conducting a research work on the
Strategic Environmental Assessment (SEA). Some Asian developing countries have already started
implementing SEA approach earlier compared with Mongolia where an amended Law on
Environmental Impact Assessment has recently adopted by the Parliament on 17 May 2012.
Objective of my research works is to draw lessons to learn from other developing countries that are
already practicing it. Therefore, this questionnaire has been designed for the purpose of learning
what capacity, opportunity have for Mongolia and your response to this questionnaire will play a
valuable part for this research work. The information will be used for only this research work only
and a copy of my completed dissertation will be sent to you.
Please spare a few minutes to provide detailed and clear response. Thank you!

Munkhjargal Tsend Ayush, moogii.san@gmail.com, Faculty of the Technology, Design and

Environment, Department of Planning, Oxford Brookes University, July 2013.

1. As of today, In what stage is Mongolia now for SEA implementation, in your opinion? Does the
process of starting SEA implementation encounter any problems or difficulties so far? If yes,
what are they?
We are at the early stage of the SEA. The SEA law is adopted and now we are developing the
regulations and guideline. Next, we need to start a capacity building and increasing the
awareness of the SEA among ministries and other non-environmental sectors in order to start
it successfully. The one concern is that there is a limited technical knowledge and skills here.

2. Do you think is the SEA implementation necessary to be exercised in Mongolia? Why?

Yes, it is very necessary. The reason is that SEA can ensure that economic development is
environmentally friendly and in turn it influences the economic growth and sustainable
development.

3. If you think the SEA is required to be implemented in Mongolia, how would you rate the
demand of the SEA implementation in Mongolia? Please select only one answer using either √
or X symbols.
Highly Fairly Neither in demand Fairly Very
not in not in Nor not in demand demanded demanded
demand demand
X

159
4. Do you think the SEA will contribute in achieving sustainable development?
These issues have no mutual correlation
It will not contribute in the sustainable development
There may or may not be contribution in the sustainable development
It will contribute in the sustainable development

5. What do you think about the timing of SEA legislation adopted compared with the development
growth and environmental degradation in Mongolia? Please select one answer only!
Timing of introduction does not matter
This is just in time, I think
This is too late to introduce it now
It should have been introduced earlier
Why?.

6. Do you think does SEA has a potential to identify a serious environmental threats of proposed
development plans, programmes and projects? Please select only one answer using either √ or X
symbols.
Not very Fairly Neither with no Fairly Very
potential with no potential potential potential
potential Nor potential
X

7. How would you evaluate the following factors, if it is assumed to be influenced for the
implementation of the SEA? How would you evaluate them? Please select only one answer
using either √ or X symbols.
Not very Fairly Neither not Fairly Very
influential not influential influential influential
influential Nor
influential
Political will X

Strong and X
influential
structure of SEA
oversight and
coordination
structure
Clear and detailed X
SEA guideline
Inter and intra- X
sectoral planners'
knowledge of SEA

160
 Technical know- X
how of personnel
responsible for SEA
Greater public X
involvement and
consultation

8. Is there any other comment to add? Need to ensure the openness and access to the
information to enable greater public involvement

9. In order to introduce the SEA, do you think the SEA should be assisted by the efforts by donor
agencies or not? Why?
It requires to study and learn from other practices of developed countries. There is any person
educated on this in Mongolia yet.

10. Do you think should the SEA legislation be separate law from the EIA? Please tick one.
No, it can be implemented within the EIA framework
Yes, it should be separate due to its high profile planning and larger impact
Why?

11. The amended law says " …strategic assessment can be carried out by certified experts, sectoral
research organizations and certified entities Strategic assessment can be carried out by certified
experts, sectoral research organizations and certified entities". Is there a anyone or any
organization certified to carry out SEA in Mongolia? How many of them?

We are not providing a separate certificate to conduct SEA. It will be done by current experts
certified by the MEGD.

12. Is there any early example of SEA implementation yet?

Recently a project requiring SEA for the mining projects is starting supported by the WB.

13. If you think, Mongolia needs some examples of SEA to learn, from where and what should
it look for? Why?
USA, Australia, China

14. Your job title: Head of the steering committee of "Eco-trade" company
Email address: dorjsurend@gmail.com

Thank you very much!

Questionnaire prepared by: Munkhjargal.Ts
Oxford Brookes University

161
Appendix D

162
163