Introduction

The Russian environmental assessment system (the national procedure of Environmental Impact Assessment) is derived from the former Soviet decision-making system for the  evaluation of economic activity projects.  This decision-making system was based mainly on an engineering approach with special emphasis on the technical norms and construction regulations and rules.  Subsequent assessment of the quality of technical solutions and project documentation was assigned to the agencies of the National Expertise of the State Committee of Building of the Russian Federation (“expertise”).

The present day environmental assessment system was expanded on under the influence of three main factors, in particular: i) the reformation of the public sector of the economy, development of market relations and democracy; ii) the development of public awareness regarding environmental risks and the pressure placed on the Government to take the appropriate measures to ensure human health and enhancement of environmental quality; and iii) the development of environmental impact assessment at the international level and ratification by the Russian Federation of international conventions in the sphere of environmental protection.

Transition to the market economy and emergence of private investment projects required modification of the environmental assessment system, in particular, the introduction of changes to distinguish the role of private businessmen as developers of investment projects and state environmental authorities.  These provisions were laid down in the Russian Federation Law entitled “On Environmental Protection” (1991).  According to the new environmental requirements formulated in the Environmental Impact Assessment (EIA) documents at the beginning of the 1990s the environmental impact assessment of an investment project is a mandatory procedure, which should be organized by the initiator of the project; this function is no longer a control function of the state.  The Federal Law “On Environmental Review” (1995) specified and strengthened the role of public authorities.

The most active interest of the general public toward environmental issues was observed at the beginning of the 1990s.  The reason, in part, for the high public interest  has been from the information about recent ecological catastrophes. It is true that the public environmental movements were in the front line of political reform activities.  In the latter half of the 1990s, the interest of the general public and, as a consequence, the principal concern of the Government toward environmental issues gradually began to weaken in view of the need to solve higher priority issues.  These issues related to economic development, and the working out and implementation of measures  for transitioning to a market economy.  For example, in the first version of the Concept of the Social and Economic Development of the Russian Federation for the period to 2030, environmental goals were not even mentioned, however later on the Concept was supplemented with a section about environmental protection.

On the whole, political and social conditions (context) contributed to the development of an environmental management system; however reorganization of the whole environmental protection sphere and its weakening in the Russian Federation, which has been going on over the last years, has had an adverse impact on the functioning of the environmental assessment system.

Basic terms and definitions

Environmental assessment – the national procedure for environmental impact assessment (EIA).  This process entails systematic analysis and assessment of ecological and related social and other consequences of a planned activity as well as consideration of the results of this analysis prior a decision on the granting or refusal of any development consent.  In the Russian Federation, it includes studies on environmental impact assessment of the planned activities and the conduct of the environmental review (state and public) and documentation, including the rationale for the planned undertaking, developed with due regard to the results of EIA.

Environmental Impact Assessment (EIA).  EIA is a process intended to contribute to an ecologically oriented administrative decision with regard to the realization of a planned economic or some other type of activity.  It entails  revealing the possible adverse impacts of the activity, assessing its environmental implications and the responsiveness of public opinion, and developing  mitigation measures.

Environmental review is the ascertainment of the correspondence of the planned economic activities, or some other types of activities, to the environmental requirements and the permissibility of the implementation of the object (project) under environmental review.  Environmental review is conducted in order to prevent possible adverse effects of the project on the environment and related social, economic and other types of consequences of realization of the object under environmental review.

State environmental review.  In the course of this process the Competent Authority identifies the compliance of the planned economic activities and other types of activities with environmental standards and performance requirements.

Strategic environmental assessment is the process of analysis, assessment and consideration of possible adverse environmental and social implications of the planned strategies (policies), plans or programmes before a decision is made on development consent.

A. Legislation and Procedures

In the context of this review, environmental assessment is the general term describing the whole process of systematic analysis and assessment of potential impacts of the planned activities on the environment carried out prior to a decision of development consent being granted.  In spite of the fact that environmental assessment in the Russian Federation includes a number of elements present in the environmental assessment systems of the other countries, it has its own clearly defined components. In particular, there are two basic subsystems: environmental impact assessment (EIA) and environmental review (ER).  Environmental assessment is part of and functions as a component of the more general system of environmental protection along with such important subsystems as environmental control and environmental monitoring.

The present-day Russian legislation, which regulates the environmental assessment procedures, is based on the Federal Law “On Environmental Protection” (2002) and the Federal Law “On Environmental Review” (1995).

A major principle established by the Russian legislation is the presumption of potential environmental hazard of any planned activity.  Therefore in Russia, environmental impact assessment is a mandatory requirement for all kinds of planned economic activities or some other types of activities, which in case of realization can have an adverse impact on the environment.

The EIA procedure is regulated by the Provisions on environmental impact assessment of the planned economic activities and other types of activities in the Russian Federation, approved by Order No. 372 of the State Committee for Environment of the Russian Federation of May 16, 2000 and registered in the Ministry of Justice of the Russian Federation (Reg. No. 2302 of July 4, 2000).

In addition to the above-mentioned laws, the state environmental review procedure is regulated by the following normative documents:

- The provisions on the procedure for state environmental review approved by the Resolution of the Government of the Russian Federation No. 698 of June 11, 1996.

- Regulations for state environmental review approved by Order No. 280 of the State Committee for the Environment of the Russian Federation of June 17, 1997 and registered in the Ministry of Justice of the Russian Federation (Reg. No. 1359 of July 28, 1997).

- The provisions on the procedure for rating of the state environmental review approved by Order No. 238 of the State Committee for the Environment of the Russian Federation of April 22, 1998 and registered in the Ministry of Justice of the Russian Federation (Reg. No. 1533 of June 1, 1998).

The procedure for public environmental review is regulated by the Federal Law entitled “On Environmental Review”.

The mandatory list of documents and kinds of activities (projects) which always require environmental review are established by the Federal Law entitled “On Environmental Review”.  It includes, for example:

- Draft laws and draft normative documents, including drafts of international agreements;

- Territory development programmes;

- Project documentation on any kind of economic activity, and;

- Documentation on the other kinds of activity, which in case of realization can have direct or indirect effects on the environment.

The content and extent of the information of the EIA documentation and the level of the state environmental review depend upon the complexity, potential hazard, degree and the scale of possible effects.

The process of environmental assessment consists of the following stages:  (i) EIA conducted by the developer of the project and preparation of documentation providing the rationale for the planned project, including the results of the EIA;  (ii) state environmental review of the project documentation providing the rationale for the planned activity, including the results of the EIA materials (the state environmental review is conducted by the Agency of the state environmental expertise).  In addition, public environmental review of the project documentation can be conducted upon the request of the general public; and,  (iii) finally, the approval of the decision of the commission of the experts of state environmental expertise, which is taken by the Competent Authority.  After that the document sets out the conclusion of state environmental expertise, the conclusion is mandatory for the developer of the project and the other participants of decision-making process (see Annex 1).

Environmental impact assessment is carried out at the expense of the project initiator (the developer, who carries out studies to collect the environmental information).

The State environmental review is carried out subject to prepayment, which is made by the customer of the environmental information.  The scope and procedure of the state environmental review are established by the specially authorized state agency of environmental expertise  (Article 14 of the Federal Law “On Environmental Review”). Budget financing is provided only for remuneration of the staff labour.

Strategic environmental assessment is the process of analysis, assessment and consideration of possible adverse environmental and social implications of the planned strategies (policies), plans or programmes before a decision is made on consent to develop.  It is carried out in compliance with the Federal Law “On Environmental Review”.  It implies the environmental review of the projects on a strategic level (plans, projects, programmes) as well as the draft laws and the other normative and legal acts.

B. Administration

The main participants of the environmental assessment process are as follows:

- Initiator / Customer of the planned activities, who entrusts (concludes the agreement with) the developer of the project and the developer of the EIA with a task to prepare the relevant project documentation, including the environmental impact assessment.

- Specially authorized state agency of environmental expertise (at present this is the Ministry of Natural Resources of the Russian Federation and its territorial authorities at the level of the constituents of the Russian Federation). The aforementioned territorial authorities are centrally accountable; they are separate from the environmental departments of the regional authorities and local self-government bodies (provincial (oblast), municipal or district (rayon)).  These units are subordinated to the relevant regional and local executive power bodies.

- Public authorities of the constituents of the Russian Federation and local self-government bodies.  These authorities establish and co-ordinate the project technical specifications for implementation, conclude the agreement for the allotment of land with the project initiator, grant permission for construction of the project and  organize public hearings.

- General public / Population.  The general public may participate in the process of environmental impact assessment and the environmental review.

The state environmental review is carried out by the commission of experts of the Ministry of Natural Resources of the Russian Federation (at the federal level) and by the expert subdivisions of its territorial authorities, which are present in each constituent of the Russian Federation. 

Environmental impact assessment is conducted by the initiator of the project and precedes the stage of making a decision on the development consent. 

The Ministry and its territorial authorities do not supervise or manage the preparation of terms of reference for the environmental impact assessment, which is the connecting link between the EIA developer and the expert authority in most of the national environmental assessment systems, in order to ensure the compliance of the content of the EIA materials with the requirements of the review (see Annex 2). 

The proponent (project initiator) is responsible for conducting all stages of the environmental impact assessment, right up to the stage of preparation of the rationale for the project development and submission of this documentation for state environmental review.  He has to ensure the proper completeness and quality of the environmental impact assessment.  The developer of the project is entitled to nominate the EIA assessor at his own discretion.

The specially authorized state agency of environmental expertise and the other interested ministries and departments (or their territorial authorities if the project is subject to a state environmental review at the level of a constituent of the Russian Federation) examine the project.

The exclusive right to conduct the state environmental review is delegated to the specially authorized state agency of environmental expertise.  The aforementioned state agency realizes its exclusive right to conduct state environmental review through the specialized expert units of central authorities and, in the territory of the constituents of the Russian Federation.  These bodies have to ensure the compliance of the procedure of state environmental review with the legislation currently in force, the requirements of normative – technical, instructive and methodological documents and, on the demand of the mass media, to make public the results of the state environmental review.

State environmental review is carried out by the expert commission consisting of independent experts, who possess the necessary scientific and practical knowledge with respect to the issues in question.  The participation of these experts should ensure the objective character and validity of the findings for the conclusion of the state environmental expertise.

Individuals and non-government organizations have the right to participate in the Russian national procedure of environmental impact assessment.  This right is secured by the mechanisms of public hearings, public environmental review and the possibility of direct participation of general public representatives in the process of state environmental review in the role of observers.

Public environmental review is organized and conducted by non-government organizations (associations) entitled to do this job (the corresponding record should be in the statute of the given non-government organization).  The results of public environmental review are taken into consideration in the process of state environmental review.

Positive conclusion of state environmental review is one of the conditions for the financing of the planned project.

The design estimates are approved by the State Committee for Building of the Russian Federation.

After completion of the above mentioned procedures, the executive power body or local self-government body makes its decision about the allotment of land in compliance with the procedure established by “The Land Code” of the Russian Federation (No. 136-FZ of October 25, 2001).

C. Screening

Environmental assessment is intended to exert influence on:  (i) the projects preparation process in view of the close connection between the EIA and the cycle of project development and the rationale documentation;  (ii) the decision-making process on development consent because of the fact that the conclusion of state expertise can be negative (financing or implementation of projects is prohibited in the absence of positive conclusion of state expertise).

Environmental impact assessment is a mandatory requirement for all kinds of planned economic activities or some other types of activities, which in case of its realization can have an adverse impact on the environment.

The content and the scope of the environmental information for the EIA, the stages of planning (development of the rationale documentation) as well as the level of state environmental review depend upon the complexity of the project, degree and the scale of possible effects as well as a number of other characteristics.

The mandatory list of objects and kinds of activities which always require environmental impact assessment is established by the Federal Law “On Environmental Review” and some other legal acts.

State environmental review conducted by the expert unit of the Ministry of Natural Resources of the Russian Federation is a mandatory procedure for:

- Draft legal acts of the Russian Federation of a normative and non-normative nature if: realization of these acts can lead to an adverse impact on the environment and, normative-technical, instructive and methodological documents which are approved by the state authorities of the Russian Federation and which regulate economic and other types of activities, which can have impact on the natural environment, including the use of natural resources and environmental protection;

- Materials, which are subject to approval by the state authorities of the Russian Federation and precede the working out of development projections and allocation of productive forces in the territory of the Russian Federation, including:

- Drafts of complex and targeted federal social and economic, scientific and technical and other federal programmes if realization of these programmes can have an impact on the natural environment;

1. Draft master plans for the development of territories of free economic zones and territories with a special mode for management of nature and economic activity;

2. Draft schemes for the development of branches of the national economy of the Russian Federation, including industry;

3. Draft master plans for land settlement, nature management and territorial organization of productive forces of the Russian Federation;

4. Draft schemes for land settlement, nature management and territorial organization of productive forces of large regions and nation-state formations;

5. Draft intergovernmental investment programmes with participation of the Russian Federation federal investment programmes, and;

6.Draft complex schemes of environmental protection in the Russian Federation.

Feasibility studies and projects entailing construction, reconstruction, enlargement, technical re-equipment, conservation of structures and liquidation of organizations and other projects of economic activity of the Russian Federation as well as some other projects irrespective of their construction budget, departmental belonging and forms of ownership if realization of the above-mentioned can have an impact on the environment within the territory of two or more constituents of the Russian Federation.  These include materials for establishment of organizations by individuals of legal entities of the Russian Federation with participation of foreign citizens or foreign legal entities if the volume of foreign investments in these organizations exceeds USD 500 000;

Feasibility studies and economic activity projects, which can have an effect on the natural environment of neighboring states or in the event that realization of this activity needs the use of transboundary natural resources, or affects interests of neighboring countries (according to the “Convention on Environmental Impact Assessment in a Transboundary Context”);

Materials on the establishment of organizations of mineral resource industry or processing industry with respect to the use of natural resources, which are under the jurisdiction of the Russian Federation;

Drafts of international agreements;

Documentation in regard to the rationale for the output-sharing agreements and concessions as well as the other agreements, which stipulate the use of natural resources and (or) wastage, which are under the jurisdiction of the Russian Federation;

Materials in regard to the rationale for granting licenses for the realization of an activity, which can have an impact on the environment if the issue of these licenses is within the competence of the federal executive power bodies according to the laws of the Russian Federation;

Draft technical documentation for new techniques, technology, materials, substances, certified goods and services presented in the list, which is approved by federal specially authorized state agency of environmental expertise (including draft technical documentation for wares supplied from abroad);

Materials of complex environmental investigation of the sections of territories substantiating their legal status as environmentally protected areas of federal significance, areas of environmental disaster or zones of extraordinary environmental circumstances as well as rehabilitation programmes of these territories;

Draft schemes for the protection and use of water, forest, land and other natural resources, which are under the jurisdiction of the Russian Federation;

Documentation for modification of functional status, kinds and pattern of use of the territories of federal significance, including materials, which substantiate the transfer of timberland into non-timberland;

Other kinds of documentation with the rationale for economic or some other activities, which can have direct or indirect impact on natural environment within the territories of two or more constituents of the Russian Federation;

The objects of the state environmental review mentioned in the given article, which earlier have already obtained positive conclusion of the state environmental expertise in the event of:

1. Revision of the object of the state environmental review in view of critical remarks made as a result of the state environmental review conducted earlier;

2. Modification of the terms of nature management by the specially authorized state environmental authorities;

3. Realization of the object of the state environmental review with deviations from the documentation which was the basis for the earlier  positive conclusion obtained from the state environmental expertise and (or) in the event of the introduction of changes to the above-mentioned documentation;

4. Expiration of the positive conclusion of state environmental expertise;

5. Introduction of changes to the project documentation and any other documents after receiving of a positive conclusion from the state environmental expertise.

State environmental review conducted by the expert unit of territorial authorities of the Ministry of Natural Resources of the Russian Federation is a mandatory procedure for:

Draft legal acts of the constituents of the Russian Federation if realization of these acts can lead to an adverse impact on the environment, normative-technical, instructive and methodological documents approved by state authorities of the constituents of the Russian Federation and regulating economic activities, including the use of natural resources and environmental protection, as well as the other activities;

Materials, which precede formulation of development projections and allocation of productive forces in the territory of constituents of the Russian Federation, including:

1. Drafts of complex and targeted social and economic, scientific and technical and other programmes of the constituents of the Russian Federation if realization of these programmes can have an impact on the natural environment;

2. Draft schemes of the development of branches of national economy of the constituents of the Russian Federation, including industry;

3. Draft master plans of land settlement, nature management and territorial organization of productive forces of the constituents of the Russian Federation;

4. Draft territorial complex schemes of environmental protection and nature management, and;

5. Draft investment programmes of the constituents of the Russian Federation and local self-government bodies.

Materials of complex environmental investigation of the sections of territories within the territory of the constituent of the Russian Federation in order to assign them subsequently the legal status of environmentally protected areas of the constituents of the Russian Federation and local significance;

Documentation regarding the rationale for the output-sharing agreements and concessions as well as the other agreements, which stipulate the use of natural resources and (or) wastage, which are under the jurisdiction of the constituents of the Russian Federation and local self-government bodies;

All types of town-planning documentation, including:

1. Schemes and projects of the rayon (district) planning of territorial-administrative formations;

2. Master plans of the cities, other settlements and their systems;

3. Plans of the administrative zones of the cities, settlements and villages;

4. Master plans of the territories within the jurisdiction of local self-government bodies as well as built-up, industrial, recreational and other functional zones;

5. Projects regarding detailed lay-out of public centre, residential areas, highways of the cities;

6. Projects regarding housing construction projects, estates of the cities and other settlements;

7. Projects of land revegetation which have been disturbed as a result of exploration works, mining, blasting operations and other works;

Feasibility studies and projects regarding construction, reconstruction, enlargement, technical re-equipment, conservation of structures and liquidation of organizations and other objects of economic activity irrespective of their construction budget, departmental belonging and forms of ownership located in the territory of corresponding constituent of the Russian Federation with the exception of objects of economic activity, which are under the jurisdiction of the Russian Federation, including materials regarding the establishment of organizations by individuals of legal entities of the Russian Federation with participation of foreign citizens or foreign legal entities if the volume of foreign investments in these organizations does not exceed USD 500 000;

Documentation of the rationale for the output-sharing agreements with economic agents, when they use natural resources of regional and local significance;

Draft schemes for the protection and use of water, forest, land and other natural resources, which are under the jurisdiction of the constituents of the Russian Federation as well as other project documentation in this area, including programmes for forest management, land use and management of hunting grounds;

Materials regarding the rationale for granting licenses for the realization of activity, which can have an impact on the environment if the issue of these licenses is not within the competence of federal executive power bodies;

Other kinds of documentation with the rationale for economic or some other activities, which can have direct or indirect impact on natural environment within the territory of the constituent of the Russian Federation;

The objects of state environmental review mentioned in the given article, which earlier have already obtained positive conclusion of state environmental review in case of:

1. Revision of the object of the state environmental review in view of critical remarks made as a result of the state environmental review conducted earlier;

2. Modification of the terms of nature management by the specially authorized state environmental authorities;

3. Realization of the object of the state environmental review with deviations from documentation which was the basis for the earlier positive conclusion obtained from the state environmental review and (or) in case of introduction of changes to the above-mentioned documentation;

4. Expiration of the positive conclusion of state environmental review;

5. Introduction of changes to the project documentation after receiving of a positive conclusion from the state environmental review.

The list of documents prepared within the framework of the national procedure of environmental impact assessment of the planned economic and other activities to be submitted for state environmental review includes:

Materials on the environmental impact assessment;

Documentation – rationale for the planned activity, developed in compliance with legal requirements;

Positive conclusions and/or approval of the relevant supervisory and control authorities;

Public consultation materials related to the object of the environmental review, including the conclusion of the public environmental review (in the event that it took place);

Conclusion of the state environmental review.

In case of investment projects the initiator of the planned activity prepares one after another the following documents: Notification of Intent, Investment Rationale and Feasibility Study (project).

The completeness and detailed documentation of materials for the environmental impact assessment progressively increase at each stage of planning (development of rationale) and depend upon pre-project and project works.

Public consultations relative to the object of the environmental review including the materials of the environmental impact assessment of the planned economic and some other activities are organized by the project initiator jointly with the local self-government bodies in accordance with the legislation currently in force.

Public environmental review is conducted prior to state environmental review or simultaneously with the latter.   

D. ScopinG

Basic principles of environmental impact assessment

- Presumption of potential environmental hazard of any planned economic or some other activities.

- State environmental review is a mandatory procedure, which should precede decision-making on the development consent.

- Prevention of possible adverse impacts on the environment and the related social, economic and other implications in case of realization of the planned economic and some other activities.

- Obligation to consider alternatives to the project.

- Public participation and consultation is a mandatory requirement at the stage of preparation and discussion of materials for the environmental impact assessment (EIA) of the planned economic and other activity, which is the object of the environmental review as the integral part of EIA process.

- Scientific validity, that is, materials of the environmental impact assessment should be scientifically well-grounded, reliable and reflect the results of the investigation.

- Reliability and completeness of information presented for environmental review.

- Feedback, when the results of the environmental impact assessment serve as a basis for monitoring, post-project analysis and ecological monitoring of the realization of the planned economic and other activities.

- Any possible transboundary effects (Convention on the Environmental Impact Assessment in a Transboundary Context; Convention on Transboundary Effects of Industrial Accidents; Convention on Protection and Use of Transboundary Waterways and International Lakes; and Convention on Protection of Baltic Sea Marine Environment, etc.) are to be taken into account.

Basic principles of environmental review

Presumption of potential environmental hazard of any planned economic or some other activities.

The obligation for a state environmental review before making a decision on the development consent.

The composite nature of environmental impact assessment of economic and some other activity and its implications.

Obligation of taking into consideration the requirements of environmental safety when carrying out the environmental review.

Reliability and completeness of information presented for environmental review.

Independence of environmental experts when they exercise their authority in the area of environmental review.

Scientific validity, objectivity and legality of the conclusions of environmental review.

Openness, participation of non-government organizations (associations) and responsiveness to public opinion.

Responsibility of the participants of the environmental review and interested parties for organization, conducting and reliability of the environmental review.

Materials on environmental impact assessment should be scientifically well-grounded, reliable and reflect the results of investigation, made with due regard to the inter-relation of various environmental as well as social and economic factors (the principle of scientific validity, objectivity and legality of the conclusions of the environmental review).

Stages of Environmental Impact Assessment

1. Notification, screening and preparation of the Terms of Reference for the environmental impact assessment.

1.1. At the first stage the initiator:

Prepares and submits to public authorities the rationale for the project, which includes a general description of the planned activity, its final objectives, and possible alternatives, a description of the terms of its realization and other information in line with normative documents currently in force;

Arranges consultations with the general public in compliance with paragraphs 4.2, 4.3 and 4.4 of the Provisions on the environmental impact assessment of the planned economic and other activities in the Russian Federation (hereinafter “Provisions”);

Carries out screening of key positions - paragraph 3.2.2 of the Provisions (see paragraph 2.2) and documents the screening results;

Carries out preliminary consultations in order to define the participants of the environmental impact assessment process, including the interested public.

In the process of screening the project initiator collects data and prepares documentation, which includes information about:

The planned economic and other activity, including the objective of its realization, possible alternatives, terms of its realization and presumed location, affected administrative territories, possibility of transboundary impact, and conformance with territorial and sectoral plans and programmes;

State of the existing environment, which is at risk and the most sensitive components of the environment;

Possible significant impacts on the natural environment (the need for land resources, waste, load on transportation and other infrastructure, sources of emissions and discharges) and mitigation measures.

1.2. The initiator develops the Terms of Reference for the environmental impact assessment on the basis of the screening results. It includes:

Name and address of the initiator (developer);

Schedule for conducting the environmental impact assessment;

Principal methods for conducting the environmental impact assessment, including the public consultation plan;

The main tasks for conducting the environmental impact assessment;

The assumed structure and content of the materials of the environmental impact assessment.  The Terms of Reference should be developed in compliance with the requirements of the specially authorized environmental authorities as well as the opinion of other participants of the EIA process.  On their demand the Terms of Reference are distributed among the participants of environmental impact assessment and are available to the general public during the entire EIA period.

The Terms of Reference for the environmental impact assessment is part of the EIA materials.

2. Conduct environmental impact assessment studies and prepare a draft EIA document.

2.1 The initiator (developer) carries out the environmental impact assessment studies in compliance with the Terms of Reference, taking into account the alternatives of the project, its objectives and methods of achievement of these goals, and prepares the draft environmental impact assessment document.

2.2 The environmental impact assessment studies for the planned economic and other activity include the following:  Characterization of the planned economic and other activity as well as possible alternatives (including cancellation of the project);

Analysis of the condition of the territory, which can be affected by the planned economic and other activity (environmental conditions, presence and the nature of anthropogenic load, etc.);

Identification of possible impacts of the planned economic and other activity on the environment, including alternatives;

Environmental impact assessment of the planned economic and other activity (probability of risk, its extent, nature, scale, zone of influence as well as prediction of environmental and the related social and economic implications);

Identification of measures to reduce, mitigate or prevent an adverse impact, and the assessment of the efficiency of these measures and possibility of their implementation;

Assessment of the importance of residual effects on the environment and environmental implications;

Comparison of alternatives involved according to foreseeable environmental and related social and economic implications, including the alternative of project cancellation and the rationale for selecting the suggested alternative for realization;

Development of proposed programme for environmental monitoring and control at all stages of the realization of the planned economic and other activity;

Developing recommendations for project evaluation;

Preparation of the draft document on the environmental impact assessment of the planned economic and other activity (including a summary for the layman).

2.3 The initiator gives an opportunity for the general public to familiarize themselves with the draft document on the environmental impact assessment of the planned economic and other activity and to provide their remarks in compliance with Section 4 of the Provisions.

3. Preparation of the final environmental impact assessment document.

3.1 The final environmental impact assessment document is prepared on the basis of the draft document with due regard given to criticism, proposals and information received from the participants of the environmental assessment process during the discussion stage in compliance with Section 4 of the Provisions.  The final environmental impact assessment document should include information that the remarks and proposals received are taken into account as well as the minutes of public hearings (in the event that they took place);

3.2 The final document on the environmental impact assessment is subject to the approval of the project initiator.  Then it is used during preparation of the rationale and, as a part of the project rationale, it is submitted for state environmental review and public environmental review (in the event that it takes place).

3.3 Public participation in preparation of environmental impact assessment materials can take place:

at the stage of primary data collection;

at the environmental impact assessment stage and the preparation of the rationale.

In the case of an investment project, the initiator carries out the above mentioned stages of the environmental impact assessment at all phases of preparation of documentation of the planned economic and other activity, which is subject to state environmental review.

The process of environmental impact assessment for certain kinds (categories) of activity, which are judged likely to have no significant environmental effects and are subject to state environmental review at the level of the Russian Federation constituents can be simplified.  In this case the territorial authorities of the Ministry of Natural Resources of the Russian Federation develop the relevant normative documents, which regulate the procedure of the environmental impact assessment for these kinds (categories) of activity and introduce changes only to paragraphs 3.1.2, 3.1.3, 3.2.2, 3.2.3 and 3.3.1 of the Provisions.  These documents are to be agreed to by the Ministry of Natural Resources of the Russian Federation.

Availability of environmental impact assessment materials is the indispensable condition for the acceptance of project documents for the state environmental review.

E. Environmental Impact Assessment Content

Materials of environmental impact assessment should include a non-technical summary to reflect the most important results and conclusions of the EIA.

The content of the environmental impact assessment materials is established by the environmental impact assessment procedure.  It depends on the type of planned economic and other activity, and the project rationale, which is the object of the environmental review.  The degree of completeness and specification of the environmental impact assessment depend upon the scale and type of the planned economic and other activity as well as the specific features of the presumed location of its realization.

A model of the content of the environmental impact assessment materials of the planned economic and other activity in investment projection is given in the Annex to the Provisions.

In the event that the documentation on the planned economic and other activity can be referred to as restricted access information, the initiator prepares materials on the environmental impact assessment in conformity with principle of information openness.

Model Content of Environmental Impact Assessment Materials of the Planned Economic Activity in Investment Projection

The contents of environmental impact assessment materials of the planned economic and other activity for investment projects should include at a minimum the submission of the following environmental information:

1. General information.

1.1 Initiator of the project with indication of the official name of organization (legal entity, natural person), postal address, phone number, fax number.

1.2 Name of the investment project and its proposed location.

1.3 Family name, phone number of the contact person.

1.4 Description of the submitted documentation: application (Notification of Intent), investment rationale, feasibility study (project), working draft (the part to be approved).

2. Explanatory note to the project rationale.

3. Objectives of and need for the planned economic and other activity.

4. Description of alternatives of the planned economic and other activity (different location of the object, technologies and other alternatives within the authority of the  project initiator), including the suggested and “zero variant” (cancellation of the project).

5. Prediction of possible environmental effects of the planned economic and other activity for all the alternatives taken separately.

6. Description of the environment, which can be affected as a result of the realization of the planned economic and other activity (including alternatives).

7. Environmental impact assessment of the planned economic and other activity (including alternatives with a comparative analysis) and an estimate of the reliability of the predicted implications of the planned investment activity.

8. Description of mitigation to prevent, reduce or eliminate possible significant adverse effects of the planned economic and other activity.

9. Assessment of the uncertainty in the identification of possible environmental effects of the planned economic and other activity.

10. Brief description of the project evaluation monitoring programmes.

11. Rationale for the selection of the suggested variant of the planned economic and other activity from among all of the alternatives considered.

12. Materials of public hearings, which were undertaken at the stage of investigation and preparation of materials on environmental impact assessment of the planned economic and other activity, indicating:

12.1. Way in which the general public may be informed of the place, time and form of the public hearings.

12.2. List of participants of public hearings with indication of family names, second names, organizations (in the case that they represented organizations), as well as addresses and phone numbers of these organizations and individuals – participants of discussion.

12.3. The scope of issues, which were considered in the course of discussion, thesis of proposals in the event that they are submitted by the discussion participants, minutes of public hearings (in the case that they were undertaken).

12.4. All comments and proposals, which were introduced in the course of the public hearings with an indication of the names of the speakers and including possible disagreements between the general public, local self-government bodies and project initiator.

12.5. Conclusions based on the results of public hearings in relation to the environmental aspects of the planned economic and other activity.

12.6. Summary of comments and proposals made by the public with an indication which of these proposals and comments were taken into consideration by the project initiator and in what form as well as which of them were rejected and the grounds for the rejection.

12.7. Mailing lists of the relevant information, addressed to the public at all stages of the environmental impact assessment.

13. Non-technical summary of the information with respect to the above.

F. State environmental review

Later on the materials of the environmental impact assessment are submitted to state environmental review as the part of project materials (rationale documentation).  In the process of state environmental review, the specially authorized state structure – the Ministry of Natural Resources of the Russian Federation – determines the compliance of the suggested solutions with the environmental, normative and legal requirements.

Interaction with other subdivisions of the Ministry is carried out in line with the relevant regulations in order to manage and conduct the state environmental review.

The procedure for the state environmental review is as follows:

- The developer submits the agreed rationale documentation to the specially authorized competent environmental authority (hereinafter referred to as the specially authorized competent authority) for the environmental review;

- The specialized expert unit of the specially authorized competent authority specifies the cost, the time period for the state environmental review and sets up the commission of experts consisting of independent experts;

- The commission of experts considers the submitted documentation with due regard to the results of the public environmental review (in the case that it was undertaken) and issues the expert conclusion, which identifies the compliance of the planned economic and other activity with the environmental requirements and the permissibility of project realization taking into account all possible adverse environmental effects and the related social, economic and other implications;

- The conclusion of the commission of experts is approved by the specially authorized competent authority.  After that the document sets out the conclusion of state environmental expertise;

- The conclusion of the state environmental expertise is presented to the project initiator and to the corresponding territorial authority of specially authorized competent authority in order to conduct control of the project realization in the respective territory.

The conclusion of the state environmental expertise can be contested only judicially.  In the event that a court takes the decision about a second state environmental review it is not established by legislation in force that the review is to be conducted by the third party.  At the same time in 2002, the Ministry of Justice of the Russian Federation established the forensic environmental expertise subdivision.  However, this public institution is still not functioning in the absence of normative documents establishing the procedure of such review and the status of the rendered conclusion.

 In the process of the state environmental review the experts of the commission of experts of the state environmental review are guided by all legal, normative, instructive and methodological documents, which establish environmental, technical, economic, health and other requirements to the planned activity.

At the federal level the terms of the state environmental review make up as a rule from 1 to 4 months, but cannot be longer than 6 months; at the territorial level they make up from 2 weeks to 3 months.

A positive conclusion of the state environmental review becomes legally invalid in the event that:

- Revision of the object of the state environmental review in view of critical remarks made as a result of the state environmental review conducted earlier;

- Modification of the terms of nature management by specially authorized state environmental authorities;

- Realization of the object of the state environmental review with deviations from the documentation which was the basis for the earlier positive conclusion obtained from the state environmental review and (or) in the event of introduction of changes to the above-mentioned documentation;

- Expiration of the positive conclusion of state environmental review;

- Introduction of changes to the project documentation and any other documents after receiving of a positive conclusion from the state environmental review.

The legal implication of a negative conclusion of the state environmental review is the prohibition of realization of the project.

In the case of a negative conclusion of the state environmental review the initiator has the right to submit materials for a second state environmental review subject to the revision of the materials taking into account criticism stated in the given negative conclusion.

Non-observance of the requirement for mandatory state environmental review of the project of international agreement is grounds to declare it invalid.

The conclusions of the state environmental review as for the draft normative and legal acts of the Russian Federation and normative and legal acts of the constituents of the Russian Federation are considered by public authorities responsible for adoption of these acts.

G. Public Participation and Consultation

Public participation is the process of providing information to and interaction with the general public and population, which can find itself in the area affected by the planned activity or show an interest in the planned activity.  The purpose of public participation is to reveal public preferences and take these preferences into consideration in the decision-making process on development consent.  There are various forms of public participation, in particular:

- Consultations imply exchange of information with the stakeholders in order to reveal their opinion in relation to the planned activity and its implications.

- Participation is a more active process of public participation, where the stakeholders have a better chance to have an influence on the decisions taken by the project initiator.

- Mediation.  This is the process of negotiations (or alternative way of conflict resolution) between the interested parties, which is conducted with the assistance of a third neutral party (or mediator).

Public participation in the process of environmental impact assessment is realized in the following way.

Public participation in preparation and discussion of environmental impact assessment materials is ensured by the project initiator as an integral part of the EIA process, organized by local self-government bodies or the relevant public authorities with the assistance of the project initiator in accordance with legislation of the Russian Federation.

Information to the general public and the other participants of environmental assessment process at the stage of notification, screening and preparation of terms of reference on environmental impact assessment is carried out by the project initiator.

Information in brief is published in official sources of information of federal executive power bodies (for the objects of environmental review at the federal level), in official sources of information of executive power bodies of the constituents of the Russian Federation and local self-government bodies – in the territories, where the object of the state environmental review is planned to be developed, as well as in the territories, which can be affected by the planned economic activity.

The published announcement should include submission of the following information:

- Name, description of the project, objectives and location of the planned activity;

- Approximate time limit of the environmental impact assessment;

- State structure responsible for organization of public consultations;

- Proposed manner in which the public is to be consulted (public opinion polls, public hearings, referendum, etc.), as well as a method to provide comments and proposals;

- Specified period and place where the Terms of Reference on environmental impact assessment can be reviewed;

- Other information.

In addition, information to the participants in the environmental assessment process can take place by means of dissemination of the aforementioned information by the radio, TV programmes, in the periodical press, on the Internet and in some other appropriate ways.

The initiator (developer) makes records of the comments and proposals received from the public during the 30 day period following the day the announcement is published.  These comments and suggestions are taken into consideration when preparing the Terms of Reference for the environmental impact assessment and should be reflected in the materials of the environmental impact assessment.

It is the responsibility of initiator to organize a place where the Terms of Reference for the environmental impact assessment can be reviewed by the interested public and the other participants of EIA process from the moment of its approval and up to the end of the process of environmental impact assessment.

The schedule of arrangements within the framework of public consultations on the planned economic activity, including expediency (inexpediency) of public hearings on the materials of environmental impact assessment is refined at the stage of EIA.

When taking the decision on the manner of public consultations, including public hearings, it is necessary to keep in mind the level of environmental risk of the planned economic and other activity and take into consideration the uncertainty factor, and the level of concern of the general public.

Information about the time schedule and the place where a draft of the environmental impact assessment materials can be reviewed, as well as the date and place of public hearings, other forms of public participation is published in mass media not later than 30 days prior to the completion of public consultations process (holding of public hearings).

The project initiator also brings this information to the notice of interested parties if realization of the project can affect directly or indirectly their interests or to those who expressed their interest to the process of environmental impact assessment, as well as, the other participants of EIA process in the event that they do not have access to the specified mass media.

The procedure of public hearings is established by local self-government bodies with the assistance of the project initiator (developer) and interested public.  All of the decisions related to public participation are documented.

The project initiator is responsible for holding public hearings on the planned economic activity.  The minutes of the public hearings should reflect the main issues of discussion, as well as any subject of disagreement between the general public and the project initiator (in the case such an issue was discovered).  The minutes are to be signed by the representatives of the executive power and local self-government, the general public, non-government organizations (associations) and the project initiator.  The minutes of the public hearings are attached as one of the annexes to the final document on the environmental impact assessment of the planned economic or another activity.

The draft materials on the environmental impact assessment are submitted to the general public for examination and comments during a 30 day review period, which is scheduled no later than 2 weeks prior to the completion of the public consultations (holding of public hearings).

During 30 days after the completion of the public consultations (before a decision is made on development consent), the project initiator accepts written comments and proposals from the general public and non-government organizations and organizes the documentation of these proposals as annexes to   the environmental impact assessment.

The project initiator ensures that the final document on the environmental impact assessment is made available to the general public over the whole period from its approval,  up to the time that development consent is granted.

According to Russian legislation, public environmental review can be conducted by non-government environmental organizations.  Public environmental review is carried out prior the beginning of the state environmental review and its results can have a legal effect only after approval of the state environmental review.

The public environmental review is organized and conducted on the initiative of the general public and non-government organizations (associations), as well as on the initiative of local self-government bodies.  It is carried out by non-government environmental organizations (associations), which are entitled to do this job and are registered in accordance with the established procedure.  The statutes of these organizations should contain a record that the primary activity is environmental protection, including organizing and conducting environmental reviews.

Public environmental review can be carried out for the projects listed in Articles 11 and 12 of the Federal Law “On Environmental Review” with the exception of the objects of the environmental review where information about these objects is a State secret, commercial classified information and (or) some other secret secured by the law.

Public environmental review precedes the state environmental review or is conducted simultaneously with it.

Public environmental review can be carried out irrespective of the state environmental review of the same objects of environmental review.

According to the legally established procedure non-government organizations (associations), which conduct public environmental review are entitled to:

Receive documentation from the project initiator, which is subject to environmental review (the scope of documentation is established by Article 14 (paragraph 1) of the present Federal Law);

Examine normative and technical documentation, which sets up requirements for the state environmental review;

Participate as observers through their representatives in the meetings of the expert commissions of the state environmental review and take part in the discussions of the conclusions of the public environmental review.

Public environmental review is conducted subject to official registration of the application of the non-government organizations (associations) to conduct environmental review.

In the event that two or more non-government organizations (associations) apply for public environmental review of the same object of environmental review, it is permitted to establish a joint expert commission.

The local self-government body must register an application for the conduct of a public environmental review within 7 days from the day of submission or refuse its registration.  An application for public environmental review, which was not rejected within the stated time, is considered as registered.

Application of a non-government organization (association) for public environmental review should include the following information: name of the non-government organization (NGO), legal address, nature of the activity according to the statutes, membership of the expert commission of public environmental review, information about the object of public environmental review and time period for public environmental review. Non-government organizations (associations) responsible for public environmental review must inform local population about the commencement of the public environmental review and its results.

Official registration of the application for public environmental review can be rejected in the following cases:

- Public environmental review of the object of the environmental review was carried out two times earlier;

- Information about the object of the public environmental review is a State secret, commercial classified information and (or) some other secret secured by the law.

- The procedure of the official registration of the non-government organization (association) does not correspond to the established order;

- Statutes of the non-government organization (association), which is going to organize and carry out public environmental review, do not correspond to the requirements of Article 20 of the Federal Law “On Environmental Expertise”;

- The requirements for the contents of the application for the state environmental review established by Article 23 of the Federal Law “On Environmental Review” are not fulfilled.

The conclusions of the public environmental review are to be sent to the specially authorized state environmental authorities responsible for the state environmental review, the project initiator, the specially authorized competent authority, which makes a decision on development consent, the local self-government bodies and other stakeholders.

The conclusions of the public environmental review can be published in mass media, submitted to local self-government bodies, specially authorized state agency of environmental expertise and the project initiators – customers of documentation, and other stakeholders.

All the results of the public consultations, as well as, the conclusions of public environmental reviews (in the case that they were undertaken) are considered by the commission of experts in the course of the state environmental review.

H. Monitoring

In accordance with the “Provisions on environmental impact assessment of the planned economic and other activities in the Russian Federation”, the proposals on environmental monitoring and control programmes, as well as, recommendations on project evaluation are developed at all stages of project implementation.

In compliance with the Federal Law “On Environmental Review” for the purpose of implementing relevant control functions, information about the conclusions of the state environmental review is sent to the specially authorized territorial environmental authorities (in the event that the state environmental review is conducted by specially authorized federal agency of environmental expertise), executive power bodies of the constituents of the Russian Federation and local self-government bodies.  In cases specified by specially authorized state agency of the environmental expertise, information about the conclusions of the state environmental review is sent to banking institutions, which provide financing of the object of the state environmental review.

I. Ratification of International Conventions on EIA

In pursuance of the Resolution #80 of the Cabinet of Ministers of the USSR of March 6, 1991 the Convention on Environmental Impact Assessment in Transboundary Context developed by European Economic Commission of United Nations Organization was signed in the Secretariat of UNO in New York on behalf of the Government of the USSR on June 6, 1991.

Russian Federation did not ratify the Convention on Environmental Impact Assessment in Transboundary Context to this very day. At the same time the provisions, which allow to take into account the transboundary environmental effects of the planned activity as well as the opinion of general public about the planned activity present in the fundamental legal acts of Russian Federation.

According to the Federal Law “On Environmental Review” feasibility studies and the projects of economic activity, which can have an effect on the natural environment of neighboring states or in the event that realization of this activity needs the use of transboundary natural objects, or affects interests of neighboring countries (according to Convention on Environmental Impact Assessment in Transboundary Context) are subject to state environmental review of federal level.

The protocol on strategic environmental assessment elaborated by Secretariat of Convention on Environmental Impact Assessment in Transboundary Context was not signed by Russian Federation during the meeting in Kyiv in May 2003.

At the same time all the foundations for the efficient development of strategic environmental assessment are available in Russian Federation. The need to take strategic decisions also based on the environmental priorities is declared in numerous normative and legal acts. The practice of strategic environmental assessment for the decisions of strategic level indicates the need of the development both methodology of preparation of such decisions and a procedure of decision making. The initiators of policy decisions apply individual elements of assessment and submit documents for state environmental review in accordance with established procedure. The main function of this review is the assessment of environmental permissibility of the scheduled plans, projects and programmes.

Annex 1

System of Environmental Assessment in Russian Federation

Annex 2

Functions of the Unit of the Federal Level Specialized in the Organization and Conduct of State Environmental Reviews

Functions of the unit of the federal level specialized in the organization and conduct of state environmental reviews are established by Article 7 of the Federal Law “On Environmental Review” – “Powers, Rights and Duties of Federal Specially Authorized State Agency of Environmental Expertise”.  They are as follows:

Coordination of environmental expert activity within the Russian Federation;

Enforcing an unified policy to the organization and methodology of the specially authorized territorial authorities of the environmental review;

Scientific and methodological support of the state environmental review;

Providing methodological guidance to the specially authorized territorial authorities of the environmental review;

Development, revision and approval of normative – technical, instructive and methodological documents to implement the realization of the Federal Law “On Environmental Review”;

Interaction with the executive power bodies at the federal level in the area of environmental review;

In accordance with the established procedure, interact with authorities of foreign states responsible for environmental review with regard to issues of mutual interest;

Organization and conduct of the state environmental review of the objects listed in Article 11 of the Federal Law “On Environmental Review” (the list of the objects of environmental review (about 100) subdivided into 13 groups is enclosed);

Control of the adherence to the Federal Law “On Environmental Review” and the other normative and legal acts of the Russian Federation in the area of environmental review when organizing the conduct of the state environmental review;

Consideration of disagreements, which arise in the process of the environmental review among specially authorized territorial authorities of the environmental review;

Spot checks of the state environmental review conducted by the specially authorized territorial authorities of the environmental review;

Organization of the data of the state environmental review, including formation and maintenance of databases on the planned activity, implementation of objects of environmental review and an adverse environmental effects analysis of the economic and other activity;

Participation in working out a mandatory list of activities in the area of nature management which always require licensing;

Submission to the banking institutions, statements regarding suspension (termination) of funding, crediting and other financial transactions for the objects of the environmental review, which did not receive a positive conclusion from the state environmental review;

Organization of workshops, conferences on methodological issues, methods and forms of the state environmental review, improvement of the efficiency of environmental and expert activity in the Russian Federation and dissemination of experience in this area;

Maintaining public registers of the experts of the state environmental reviews.

 Official Duties of the Unit of Federal Level Specialized in Organization and Conduct of State Environmental Reviews

- Enforcement of compliance of the state environmental review procedure with the requirements of the Federal Law “On Environmental Review”, other federal acts as well as the requirements of the normative-technical, instructive and methodological documents;

- Notification of state authorities of the constituents of the Russian Federation and local self-government bodies in advance of the sessions of expert commission of the state environmental review on the objects of environmental review, which are realized in the territory of the relevant constituent of the Russian Federation;

- Securing of the possibility for the project initiator, who made the application for the state environmental review, to become familiarized with the normative-technical, instructive and methodological documents regulating the organization and procedure for the state environmental review;

- Securing of possibility for non-government organizations (associations), which conduct public environmental review to become familiarized with normative-technical documents regulating the process of the state environmental review;

- Sending materials to local self-government bodies, non-government organizations (associations) and general public about the results of consideration of their proposals on the object of review in the course of the state environmental review and information on the conclusion of the state environmental review;

- Making public the results of the state environmental review on demand of mass media;

- Response to the legislative and executive authorities of the Russian Federation as well as legislative and executive authorities of the constituents of the Russian Federation on their enquiries about the results of the state environmental review of the concrete objects of environmental review;

- Preparation and submission of the relevant materials to the law enforcing bodies in order to call to account those persons, who are guilty in violation of the legislation of the Russian Federation on environmental review.

Functions of the Unit of Territorial Level specialized in Organization and Conduct of State Environmental Reviews

Functions of the unit of the territorial level specialized in the organization and conduct of state environmental reviews are established by Article 8 of the Federal Law “On Environmental Review” – “Powers, Rights and Duties of Specially Authorized Territorial Authorities of Environmental Expertise”.  They are as follows:

Interaction with the executive power bodies of the constituents of the Russian Federation in the area of environmental review;

Normative-technical, scientific and methodological support of the state environmental review, coordination of the research activity on the formation of the database of normative and technical documents, which specify realization of the legislation of the Russian Federation in the area of environmental review within the territory of the respective constituent of the Russian Federation;

Development, revision and approval of normative – technical, instructive and methodological documents, which specify realization of the present Federal act as part of the state environmental review within the territory of the respective constituent of the Russian Federation;

Organization and conduct of the state environmental review of the objects listed in Article 12 of the Federal Law “On Environmental Review” (the list is enclosed), including formation of the commission of experts for the state environmental review;

Determination of the period of validity  for a positive conclusion of a state environmental review;

Organization of the data of the state environmental review, including the formation and maintenance of databases on the planned economic and other activity, realization of the objects of the environmental review and the environmental effect of the planned economic and other activity within the territory of the respective constituent of the Russian Federation;

Organization of workshops, conferences on methodological issues, methods and forms of the state environmental review, improvement of the efficiency of the environmental and expert activity and dissemination of experience in this area.

Official Duties of the Specially Authorized Territorial Authorities Specialized in the Organization and Conduct of State Environmental Reviews

To ensure compliance of the state environmental review procedure with the requirements of the present Federal Law and other normative and legal acts of the Russian Federation as well as the requirements of the normative and legal acts of the constituents of the Russian Federation;

To inform the state authorities of the constituents of the Russian Federation and local self-government bodies, in advance, of the sessions of the expert commissions of the state environmental review;

In proper time, to inform the Office of the Public Prosecutor about violations of the laws of the Russian Federation and the constituents of the Russian Federation in the area of the environmental review;

To secure the possibility for non-government organizations (associations), which conduct public environmental review to familiarize themselves with the normative-technical documents establishing the requirements for the state environmental review;

To send materials to local self-government bodies, non-government organizations (associations) and the general public providing the results of the consideration of their reasoned proposals on the environmental aspects of the planned economic and other activity in the course of the state environmental review;

To develop and submit the relevant materials to the law enforcing bodies in order to call to account those persons, who are guilty in violation of the legislation of the Russian Federation on environmental review.

To make public the results of the state environmental review on the demand of the mass media.