basic concepts for assessing environmental impacts

Basic Concepts forAssessing Environmental

Impacts

October 23rd 2012Ar. Aditi Padhi

WHAT IS “EIA” ?

a PROCESS for decision-making,

NOT a formula for preparing a document.

What is the purpose of EIA?

Here are a few answers—for example:

What is the purpose of EIA ?

To “…encourage productive and enjoyable harmony between man and his environment;

to promote efforts which will prevent or eliminate damage to the environment and

biosphere and stimulate the health and welfare of man; to enrich the understanding of the ecological systems and natural resources

important to the Nation....”


“To implement a strategy of sustainable development, prevent adverse impact on the

environment after the implementation of plans and construction projects, and

promote coordinated development of the economy, society, and environment.”


To allow government officials, business leaders, and all concerned citizens to understand the likely environmental

consequences of proposed actions, and to cooperate in making wise decisions that restore and maintain the quality of our

shared environment for future generations.

R. B. Smythe


“To LOOK before you LEAP!”

• EIA is now a required process in more than 100 nations.

• The International Association for Impact Assessment (IAIA) is a global network with

2,700 members from more than 80 countries.

WHAT CHANGES CAN EIA BRING?

Before introduction of EIA:

•Government planning and decision-making:

“D-A-D” ---- “Decide, Announce, Defend”

•Role of NGOs, citizens:

“Critics” “Objectors” “Protestors”

•Environmental conditions:

Steadily deteriorating

WHAT CHANGES CAN EIA BRING?

After Implementing EIA:

•Government planning and decision-making:

“D-D-D” ---- “Discuss, Decide, Deliver”

•Role of NGOs, citizens:

“Stakeholders” “Contributors” “Participants”

•Environmental conditions:

Deterioration slows; some areas improving

Source: Hui, Y.M. (Simon), Environmental Protection Dept., HKSAR

KEY ELEMENTS OF EIA

1. EIA must be undertaken EARLY in the development of proposed projects, plans, and programs, and must be completed BEFORE a decision to proceed is made.

2. EIA must be an OBJECTIVE, IMPARTIAL analytical process, not a way of promoting or “selling” a proposal to decision-makers—it must use accepted scientific principles and methods.

KEY ELEMENTS OF EIA

3. EIA must analyze all REASONABLY FORESEEABLE environmental impacts or effects of a proposed action— effects may be short-term, long-term, direct, or indirect.

4. The process of EIA must be OPEN – to government officials at all levels, to potential stakeholders (those with direct interests in the proposed action), and to the PUBLIC.

KEY ELEMENTS OF EIA

5. There must be an early, public SCOPING stage in EIA to consider ALTERNATIVES and to help focus subsequent analysis on the MORE SIGNIFICANT potential impacts – rather than studying all possible environmental effects—the GOAL is to reach a decision.

6. Government officials responsible for implementing EIA must ENCOURAGE (not just tolerate) PUBLIC PARTICIPATION in the process from the scoping stage forward.

KEY ELEMENTS OF EIA

7. In all EIA processes, effective MITIGATION MEASURES must be identified and included—to avoid, minimize, or reduce the adverse effects of all potentially significant impacts.

8. EIA reports must include an ENVIRONMENTAL MANAGEMENT SYSTEM (EMS) or Action Plan to MONITOR the implementation phase of the project, plan, or program and provide for CORRECTIVE actions—such action plans must have assured FUNDING and be legally enforceable.

ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 13

In EIA, the term “impacts” is used instead of “effects of activities.”

What is an impact?

Review: Definition of EIA

Environmental Impact Assessment is

A formal process for identifying:

• likely effects of activities or projects on the ENVIRONMENT, and on human health and welfare.

•means and measures to mitigate & monitor these impacts

Environment is broadly interpreted: physical, biological, and social.


What is an impact?

The impact of an activity is a deviation (a change) from the baseline situation that is caused by the activity.

To measure an impact, you must know what the baseline situation is.

!

The baseline situation is the existing environmental situation or condition in the absence of the activity.

The baseline situation is a key concept in EIA.

More…


The baseline situation

In characterizing the baseline situation,

many environmental components MAY be

of interest

Water Quantity, quality, reliability, accessibility

Soils Erosion, crop productivity, fallow periods, salinity, nutrient concentrations

Flora Composition and density of natural vegetation, productivity, key species

Fauna Populations, habitat

Special Key species ecosystems

Env Health Disease vectors, pathogensThe components of

interest are those that are likely to be affected

by your activity—or upon which your

activity depends for its success


The baseline situation

The baseline situation is not simply a “snapshot.”

Describing the baseline situation requires describing both the normal variability in environmental components & current trends in these

components.

time

Wat

er t

able

This chart of groundwater levels shows both variability and a trend over time.

Both are part of the groundwater baseline situation.


Types of impacts & their attributes

Direct & indirect impacts

Short-term & long-term impacts

Adverse & beneficial impacts

Cumulative impacts

The EIA process is concerned with

all types of impacts and may describe them in a

number of ways

Intensity Direction Spatial extent Duration Frequency Reversibility Probability

But all impacts are NOT treated

equally.


! It is ESSENTIAL in EIA to focus on the most significant impacts.

Specifically,

EIA Impact Analysis Summary Table

PHASE: Construction Operation Termination __________________________________________________Physical:

Land Air Water Energy

__________________________________________________Bio-Cultural:

Nature Culture People Access

EIA Procedures and Decision Making 20

Lesson Learning Goals

At the end of this lesson you should be able to: Flow-chart the overall environmental impact

assessment (EIA) process and describe step-by-step assessment procedures

Define, and illustrate with examples, key terminology used in EIA

Describe, with examples, methods for identifying environmental impacts and their significance

Identify common shortcomings concerning the application of EIA in practice


The Environmental Impact Assessment Process

Major steps in the EIA process are: Screening Initial Environmental Examination (IEE) Scoping Full-Scale Assessment EIA Review and Decision Making Monitoring and Follow-Up


ScreeningInitial Environmental

Examination (IEE)

EIA NotRequired

EIARequired

Monitoring EIA Audit andEvaluation

IEEReview

Scoping/Terms ofReference

Full-ScaleEIA

EvaluateOptions

EIA NotApproved

EIAReview

DecisionMaking

EIAApproved

You are here


Screening

It would be time consuming and a waste of resources for all proposed projects and activities to undergo EIA

Not all development projects require an EIA, as some projects may not pose an environmental threat

Screening is the process used to determine whether a proposed project or activity requires an EIA and, if so, what level of environmental review is necessary


Purpose

Identify those projects or activities that may cause potential significant impacts

Identify special conditions/analyses that may be required by international funding bodies

Categorize the project as one where: Full-Scale EIA required Some further environmental analysis required No further environmental analysis required


Typical ProposalsRequiring Full-Scale EIA

Infrastructure projects Large-scale industrial activities Resource extractive industries and activities Waste management and disposal Substantial changes in farming or fishing

practices


Screening Techniques

Assessor or decision-maker discretion Project lists with thresholds and triggers Exclusion project lists Preliminary or initial EIAs Combination of these techniques


Screening Criteria

Screening criteria typically consider: Project type, location, size (e.g.,

capital investment, number of people affected, project capacity, areal extent)

Receiving environment characteristics Strength of community opinion Confidence in prediction of impacts


Project Location

Requirements for screening: The screening checklist should include a section

on site location characteristics, including, at a minimum, the four categories of environmentally critical areas: National Parks Indigenous people’s area Tourist area Ecologically sensitive area


Project Location (Cont’d)

Site selection defines the location of the study area and the specific environmental resource base to be examined

Often the single most important factor contributing to a project’s potential negative impacts

Regional development plans should be used as guides to select project locations where environmental conditions will be minimally impacted


Prepare the work plan for the initial environmental examination (IEE)

Project type on project screening checklist?

Get specific IAA requirements

Project scale above the screening threshold?

Project located in a critical area?

IAA funding, or any other special circumstances?

NO

NO

NO

NO

NO

YES

YES

No initial environmentalexamination

required (IEE)

YES

Project Screening Flow ChartProject Screening Flow Chart

Will the project be funded by an IAA?

YES

YES

NO


What is an activity?

ACTIVITY:market access road rehabilitation

ACTIONS:Survey, grading, culvert construction, compaction, etc. . .

a desired accomplishment or output

E.g.: a road, seedling production, or river diversion to irrigate land

An activity is:

Accomplishing an activity requires a set of actions

We are discussing the impacts of activities.What are activities?

A project or program may consist of many activities


The EIA process

• Scope• Evaluate baseline situation• Identify & choose alternatives• Identify and characterize potential

impacts of proposed activity and each alternative

• Develop mitigation and monitoring • Communicate and document

Phase I:Initial inquiries

Phase II:Full EIA study (if needed)

Our focus!

•Understand proposed activities

•Screen

•Conduct preliminary assessment (if needed)


Phase 1 of the EIA Process

Screen the activity

Based on the nature of the activity what

level of environmental

review is indicated?

Conduct a Preliminary Assessment

A rapid, simplified EIA study using simple tools

(e.g. the USAID IEE)

ACTIVITY IS OF MODERATEOR UNKNOWNRISK

SIGNIFICANT ADVERSE IMPACTS

POSSIBLE

SIGNIFICANT ADVERSE IMPACTS

VERY UNLIKELY

ACTIVITY IS LOW RISK (Of its nature, very unlikely to have significant adverse impacts)

ACTIVITY IS HIGH RISK (Of its nature, likely to have significant adverse impacts)

Phase IIPhase IUnderstand proposed activity

Why is the activity being proposed?

What is being proposed?

BEGIN FULL EIA

STUDY

STOP the EIA process


Phase 1 of the EIA process:

Understand the proposed activity

Understand the proposed

activities



ALL EIA processes begin with understanding WHAT is being proposed, and WHY.The question “WHY IS THE ACTIVITY BEING PROPOSED?Is answered with the development objective (D.O.).

“If we don’t understand it, we can’t assess it!”

“building a road”

“increasing access to markets”

We must understand the Development Objective to identifyenvironmentally sound alternatives

Not a D.O.!

Is a D.O.



Understand the proposed activity

Understand the proposed

activities



Once we understand the development objective, we must fully understand WHAT is being proposed.

“Oops. I forgot about the borrow

pit.”

This includes associated actions!

PRIMARY ACTIVITY: construction of diversion dam & irrigation canal

ASSOCIATED ACTIONS:• Survey• negotiate land tenure• construct borrow pit• establish construction camp• construct temporary diversion structure

• dispose of soil, debris



Screen the activity

Screen each activity

Based on the nature of the activity, what


analysis is indicated?

SCREENING is the process of asking a very basic set of questions about the nature of activity. These questions:•do NOT require analysis.•do NOT require detailed knowledge about the proposed sites, techniques or methods

Example screening questions: Does the activity involve:

• Penetration road building?

• Large-scale irrigation?

• Introduction of non-native crop or agroforestry species?



Screen the activity

Screen each activity

Based on the nature of the activity, what


analysis is indicated?

screening classifies the activity into a RISK CATEGORY:

VERY LOW RISK

VERY HIGH RISK

MODERATE OR UNKNOWN RISK

EIA process ends

Do full EIA study

Do preliminary assessment

The outcome of the screening process

determines the next step in the EIA process



Screen the activity

Each donor agency and national EIA law has its own set of screening questions.

!

Screening is the topic of an upcoming

module



The Preliminary Assessment

Conduct a Preliminary Assessment

A rapid, simplified EIA study using simple tools

(e.g. the USAID IEE)

The purpose of a preliminary assessment is to provide documentation and analysis that:

Screening determines whether

the preliminary assessment is

necessary

!

• Allows the preparer to determine whether or not significant adverse impacts are likely

• Allows the reviewer to agree or disagree with the preparer’s determinations

• Sets out mitigation and monitoring for adverse impacts



The Preliminary Assessment

Typical Preliminary Assessment outline

1. Background (Development objective, list of activities)

2. Description of the baseline situation

3. Evaluation of potential environmental impacts

4. Mitigation & monitoring

5. Recommended Findings

For each activity it covers, a preliminary assessment has 3 possible findings:

•The project is very unlikely to have significant adverse impacts. (EIA process ends)

•With specified mitigation and monitoring, the project is unlikely to have significant adverse impacts

•The project is likely to have significant adverse impacts (full EIA study is required)


What is mitigation?

Mitigation is. . .The implementation of measures designed to reduce the undesirable effects of a proposed

action on the environment

Mitigation is the topic of an upcoming module!


To arrive at findings:Identify, Predict and Judge

Identify potential impacts

Judge the significance of

potential impacts

Predict potential impacts

Arriving at the FINDINGS in a preliminary assessment requires 3 steps:

Many resources describe the potential impacts of typical small-scale activities.

Determine which potential impacts are likely to become actual, and quantify these impacts to the extent possible.

1

2

3 Determine whether the predicted impacts are indeed significant! THIS WILL OFTEN DEPEND ON HOW EFFECTIVE THE PROPOSED MITIGATION MEASURES ARE!


Present tools to assist in identifying & predicting impacts

Discuss the factors involved in judging significance

Subsequent modules. . .


We only proceed to Phase II of the EIA process

if Phase I indicates that

a FULL EIA STUDY is required

!

Most small-scale activities do not require a full EIA study!



The Full EIA study

The full EIA study has very similar objectives and structure to a preliminary assessment.

However, the full EIA study differs in

important ways:

A formal scoping process precedes the study to ID issues to be addressed

Analysis of environmental impacts is much more detailed

Alternatives* must be formally defined. The impacts of each alternative must be identified & evaluated, and the results compared.

Public participation is usually required.

A professional EIA team is usually required.

!

!

!

*includes the project as proposed, the no-action alternativeat least one other real alternative

!



The Full EIA study

With a few additions, the basic outline of the preliminary assessment is the template for the steps involved in a full EIA study:

Scope

Evaluate baseline situation

Identify & choose alternatives

Identify and characterize potential impacts of proposed activity and each alternative

Compare alternatives

Develop mitigation and monitoring

1. Background (Development objective, list of activities)

2. Description of the baseline situation

3. Evaluation of potential environmental impacts

4. Mitigation & monitoring

5. Recommended Findings

Basic steps of the full EIA study

Co

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un

icate & D

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ut


In summary, The full EIA study is a far more significant effort than the preliminary assessment.

It is reserved for activities for which screening or the preliminary assessment shows that significant impacts are likely.


The Full EIA study


Who is involved in EIA?

Sponsor of the activity(usually commissions/conducts the EIA)

Regulatory agencies/Review authorities

Broad-based public

Public consultation is usually only REQUIRED for full EIA studies.

However, it is good practice for preliminary assessments because:

• Predicting impacts is FACILITATED by broad-based public consultation; Judging significance is very difficult without it.

• Transparency and accessibility require disclosure to stakeholders

Communities (men & women)Civil societyPrivate Sector


EIA is undertaken early enough to affect project design

Mitigation and monitoring developed in the EIA process is implemented.

Making EIA effective

To be an effective tool for ESD, EIA must be:a integral part of the

project development cycle.

Honest

Transparent & accessible

The full EIA study must consider real alternatives

Impacts must be assessed honestly.

The EIA products must be clear and accessible to key actors.

basic concepts for assessing environmental impacts

Documents

purpose of eia

process of eia

introduction of eia

smytheencap eaesd course

hksar encap eaesd course

aditi padhiencap eaesd

government planning

government officials