© SOAS | 3740

Centre for Development, Environment and Policy

P123

Environmental Assessment

Original version prepared by William Sheate, and updated for 2015 by

Rocio Diaz-Chavez and Frauke Urban

Environmental Assessment Module Introduction

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ABOUT THIS MODULE

This module is intended to provide a broad understanding of environmental impact

assessment (EIA) and strategic environmental assessment (SEA), from project level

to the most strategic decision-making. While the procedural coverage is focused on

the European Union and UK context, comparative analysis of other contexts is

broadened to cover developing country examples and other international

perspectives.

The module begins, in Part I, by examining the means of anticipating the

environmental impacts of a proposed action. Before the module goes into any detail,

Unit 1 provides essential background information on EIA including definitions, the

background and history of EIA, theoretical perspectives, and an overview of the

different stages of the actual EIA process. Unit 2 takes a similar approach for SEA,

with a particular focus on the energy sector as a case study. Unit 3 addresses

environmental assessment law, including the important links between EIA and SEA

law in the European Union, and international perspectives.

Part II focuses on procedures and methods for EIA and SEA. Units 4, 5, and 6,

examine key aspects of:

procedures and methods for EIA and SEA and

public involvement in EIA and SEA.

Part III of the module then indicates how impacts on specific environmental

parameters may be assessed at the project and strategic levels and the importance

of scale in environmental assessment. Units 7, 8, and 9, respectively, look at the

assessment of impacts upon the physical environment, for example, water, air, and

land, and ecology and humans.

Finally, Part IV addresses three aspects of environmental assessment that are

particularly important: the consideration of cumulative impacts, alternatives, and

quality assurance.

Throughout the module a number of case studies are used to illustrate various

aspects of the environmental assessment process in different contexts. These are

developed as the module proceeds through the units, but can also be reviewed, for

example, for revision, as stand-alone case studies.

Priority topics are environmental impact assessment (EIA), strategic environmental

assessment (SEA), procedures and methods for conducting EIA and SEA and the

assessment of environmental effects.

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STRUCTURE OF THE MODULE

Part I

This part comprises three units. Units 1 and 2 each provide an introduction to EIA

and SEA, respectively – their background and history, theoretical perspectives, and

illustrative examples. Unit 3 examines the issues of law in relation to environmental

assessment, covering key legislation of the European Union and relevant

international conventions. Challenges for EIA and SEA implementation are

considered, along with examples of case law to illustrate the problems that can arise

when things go wrong.

Part II

This part gets into the detail of how EIA and SEA are undertaken, the procedures

that need to be followed, and the appropriate methods and techniques employed at

project and strategic levels (Units 4 and 5). The importance of public participation

and engagement in environmental assessment processes is addressed in Unit 6 and

also how to go about developing a public engagement programme as part of EIA or

SEA.

Part III

This part focuses on the impacts that projects, plans, programmes, and actions can

have on different aspects of the environment: on the physical environment (Unit 7);

on ecology and landscape (Unit 8); and on human beings, including social and health

impacts.

Part IV

The concluding unit (Unit 10) explores some common issues across EIA and SEA that

present challenges in practical implementation and may give rise to legal (court)

action because they are at the heart of what environmental assessment is about:

cumulative impacts, consideration of alternatives, and quality assurance (in other

words, what makes for a good EIA or SEA process).

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WHAT YOU WILL LEARN

Module Aims

The module seeks to provide an integrated approach to Environmental Impact

Assessment (EIA) and SEA (Strategic Environmental Assessment), treating them as

part of the same spectrum of environmental assessment, while highlighting their

similarities and differences. It also provides an introduction to social impact

assessment and health impact assessment, both of which can be, and often are,

integrated into EIA or SEA. Sustainability assessment or appraisal (SA) and its

relationship to SEA, is also considered.

The specific aims of the module are:

To provide an understanding of the processes and techniques for assessing the

impacts of proposed actions on the environment, across a range of decision

levels.

To demonstrate the types of information required for assessing the impacts of

a proposal on specific environmental parameters.

To provide an understanding of the relationship between EIA and SEA/SA.

To provide a basis for the practical application of environmental assessment

skills.

Module Learning Outcomes

By the end of this module, students should be able to:

define environmental impact assessment (EIA) and strategic environmental

assessment (SEA), and describe and critically appraise the main stages of their

respective processes

describe and critically appraise how environmental assessment (EA) is

implemented in a range of countries

understand and interpret the relationships between EIA and SEA

apply a range of methods to various stages of the assessment process and

interpret the outcomes

understand how impacts on specific environmental parameters may be

assessed and the strengths and limitations of these methods

critique and apply environmental assessment skills in practical applications

critically assess EIA and SEA as practical planning decision support tools.

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ASSESSMENT

This module is assessed by:

• an examined assignment (EA) worth 40%

• a written examination worth 60%

Since the EA is an element of the formal examination process, please note the

following:

(a) The EA questions and submission date will be available on the Virtual Learning

Environment (VLE).

(b) The EA is submitted by uploading it to the Virtual Learning Environment.

(c) The EA is marked by the module tutor and students will receive a percentage

mark and feedback.

(d) Answers submitted must be entirely the student’s own work and not a product

of collaboration.

(e) Plagiarism is a breach of regulations. To ensure compliance with the specific

University of London regulations, all students are advised to read the

guidelines on referencing the work of other people. For more detailed

information, see the FAQ on the VLE.

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STUDY MATERIALS

Included in the module pack are the e-study guide memory stick, which includes

interactive case studies incorporating video material and documentation from real

case studies. A collection of key readings is provided as well as additional references

and links to websites for further information.

Textbooks

There are two textbooks for this module.

Glasson, J., Therivel, R. & Chadwick, A. (2012) Introduction to Environmental

Impact Assessment. 4th edition. London and New York, Routledge.

Sheate, W.R. (Ed.) (2010) Tools, Techniques & Approaches for Sustainability:

Collected Writings in Environmental Assessment Policy and Management.

Singapore, World Scientific.

Key Readings

These are drawn mainly from the textbooks, relevant academic journals and

internationally respected reports. They are provided to add breadth and depth to the

unit materials and are required reading as they contain material on which you may

be examined. Readings are supplied as digital copies and ebooks via the SOAS Online

Library. For information on how to access the Library, please see the VLE.

Case Studies

The following case studies are provided. They are referred to throughout the module

to illustrate various aspects of environmental assessment processes. Each case study

has a number of resource documents (eg CS5-Res1) associated with it which are

provided as PDF files alongside the case studies on your e-study guide.

CS1 Pulp Mills on the River Uruguay, Uruguay/Argentina (EIA)

CS2 Dams: China, Ethiopia (EIA)

CS3 Energy Sector: Hydropower, Montenegro; Energy National Policy Statements,

UK; Offshore Energy, Canada; Offshore Energy, UK (SEA)

CS4 Rail Transit O’ahu, Honolulu, Hawaii, USA (EIA)

CS5 Climate Change Adaptation Strategy, London, UK (SEA/SA)

CS6 Mersey Gateway Bridge, UK (EIA)

CS7 Spatial Planning, England, UK (SEA/sustainability appraisal)

CS8 Via Baltica, Poland (EIA)

Further Readings

These texts are not always provided, but weblinks have been included where

possible. Further Study Materials are NOT examinable; they are included to enable

you to pursue your own areas of interest.

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Multimedia

Students are encouraged to look at these and use the VLE to discuss their

implications with other students and the tutor.

The following video is also available on your e-study guide.

William Sheate, Ric Eales, Clare Twigger-Ross and Laurence

Smith (2010) Environmental Assessment in Practice.

Video recorded on 8 December 2010 at SOAS. William, Ric and Clare

speak to Laurence about their professional experiences in the field

of environmental assessment.

References

Each unit contains a full list of all material cited in the text. All references cited in the

unit text are listed in the relevant units. However, this is primarily a matter of good

academic practice: to show where points made in the text can be substantiated.

Students are not expected to consult these references as part of their study of this

module.

Self-Assessment Questions

Often, you will find a set of Self-Assessment Questions at the end of each section

within a unit. It is important that you work through all of these. Their purpose is

threefold:

to check your understanding of basic concepts and ideas

to verify your ability to execute technical procedures in practice

to develop your skills in interpreting the results of empirical analysis.

Also, you will find additional Unit Self-Assessment Questions at the end of each

unit, which aim to help you assess your broader understanding of the unit material.

Answers to the Self-Assessment Questions are provided in the Answer Booklet.

In-text Questions

This icon invites you to answer a question for which an answer is

provided. Try not to look at the answer immediately; first write down

what you think is a reasonable answer to the question before reading

on. This is equivalent to lecturers asking a question of their class and

using the answers as a springboard for further explanation.

In-text Activities

This symbol invites you to halt and consider an issue or engage in a

practical activity.

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Key Terms and Concepts

At the end of each unit you are provided with a list of Key Terms and Concepts which

have been introduced in the unit. The first time these appear in the study guide they

are Bold Italicised. Some key terms are very likely to be used in examination

questions, and an explanation of the meaning of relevant key terms will nearly

always gain you credit in your answers.

Acronyms and Abbreviations

As you progress through the module you may need to check unfamiliar acronyms

that are used. A full list of these is provided for you at the end of the introduction.

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TUTORIAL SUPPORT

There are two opportunities for receiving support from tutors during your study.

These opportunities involve:

(a) participating in the Virtual Learning Environment (VLE)

(b) completing the examined assignment (EA).

Virtual Learning Environment (VLE)

The Virtual Learning Environment provides an opportunity for you to interact with

both other students and tutors. A discussion forum is provided through which you

can post questions regarding any study topic that you have difficulty with, or for

which you require further clarification. You can also discuss more general issues on

the News forum within the CeDEP Programme Area.

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IEMA – INSTITUTE OF ENVIRONMENTAL MANAGEMENT & ASSESSMENT

IEMA is the leading professional body that can support your studies and professional

practice relating to this module. It is the professional membership body for

promoting best practice standards in environmental management, auditing and

assessment for all industry sectors. The Institute offers ongoing support to

environmental professionals and aims to promote sustainability through improved

environmental practice and performance. With a membership over 15 000 individual

and corporate members based in 83 countries, IEMA is the leading international

membership-based organisation dedicated to the promotion of sustainable

development, and to the professional development of individuals involved in the

environmental profession, whether they work in the public, private or non-

governmental sectors.

IEMA is also the leading provider of Environmental Impact Assessment (EIA) and

Strategic Environmental Assessment (SEA) quality assurance services in the UK. As a

not for profit organisation, the advice IEMA offers reflects an objective of promoting

best practice in environmental assessment and management.

Resources and benefits for members include the following:

Published by IEMA 20 times per year, The Environmentalist magazine is a

leading UK environmental publication. It is sent, free of charge, to all members

and to an increasing subscriber base. The magazine contains a wide range of

up-to-date information, best practice, policy changes and news on

environmental issues.

The IEMA 'Perspectives' series provide detailed guidance on what constitutes a

good practice approach to Environmental Assessment. The first in the series,

Guidelines for Landscape and Visual Impact Assessment, was published in

2002. This has been followed by Guidelines on Participation in Environmental

Decision Making and Guidelines for Environmental Impact Assessment. The

Practitioner best practice series covers a further range of environmental topics

in detail, and is a source of practical guidance for environmental professionals.

Attendance at regional and national events, workshops, professional indemnity

insurance, website, special interest groups, international networks and career

information for individuals looking to work in the environment.

As a professional body for practitioners involved in environmental management

and assessment, the Institute also supports members by providing recognition

of knowledge and skills through professional qualifications and through

provision of IEMA Approved Training Courses. IEMA’s portfolio of training

courses is always expanding to ensure that new developments in the

environmental field are provided for.

Support for Continuing Professional Development (CPD) is also an essential way to

keep up to date with the latest issues and developments in the environmental arena.

CPD usually takes the form of training courses and workshops but can sometimes

mean individual study and research. Professional bodies like IEMA ask members with

professionally recognised levels of experience to keep a record of their CPD to

maintain their status and high standards of competence throughout the industry.

CPD workshops are a great way of keeping abreast of best-practice, fast-moving

legislation changes and new procedures in an educational and inclusive environment.

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INDICATIVE STUDY CALENDAR

Part/unit Title Study time (hours)

PART I INTRODUCTION

Unit 1 Introduction to Environmental Impact Assessment (EIA) 10

Unit 2 Introduction to Strategic Environmental Assessment

(SEA)

10

Unit 3 Environmental Assessment Law 15

PART II PROCEDURES AND METHODS

Unit 4 EIA Procedures and Methods 15

Unit 5 SEA Procedures and Methods 15

Unit 6 Public Participation in Environmental Assessment 10

PART III ASSESSMENT OF EFFECTS

Unit 7 Impacts upon the Physical Environment: Water, Air,

and Land

20

Unit 8 Assessment of Ecological and Landscape Impacts 15

Unit 9 Assessment of Impacts on People 15

PART IV CONCLUSION

Unit 10 Challenges for Environmental Assessment:

(i) Cumulative Effects (ii) Consideration of Alternatives

(iii) Quality Assurance

10

Examined Assignment

Check the VLE for submission deadline

15

Examination entry July

Revision and examination preparation Jul–Sep

End-of-module examination Late Sep–

early Oct

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ACRONYMS AND ABBREVIATIONS

AA appropriate assessment

AEAM (the) adaptive environmental assessment and management model

AoSs appraisals of sustainability

BAILII British and Irish Legal Information Institute

BAT best available techniques

BMP Bureau of Minerals and Petroleum

BOD biological oxygen demand

BPEO best practicable environmental option

BPM best practical means

CBD convention on biological diversity

CCAS climate change adaptation strategy

CEA Cumulative Effects Assessment

CEAA Canadian Environmental Assessment Agency

CEQ Council on Environmental Quality (USA)

CLG Communities and Local Government (Department of)

CLG Department for Communities and Local Government

COWI a northern European consulting group

CPRE Council for the Protection of Rural England

DAC Development Assistance Committee

DECC Department of Energy and Climate Change

DEFRA Department for Environment, Food and Rural Affairs (of the United

Kingdom)

DfT Department for Transport

DG Directorate General (of the European Commission)

DMOZ Open Directory Project – an online portal to other web links

DMRB design manual for roads and bridges

DPDs development plan documents

EA environmental assessment

EBRD European Bank for Reconstruction and Development

EC European Commission

ECJ European Court of Justice

EEC European Economic Community

EIA environmental impact assessment

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EIS environmental impact statement (=EIA Report)

ELC The European Landscape Convention

EMP environmental management plan

EPA Environmental Protection Act

EPMG Environmental Policy and Management Group

ER environmental report

ERTDI Environmental Research, Technological Development and Innovation

EU European Union

GCVSDPA Glasgow and the Clyde Valle Strategic Development Planning Authority

GIS geographical information system

GRDP Greening Regional Development Programmes Network

HIA health impact assessment

HRA habitats regulation assessment

IAIA International Association for Impact Assessment

IAP2 International Association for Public Participation

IEEM Institute of Ecology and Environmental Management

IEMA The Institute of Environmental Management and Assessment

IIED International Institute for Environment and Development

IPC integrated pollution control

IPIECA the International Petroleum Industry Environmental Conservation

Association

IPPC integrated pollution prevention and control

IUCN International Union for Conservation of Nature

LAAPC local authority air pollution control

LCA lifecycle assessment

MCA multi-criteria analysis

MEA millennium ecosystem assessment

MENA Middle East and North Africa

MMSD Mining, Minerals and Sustainable Development

NEA National Ecosystem Assessment

NEPA national environmental policy act

NERI National Environmental Research Institute

NGO non-governmental organisation

NHS National Health Service

NPSs national policy statements

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NSIPs nationally significant infrastructure projects

ODPM Office of the Deputy Prime Minister

OECD Organisation for Economic Co-operation and Development

PM-10 particulate matter < 10µm in size (a particular pollutant)

PPG planning policy guidance

PPP policy, plan, and programme

PPs plans and programmes

REC Regional Environmental Center

RSPB The Royal Society for the Protection of Birds

RSSs regional spatial strategies

SA sustainability appraisal

SEA strategic environmental assessment

SIA social impact assessment

SPDs supplementary planning documents

SSSI special sites of scientific interest

STEEP socio-cultural, technological, economic, environmental, and political

SWOT strengths, weaknesses, opportunities, threats

TOR terms of reference

UK United Kingdom

UKCIP UK Climate Impacts Programme

UN United Nations

UNDP United Nations Development Programme

UNECE United Nations Economic Commission for Europe

UNEP United Nations Environment Programme

USA United States of America

USAID United States Agency for International Development

WCED World Commission on Environment and Development

WHO World Health Organization

WSSD World Summit on Sustainable Development

WWF Worldwide Fund for Nature

Unit One: Introduction to Environmental Impact

Assessment (EIA)

Unit Information 3

Unit Overview 3 Unit Aims 3

Unit Learning Outcomes 3 Unit Interdependencies 3

Key Readings 4

Further Readings 4

References 5

Multimedia 7

Case Study 7

1.0 Introduction to EIA 8

Section Overview 8

Section Learning Outcomes 8

1.1 What is environmental impact assessment? 8

1.2 Assessing environmental change 9 1.3 Background and history of EIA 10

1.4 EIA theory and decision-making 11 1.5 Key issues in EIA 12

1.6 Overview of legislation for EIA 13

1.7 Overview of the stages of the EIA process 14 Section 1 Self-Assessment Question 18

2.0 Stages of the EIA process 19

Section Overview 19

Section Learning Outcomes 19

2.1 Screening 19

2.2 Scoping 21

2.3 Baseline study 23

2.4 Impact prediction 25 2.5 Impact assessment 25

2.6 Mitigation 26 2.7 Review 27 2.8 Follow up 27

Section 2 Self-Assessment Question 29

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3.0 Characteristics of an effective EIA system 30

Section 3 Self-Assessment Question 31

Unit Summary 32

Unit Self Assessment Question 33

Key Terms and Concepts 34

Environmental Assessment Unit 1

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UNIT INFORMATION

Unit Overview

This unit provides an overview on the subject of environmental impact assessment

(EIA) and its main stages. First, the unit provides an introduction to the concepts

upon which EIA is founded including its definition, history, and the key issues

associated with EIA. The unit then goes on to look at the main stages that occur

when conducting an EIA, from screening through to mitigation and follow up. All the

information provided in this unit is essential to the basic understanding of the

systems and procedures of EIA.

Unit Aims

To introduce the subject of environmental impact assessment.

To provide a clear description of the overall EIA process.

To provide leading examples of EIA processes adopted in the public (including

development agencies) and private sectors.

Unit Learning Outcomes

By the end of this unit, students should be able to:

define environmental impact assessment and explain why and when it was first

developed

understand and explain the different stages of the EIA process

assess critically the commonalities and differences in EIA processes as applied

in different sectors.

Unit Interdependencies

Unit 3 Environmental Assessment Law, which considers the legal requirements

underpinning the EIA process.

Unit 4 EIA Procedures and Method, which provides more detail on the specific

procedures and methods involved in EIA.

Unit 6 Public Participation in Environmental Assessment, which explains public

participation and the different methods used for it.

Unit 10 Challenges for Environmental Assessment, which explores in more detail

certain aspects and key stages identified in this unit.

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KEY READINGS

Section 1

Glasson, J., Therivel, R. & Chadwick, A. (2012) Introduction and principles. In:

Introduction to Environmental Impact Assessment. 4th edition. London and New

York, Routledge. pp. 3–27.

This reading provides background to this unit.

Section 2

Morrison-Saunders, A., Marshall, R. & Arts, J. (2007) EIA Follow-Up International

Best Practice Principles. International Association for Impact Assessment (IAIA),

Fargo, USA. Special Publication Series No: 6.

This short publication provides international guidelines for undertaking EIA follow-up.

Section 3

IAIA. (1999) Principles of Environmental Impact Assessment Best Practice.

International Association for Impact Assessment (IAIA), Fargo, USA in

cooperation with Institute of Environmental Assessment (IEA), Lincoln, UK.

This short publication outlines broadly accepted international principles of best practice for all

forms of impact assessment.

FURTHER READINGS

Morrison-Saunders, A. & Arts, J. (Eds.) (2004) Assessing Impact: Handbook of EIA

and SEA Follow-up. London, Earthscan.

Nielsen, E.H., Christensen, P. & Kørnøv, L. (2005) EIA screening in Denmark: a new

regulatory instrument? Journal of Environmental Assessment Policy and Management,

7 (1), 35–49.

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REFERENCES

Barnes, J.L. & Lemon, D. (1999) Life-of-project environmental management strategy:

case study of the Confederation Bridge Project, Canada. Journal of Environmental

Assessment Policy and Management, 1 (4), 429–439. (In: Sheate, W.R. (Ed.) (2010)

Tools, Techniques & Approaches for Sustainability: Collected Writings in

Environmental Assessment Policy and Management. Singapore, World Scientific. pp.

75–85.)

Cashmore, M. (2004) The role of science in environmental impact assessment:

process and procedure versus purpose in the development of theory. Environmental

Impact Assessment Review, 24 (4), 403–426.

Equator Principles. (2013) The ‘Equator Principles’. June 2013. A Financial Industry

Benchmark for Determining, Assessing and Managing Environmental and Social Risk

in Projects.

Available from: http://www.equator-

principles.com/resources/equator_principles_III.pdf [Accessed 26 June 2014]

Holland, M.C. (1985) Judicial review of compliance with the national environmental

policy act: an opportunity for the rule of reason. Boston College Environmental Affairs

Law Review, 12, 743.

IAIA. (1999) Principles of Environmental Impact Assessment Best Practice.

International Association for Impact Assessment (IAIA), Fargo, USA in cooperation

with Institute of Environmental Assessment (IEA), Lincoln, UK.

Available from: http://www.iaia.org/publicdocuments/special-

publications/Principles%20of%20IA_web.pdf [Accessed 26 June 2014]

IAIA. (2009) What is Impact Assessment? International Association for Impact

Assessment (IAIA), Fargo, USA.

Available from: http://www.iaia.org/publicdocuments/special-

publications/What%20is%20IA_web.pdf [Accessed 26 June 2014]

Lawrence, D. (2001) Choices for EIA process design and management. Journal of

Environmental Assessment Policy and Management, 3 (4), 437–464. (In: Sheate,

W.R. (Ed.) (2010) Tools, Techniques & Approaches for Sustainability: Collected

Writings in Environmental Assessment Policy and Management. Singapore, World

Scientific. pp. 33–60.)

Malok, A. (2009) How Landfills are Built and Operated. [Video]. New Jersey News

Videos, The Star Ledger Videos, NJ.com. Duration 3:20 minutes.

Available from: http://videos.nj.com/star-

ledger/2009/08/how_landfills_are_built_and_op.html [Accessed 26 June 2014]

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McHarg, I.L. (1969) Design with Nature. American Museum of Natural History, New

York, Doubleday/Natural History Press.

Morrison-Saunders, A. & Arts, J. (Eds.) (2004) Assessing Impact: Handbook of EIA

and SEA Follow-up. London, Earthscan.

Morrison-Saunders, A., Marshall, R. & Arts, J. (2007) EIA Follow-Up International Best

Practice Principles. International Association for Impact Assessment (IAIA), Fargo,

USA. Special Publication Series No: 6.

Available from: http://www.iaia.org/publicdocuments/special-publications/SP6.pdf

[Accessed 26 June 2014]

Nielsen, E.H., Christensen, P. & Kørnøv, L. (2005) EIA screening in Denmark: a new

regulatory instrument? Journal of Environmental Assessment Policy and Management,

7 (1), 35–49.

Nilsson, M. & Dalkmann, H. (2001) Decision-making and strategic environmental

assessment. Environmental Assessment Policy and Management 3(3) 305–327. (In:

Sheate, W.R. (Ed.) (2010) Tools, Techniques & Approaches for Sustainability:

Collected Writings in Environmental Assessment Policy and Management. Singapore,

World Scientific. pp. 197–219.)

Owens, S., Rayner, T. & Bina, O. (2004) New agendas for appraisal: reflections on

theory, practice, and research. Environment and Planning A, 36 (11), 1943–1959.

Sadler, B. (1996) Environmental Assessment in a Changing World: Evaluating

Practice to Improve Performance. Canadian Environmental Assessment Agency and

International Association for Impact Assessment. International Study of the

Effectiveness of Environmental Assessment.

Sheate, W.R. & Partidario, M.R. (2010) Strategic approaches and assessment

techniques –potential for knowledge brokerage towards sustainability. Environmental

Impact Assessment Review, 30 (4), 278–288.

UNEP. (1987) 14/25. Environmental Impact Assessment. [Online]. Goals and

Principles of EIA. United Nations Environment Programme (UNEP).

Available from:

http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=100&ArticleI

D=1658 [Accessed 26 June 2014]

US Government. (1969) Summary of the National Environmental Policy Act 42 U.S.C.

§4321 et seq. (1969). [Online]. United States Environmental Protection Agency

(EPA).

Available from: http://www2.epa.gov/laws-regulations/summary-national-

environmental-policy-act [Accessed 26 June 2014]

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Weston, J. (2004) EIA in a risk society. Journal of Environmental Planning and

Management, 47 (2), 313–325.

Wood, C. (2003) Environmental Impact Assessment; A Comparative Review. London,

Pearson.

MULTIMEDIA

Malok, A. (2009) How Landfills are Built and Operated. [Video]. New Jersey News

Videos, The Star Ledger Videos, NJ.com. Duration 3:20 minutes.

Available from: https://www.youtube.com/watch?v=uP9Tcf0CaV0 [Accessed 28

October 2015]

CASE STUDY

Case Study 4 Honolulu Rail Transit.

Section 4.2 is relevant to this unit.

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1.0 INTRODUCTION TO EIA

Section Overview

To provide an introduction to environmental impact assessment, its origins and

purpose.

Section Learning Outcomes

By the end of this section, students should be able to:

define EIA and associated terms

outline the different stages of the EIA process.

1.1 What is environmental impact assessment?

Essentially, environmental impact assessment (EIA) is an environmental decision

support tool, which provides information on the likely impacts of development

projects to those who take the decision as to whether the project should be

authorised. The purpose of an EIA is to determine the potential environmental,

social, and health effects of a proposed development, so that those who take the

decisions in developing the project and in authorising the project are informed about

the likely consequences of their decisions before they take those decisions and are

thereby more accountable. It is intended to facilitate informed and transparent

decision-making while seeking to avoid, reduce or mitigate potential adverse impacts

through the consideration of alternative options, sites or processes.

EIA forms part of the spectrum of environmental assessment (EA) processes.

Whilst EIA relates to specific projects, EA is a generic term, which also incorporates

strategic environmental assessment (SEA) of policies, plans, and programmes,

and other forms of assessment. The distinction between these processes is

highlighted in the definitions provided below.

Definitions

There are a number of definitions of environmental assessment, EIA and SEA. Just a

sample is given here.

Environmental Impact Assessment (EIA) is a systematic and integrative process

for considering possible impacts prior to a decision being taken on whether or not a

proposal should be given approval to proceed (Wood, 2003).

Strategic Environmental Assessment (SEA) is a process of prior examination

and appraisal of policies, plans, and programmes and other higher level or pre-

project initiatives (Sadler, 1996).

It is important to note that the terms defined above have differing interpretations

and meanings in different countries, and that EIA and EA are often used

interchangeably. In the UK, for example, the term EA has often been used to

describe project-level assessment. However, for the purposes of this unit the

definitions and distinctions introduced above are used.

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The objective of EIA is not to force decision-makers to adopt the least

environmentally damaging alternative, but rather to make explicit the environmental

impact of the development, so that the environment is taken into account in

decision-making. EIA has been regarded as both a science and an art, reflecting the

technical aspects, such as impact identification and prediction, as well as the

evaluation, management, and presentation of information. Before looking at EIA in

more detail, it is worth looking at the nature of environmental change that needs to

be considered to provide a context.

1.2 Assessing environmental change

Even without the influence of humans, the environment undergoes continual change.

Some of these changes take place over timescales of thousands of years, for

example, the last Ice Age continued for about 10 000 years. Geological time, the

timescale in which we can see the formation of mountains or the movement of

continents, spans millions of years. Other processes, such as the siltation of lakes,

take place over hundreds of years. Other natural changes take place over decades,

for example, successional changes when grassland is colonised by and gives way to

woodland. Superimposed upon these are environmental changes induced by human

activities, such as the combustion of fossil fuels, deforestation, and the intensification

of agriculture.

Decisions on whether development goes ahead or not may involve trade-offs

between an environment, which is considered to be desirable and healthy, 'quality of

life' issues, and economic gain. Whilst it may not resolve such issues, EIA aims to

make explicit to society what the consequences of such trade-offs might be and so

ensure decision-makers are more accountable for their decisions.

Prediction of environmental impacts resulting from human actions is a complex

exercise. As natural and physical environments vary with time, it may not be

straightforward to distinguish between human-induced impacts, and changes that

are occurring naturally. Furthermore, it may not be easy to ascertain the current

situation, much less to assess natural trends and project these into the future.

Uncertainty and its management are a critical part of impact prediction and

evaluation in EIA.

Perceptions of environmental change will vary between different countries, and

within different sectors of a community. Where poverty is widespread and large

numbers of people suffer from a lack of food, shelter, healthcare, and education,

environmental concerns may be a low priority. Degradation of the environment may

be tolerated if it is considered to reduce poverty through the creation of employment,

wealth or food. On the other hand, some people living in apparent poverty may live

in close proximity to, and in harmony with, their local environment. The purpose of

EIA is to seek to develop projects and other actions which contribute to economic

development and human well-being without damaging the environment.

Typical environmental consequences of ill-planned projects within developing

countries include soil erosion, desertification, and the spread of water-borne

diseases, as projects will often involve the clearing of land, diversion of water or the

creation of new water bodies. Failure to take into account social structure during, for

instance, the resettlement of local people can result in the erosion of the prevailing

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social organisation and traditions of a community. Whilst it is clear that decisions will

often be made on the basis of the economic value of a project, it is now widely

accepted that development can be planned to make better use of environmental

resources and to reduce or avoid the environmental degradation experienced in the

past.

Environmental problems in the developing world are often linked to unbalanced or

inappropriate development. The need for EIA is great, but the resources and

availability of practitioners to undertake surveys and EIAs may be limited. A principal

aim of many development agencies is to encourage projects at a local level, which

can be sustained, at least in part, by renewable local resources. Better-adapted

projects are more apt to engender broader public support and to cause less social

displacement than a few large, centralised projects. EIA forms part of the planning of

such environmentally sound development.

Where developing countries may suffer from poverty then, ironically, industrialised

countries may suffer from affluence. The problems faced by industrialised countries

relate to the massive and mounting demands for energy and water by industry and a

consumer society. Planning and management of land are important in containing

urban sprawl and siting development to preserve remaining wilderness areas and the

benefits these provide. Sophisticated pollution control mechanisms are often

employed in developed countries to maintain the quality of the environment;

however, the production of newly developed chemicals and technologies has

introduced new environmental hazards and uncertainties. In addition, the social

ramifications of development are not confined to developing countries; urban

motorways or railways, for instance, may sever established communities.

1.3 Background and history of EIA

Many of the more advanced planning systems around the world have considered the

issue of a development's impacts upon the environment in one form or another. For

instance, in 1947 in the United Kingdom (UK), the first Town and Country Planning

Act enabled the local planning authority to take environmental factors into

consideration in sanctioning development proposals. However, no formal mechanism

was enacted to provide for this and the manner in which this was done was left open

to the authorities.

In the United States of America (USA), as early as 1872, national parks were

established to preserve wildernesses and natural ecosystems. Increasingly, too, the

possible adverse effects of water resource and highway development were realised

and steps were taken to investigate their importance during the planning stages of

such proposals.

During the 1960s, the public increasingly became concerned that environmental

quality could not be adequately maintained by market-orientated industries or single-

issue regulating agencies who dealt with only one aspect of the environment.

Although regulations exist to examine specific aspects of development, such as

pollution control legislation, some mechanism was required to ensure that all major

development proposals were subjected to an examination of their environmental

consequences.

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Traditionally, economic evaluation techniques have been employed to assess the

costs and benefits associated with a specific development project or proposal.

However, such techniques have rarely been able to consider environmental impacts

effectively. A 'price tag' is difficult to place on, for instance, long-term environmental

degradation. Over-reliance upon the outcome of what may be flawed calculations

means that economic techniques can become the decision-maker, rather than an aid

to decision-making. The need for a more flexible, non-monetary means of

representing environmental gains and losses was identified, and in the USA in the

late 1960s this led to the first introduction of Environmental Impact Assessment

(EIA).

1.4 EIA theory and decision-making

In recent years there has been a greater interest in developing the theory

underpinning EIA, which began as a very practical tool to aid decision-making. Since

its origins in the 1960s EIA has had to adapt to different contexts, most notably the

concept of sustainable development which came to prominence after EIA had already

started being used. Today, we tend to see EIA as one of the suite of tools that help

support more sustainable decision-making, but there is a wide range of views as to

how effective it can be from a theoretical point of view.

Broadly speaking EIA arose out of the natural science disciplines, particularly in the

ecology field. Early writers such as McHarg (1969) referred to the need to ‘design

with nature’ and EIA was seen as a way in which development projects could be

developed with the aim of designing out as far as possible the worst effects on the

environment. And EIA was very much seen as a way of elevating the environment in

decision-making which had traditionally been dominated by economic considerations.

However, as time has gone on and environmental assessment has broadened its

application around the world, and its influence has stretched into the more strategic

arena of plans and policies (through SEA), so social scientists have taken an interest

in it, often highly critical of the scientific, ‘rationalist’ model out of which EIA has

evolved (see for example, Weston, 2004; Cashmore, 2004); rationalist in the sense

that – so the argument goes – if you provide better and more information to the

decision-maker then they will make a more rational decision because they will be

better informed. But we all know that, in reality, decisions about development are

not made solely – or in some cases even at all – on a rational basis. Decisions are

based on many considerations, and are often highly political (Lawrence, 2001;

Nilsson & Dalkmann, 2001 – Chapters 2 and 10 respectively, in Sheate 2010).

However, that argument can sometimes overlook the wider value of the process of

EIA; EIA is not just about its immediate outcome (whether it influences the decision

to give consent or not) or the environmental impact statement (EIS) that is

produced, but the process of engaging with stakeholders that EIA engenders and the

potential for dialogue created may have greater value (Sheate & Partidario, 2010;

Owens et al, 2004).

Why might theory be important? Well, theoretical models and understanding help in

refining and developing practice – there should be an ongoing iteration between

theories and practice so that theory is developed from, and tested with, observation,

and practice is informed by maturing theoretical ideas. For example, how best to

engage local communities in decision-making can be informed by understanding

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different theories of communication and power relations between stakeholders. No

one theory will hold the answers (they are theoretical after all), but the discussion

among the theorists can help to identify issues that should be taken into account

when designing good public engagement practices as part of EIA, and issues that can

be tested in practice.

1.5 Key issues in EIA

In order to identify the likely consequences of development, a series of steps must

be undertaken to ensure that issues are approached in a systematic and rational

way. These stages form what is known as the EIA process. The process is iterative,

which means that it is not linear, but stages in the process recur and feed back into

the process and the design of the project as new information is gathered. There are a

number of key issues which run through EIA in all countries and which are essential

components of the process, and which are highlighted below.

When is EIA required?

EIA is required for all projects that have been identified as likely to have a significant

effect upon the environment. As you can probably imagine, defining what is

'significant' is not a simple task. The approaches used in different countries are

outlined later.

When does EIA start?

To be effective, EIA should start early in the planning of a project in order materially

to influence the design and location. There are a number of advantages and

disadvantages of undertaking EIA at an early stage. Advantages include fewer costs

associated with rethinking a project, or delays resulting from an attempt to mitigate

impacts late in the design process. The project is more likely to be accepted if it has

dealt with the concerns of the local people at an early stage; EIA can be seen as

aiding good environmental public relations. Cost-effective design, taking the

environment into account, often means that the overall project development costs

are reduced.

Disadvantages of undertaking EIA early in the development process include the

difficulty of assessing the impacts of a project which is not fully designed. It may be

difficult to predict the costs of EIA, and indeed the project, when the final outcome is

unknown as a result of not knowing what effects the consideration of the

environment may have on the project.

What should be covered in an EIA?

It is important that the number of impacts considered in an EIA is reduced to a

manageable number of key issues at an early stage. This helps to direct resources

towards addressing important issues, which are of concern to involved parties and

the wider public. Examples of the types of issues, which may be included, are

pollution of watercourses, visual intrusion in a sensitive landscape, or the destruction

of a habitat or area important for its cultural heritage.

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Who carries out EIAs?

This varies in different counties. Frequently, it is the developer or environmental

consultants acting on behalf of the developer who carry out EIAs. However, in other

cases, the EIA can be commissioned by the decision-making authority or undertaken

by an independent body.

What about the public?

Consultation and participation have formed an integral part of the EIA process since

its inception and most EIA systems make some provision for the involvement of the

public. The public have a democratic right to be informed about projects that will

affect the environment in which they live and to voice their concerns. There is

growing acceptance that increased consultation and participation can produce

significant benefits for both the project proponent and those affected.

How are the results of the EIA presented?

The environmental impact statement (EIS) is the document that is presented to

the decision-making body, alongside the application for development consent. It

contains the environmental information and conclusions of the assessment and

should be presented in a clear, unbiased manner, enabling non-specialists to

determine what issues are at stake. A non-technical summary is often produced

for wider distribution. Public meetings, exhibitions, and displays also provide a

means of disseminating information to the public.

1.6 Overview of legislation for EIA

EIA has been implemented through a diverse range of legal mechanisms around the

world. The first comprehensive legislation for EIA came into force on 1 January 1970

in the United States of America by the National Environmental Policy Act (NEPA)

1969 (US Govt., 1969). The USA sought to reverse what was a 'clear and intensifying

trend towards environmental degradation' (Holland, 1985). In brief, there are three

main elements to the legislation:

a general policy for the environment

the requirement for the preparation of an EIS for 'major federal actions

significantly affecting the quality of the human environment' (see 1.6.1, below)

the establishment of the Council on Environmental Quality (CEQ) to administer

the legislation and to uphold the quality of EISs.

The use of EIA to overcome the difficulties surrounding the environmental appraisal

of development projects was seen to be a success, despite initial problems with

litigation regarding the contents of the EIS and complaints about the unwieldy size of

many of the initial documents – 300 pages was considered to be an average length

during the first few years of NEPA. The EIS for an oil pipeline that crossed Alaska was

purported to be five feet high!

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1.6.1 Extract from the US National Environmental Policy Act 1969

Section 102 (2)

‘all agencies of the Federal Government shall ...

(c) Include in every recommendation or report on proposals for legislation and other

major Federal actions significantly affecting the quality of the human environment,

a detailed statement by the responsible official on

(iii) the environmental impact of the proposed project

(iv) any adverse environmental effects which cannot be avoided should the proposal

be implemented

(v) alternatives to the proposed action

(vi) the relationship between local short-term uses of man's environment and the

maintenance and enhancement of long-term productivity

(vii) any irreversible and irretrievable commitments of resources which would be

involved in the proposed action should it be implemented’

Source: US Government (1969)

In the years since 1970, a host of other countries have implemented EIA legislation.

Canada, Australia, the Netherlands, and Japan, for instance, adopted legislation in

1973, 1974, 1981, and 1984, respectively. A European Commission (EC) Directive

requiring EIA for certain types of projects was passed in 1985, giving Member States

of the European Community three years to implement its provisions. Developing

countries have been quick to appreciate that EIA procedures offer a chance to

incorporate environmental protection measures into decision-making, often in the

absence of a formal land-use planning system. Colombia became the first Latin

American country to introduce EIA procedures in 1974 and other developing

countries who have followed, include Congo, Thailand, the Philippines, Hungary, and

Poland. Of course, the provision of legislation doesn’t necessarily mean it is

implemented effectively! Unit 3 explains environmental assessment law in more

detail.

1.7 Overview of the stages of the EIA process

This section very briefly presents an overview of the stages of EIA to help place them

in the context of the whole process. More detail about each stage is provided later.

Screening

The EIA process begins from the very start of a project. Once a developer has

identified a need and assessed all the possible alternatives of project design and sites

to select a preferred alternative, two important questions must be asked: 'What

will be the effects of this development on the environment? Are those effects

significant?' If the answer to the second question is 'yes', an EIA may be required.

Answering this question is a process known as screening and can be an essential

first step into a formal EIA.

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The EIA process is, it must be stressed, iterative. This is demonstrated at this early

stage of screening where the requirement for a formal EIA and its associated cost

implications can lead the developer to reassess the project design with a view to

reducing the significant impacts to a level where an EIA is not legally required

(Nielsen et al, 2005).

Scoping

Where it is decided that a formal EIA is required, the next stage is to define the

issues that need to be addressed, that is, those impacts that have a significant effect

on the environment. This is known as scoping and is essential for focusing the

available resources on the relevant issues.

Baseline study

Following on from scoping, it is essential to collect all relevant information on the

current status of the environment. This study is referred to as a baseline study as it

provides a baseline against which change due to a development can be measured.

Impact prediction

Once the baseline study information is available, the important task of impact

prediction can begin. Impact prediction involves forecasting the likely changes in

the environment that will occur as a result of the development.

Impact assessment

The next phase involves the assessment of the identified impacts – impact

assessment. This requires interpretation of the importance or significance of the

impacts to provide a conclusion, which can ultimately be used by decision-makers in

determining the fate of the project application.

Mitigation

Frequently, the assessment of impacts will reveal damaging effects upon the

environment. These may be alleviated by mitigation measures. Mitigation involves

taking measures to reduce or remove environmental impacts and it can be seen that

the iterative nature of the EIA process is well demonstrated here. For example,

successful design of mitigation measures could possibly result in the removal of all

significant impacts; hence a new screening exercise would reveal that there might

have been no need to carry out a formal EIA had the mitigation measures been

included from the start.

Producing the environmental impact statement

The outcome of an EIA is usually a formal document, known as an environmental

impact statement (EIS), which sets out factual information relating to the

development, and all the information gathered relating to screening, scoping,

baseline study, impact prediction and assessment, mitigation, and monitoring

measures. It is quite common that a requirement of an EIS is that it also produces a

non-technical summary. This is a summary of the information contained within the

EIS, presented in a concise non-technical format, for those who do not wish to read

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the detailed documents. This is very important, as EISs are public documents

intended to inform the public of the nature and likely consequences of a development

in time to comment and/or participate in the final project design.

EIS review

Once the EIA is complete, the EIS is submitted to the competent authority. This is

the body with the authority to permit or refuse development applications. The

competent authorities are often in a position of having very little time to make a

decision and have a detailed and lengthy EIS to read through which may contain

errors, omissions, and developer bias. It is essential, therefore, that they review

the document. Review can take a number of forms: it may be purely an ad hoc

process whereby the document is read and commented on by decision-makers; it

can be more formalised and expert opinion is sought; or it can be through the use of

formal review methods designed specifically for the purpose. Basically, the review

process should enable the decision-maker to decide whether the EIS is adequate (eg

whether it is legally compliant), whether the information is correct, and whether it is

unbiased. If it is, they are then in a position to use the EIS as information to be

considered in determining whether the project should receive consent. This issue of

review is discussed in more detail elsewhere in this module.

The competent authority is now in possession of the information they require about

the possible effects of the development on the environment. They will use this

information, in combination with all of the other details and representations they

have received, to help them come to a decision.

Follow up

Follow up relates to the post-approval phase of EIA and encompasses monitoring of

impacts, the continued environmental management of a project, and impact

auditing. Without any form of follow up EIA would operate as a linear rather than an

iterative process, and an important step towards achieving environmental protection

will also have been omitted.

Follow up presents an opportunity both to control environmental effects and to learn

from the process and cause–effect relationships. Ideally, data generated by

monitoring and other aspects of follow up should be compared with the original

predictions and mitigation measures in the EIS to determine:

the accuracy of the original predictions

the degree of the deviation from the predictions

the possible reasons for any deviation

whether mitigation measures have achieved their objective of reducing or

eliminating impacts.

Information generated by this process can contribute to the improvement of future

EIA practice, for example, by enabling more accurate predictions to be made.

The diagram in 1.7.1 provides a summary of the basic EIA procedure.

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1.7.1 Key stages of EIA

Potential for feedback and learning

Potential for consultation/ participation

Formalrequirement

Source: unit author

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Section 1 Self-Assessment Question

uestion 1

Has your country/state introduced EIA on a legal basis? If possible, find out when the

legislation was enacted, who the government bodies responsible for taking the

decision are, and if there is a quality control body (equivalent of the American CEQ)

or some other way of ensuring quality control.

Q

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2.0 STAGES OF THE EIA PROCESS

Section Overview

To introduce the different stages of the EIA process in detail.

Section Learning Outcomes

By the end of this section, students should be able to:

describe in detail the different stages of the EIA process

recognise the importance of each stage of the EIA process.

2.1 Screening

EIA should be applied to those projects likely to have significant effects on the

environment. Frequently, however, little or no guidance is given on the interpretation

of the term 'significant'. Those responsible for screening are thus often left to make a

choice, based on their own interpretation of the likely effects of a project, and the

probable implications for the local community.

The consequences of the screening decision may be far-reaching and therefore a

correct decision on the significance of a development's effects is important.

The screening decision is very important to the developer. If an EIA is required, the

developer will have to pay for the work and will also have to wait until it is completed

before the application for planning permission itself will be considered. Because of

this, an indication from the appropriate authority that an EIA would be required can

frequently lead to design changes at an early stage in order to reduce the impacts to

a level where a formal EIA is no longer required. The screening decision will often

rest with the same body that will decide whether permission should be granted for

the particular development. This body will require basic details about the project: the

sort of processes that will be involved, the land use requirements, the infrastructure

requirements, raw materials needed and so on. This is all necessary to allow a

consideration of the likely significance of the development's impact on the

environment.

The methods adopted for screening vary between countries. Some rely on the

expertise of the decision-makers, whilst others have adopted specific methods to aid

the decision.

A screening decision is often a reasoned opinion based on certain criteria; important

ones are included in the table in 2.1.1, below.

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2.1.1 Examples of criteria used in screening

Screening Criteria

Magnitude The size or scale of the impact. For example, if the feeding

grounds of a population of rare birds are to be affected, the

proportion of the area affected must be defined.

Potential for cumulative impacts

Is it a one-off impact? Even if it is of low magnitude, a large

number of similar developments could lead to a severe cumulative

impact. Typical examples here include housing developments

where the same housing estate tends to be extended again and

again, thus creating a large urban area from an accumulation of

small housing projects.

Duration and frequency

Taking duration first, it is important to establish whether an

impact will be short or long term. For example, a one-off delivery

may cause inconvenience, but it may not be a major problem.

However, if deliveries occur every day for a year or longer, the

inconvenience may no longer be tolerable. The frequency of an

impact is also important, especially in relation to natural systems.

For example, a pollution episode into a river occurring once a

week may be of little consequence if the river then has time to

recover between each episode. If, on the other hand, the pollution

frequency is daily, the river may be badly affected.

Risks What is the probability of a serious event occurring and the

likelihood of exposure to the event? This should be looked at in

terms of the risk to human beings and the effects on

environmental systems.

Importance/ significance

Note that these two terms can be used synonymously. This can be

a very emotive criterion as it asks what sort of signficance we

attach to the issue under discussion. Views on this can vary

enormously: but significance is a function of the sensitivity and

geographical distribution (among other things) of the receptor —

whether that be people, wildlife or aspects of the environment.

Impacts on rare things will be more significant than on common

things, for example. Even a small magnitude impact may be

significant if the receptor is very rare or sensitive. Conversely, a

large magnitude impact may not be very significant if the receptor

is common and widely distributed.

Mitigation If the potential problems can be easily resolved, eg if temporary or

reversible, there may not be significant difficulties with the

development. This will be discussed in more detail later in this

unit.

Source: unit author

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2.2 Scoping

In the early days following the introduction of EIA to the USA, voluminous EISs were

produced which were designed more with a view to avoiding legal challenge than

meeting the objectives of NEPA (Wood, 2003). As a result, a formal scoping process

was introduced in 1978 and now is widely recognised as an important stage in EIA,

even if not formally required by some legal regimes.

The purpose of scoping is to focus the environmental impact issues to ensure that

useful and relevant results will be obtained and to determine the parameters and

boundaries of the assessment. The geographical area to be covered by the EIA may

need to be much greater than just the local area in which the project is to be located.

Ideally, a scoping exercise should involve public participation or consultation to

make sure that those issues that are important to the public are addressed and

considered at an early stage. This can allow for project design changes to

accommodate them. It will be seen in the discussion of procedures that public

consultation and participation frequently occur too late, if at all, with subsequent

adverse effects for the environment, or for the project itself. Scoping can be

considered as having three main components focusing on technical, political, and

social aspects.

Technical aspects: involves identifying issues that, in the perception of technical

experts, are important. For example, when considering a nuclear plant, the disposal

of radioactive water may be identified as an issue, and may be something that a

non-technical person would not think of.

Political aspects: concerns the perceptions of the decision-makers who will have

their own set of priorities, which are often political in derivation.

Social aspects: are the most difficult to deal with as this requires assessing the

views of the public to establish their concerns about a development. The table in

2.2.1 shows how such concerns might be categorised.

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2.2.1 Examples of social concerns considered in scoping

Social concerns

Explanation

Health and safety

Public concern about health may increase for any one particular

hazard as a longer period of time is considered, and decreases as wider

areas are considered. For example, consider air pollution from traffic:

people living near to a major road may be more concerned about the

risk to health from air pollutants (asthma, respiratory diseases etc)

than the general population of the country in which it is situated, and

concern about traffic and air pollution may be greater where exposure

is likely over many years than over just one year.

Threats to livelihood

This is concerned with the exploitation of natural resources. Effects

can be both direct and indirect. For example, if fish stocks dwindle as

a result of a proposal, this is a direct impact; however, there are also

indirect impacts on the fishermen, and further down the supply chain

to dealers and sellers.

Lifestyle modifications

The social make-up of a community may be based on a strong sense of

cultural traditions and relationships. An influx of people into an area

with different social values can erode these cultural traditions.

Loss of leisure activities

EIAs in developed countries will often emphasise recreational,

aesthetic, educational, and scientific issues to a greater extent than

those in developing countries. They are often associated with special

interest groups who lobby to get the issues considered.

Land-use conflict

This tends to be resource-orientated, for example, using flat land for

housing instead of other potential uses such as airfields.

Imbalances in resources

Supply and demand varies, as demand grows at a rate which threatens

supply, concern is expressed about the degradation of non-renewable

resources.

Source: unit author

Issues that have to be included in an EIA by law

At this stage it is useful to indicate the type of issues that need to be addressed in an

EIA. These can include a consideration of the likely effects of the development on

human beings, fauna, flora, air, soil, water, climate, landscape, and cultural heritage

amongst others. Obviously, the nature of the development and its location will make

some of these issues more important than others. Methods are available to help the

scoping of EIAs – these will be considered in a later unit. Scoping and the next stage

– baseline studies – go together as it is only necessary to carry out a baseline study

on those issues that have been identified as being potentially significant, although

there may be some iteration here; as information is uncovered potential impacts

might be identified.

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2.3 Baseline study

A baseline study is essential in order to be able to determine the level of impact

expected and to enable the monitoring of impacts after the development has

occurred. In some cases, baseline information will need to be gathered in the field,

and in others it will already be available and need only be collated. Where a project

has a number of alternative sites, each of the sites should undergo a baseline study

so that the relative severity of the impacts for each alternative can be assessed.

It is essential that the baseline information which is collected represents both the

temporal and spatial trends of the parameters in question. For example, a particular

habitat may be shrinking in size by 10% per year from the western margin. Without

this trend having been established, the effect of a development in the future would

be hard to assess and it would be difficult to determine whether any further loss of

habitat was natural or due to the development. Understanding how the baseline

environment may change in the absence of the proposed project is therefore

important in order to understand what difference the project will make. This

obviously becomes more difficult the longer the timescale over which you are

considering impacts, as issues like climate change may become important in altering

the baseline state of the environment.

Baseline study and information gathering. View the video on landfills by

Malok to see an example of landfill in action (Malok, 2009). The video

can be accessed through the Multimedia listing at the beginning of this

unit.

Read the following brief description of a proposal to extend a waste

disposal landfill site and then think about the possible impacts of the

proposal. For each impact you identify, think about just one piece of

baseline information (or indicator) which you feel it would be necessary

to collect before a full impact prediction could be carried out. (Some of the possible answers are provided below.)

Proposal

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The extension of the existing Hemmel Road landfill site will provide an

extra capacity of 700 000 cubic metres, which will provide sufficient

tipping capacity to meet the landfill disposal requirements of the city

until 2020. The site is located to the south-east of the city,

approximately 8 km from the city centre. The location is typically urban

fringe in character; a mixture of informal open spaces, agricultural land,

residential development, and some minor industrial uses typify the

surrounding area. The open spaces to the west and the east of the site

are the dominant surrounding land use. The tract of land to the west,

much of it in public ownership, is managed by the City Management

Project. Part of this area has been Local Authority designated as a Site

of Special Interest and is recognised by the Nature Conservation

Authority as being important for invertebrates. The major local centres

of population surrounding the site are Goscote to the north, Dewton to

the south and Hemmel, to the east. In order to link the extension with

the existing site it is proposed to culvert (put in a covered channel or

pipe) the Shire Brook for a further 225 metres; it is already culverted

throughout the existing waste disposal site.

The purpose of this activity is to illustrate the kinds of problems

encountered in scoping and it should be noted that the background of

whoever tries this exercise can have a profound effect on how the

priorities for the impacts are perceived. For example, an ecologist may

be most concerned with the potential impacts on flora and fauna. Note

also that more than one piece of baseline information would be required

in order to predict each potential impact properly.

Answer.

[1]

Impact: water

quality/baseline info:

biological oxygen

demand

[4]

Impact: odour/baseline

info: prevailing wind

data

[7]

Impact: windblown litter

increase/baseline info:

proportion of waste

which is paper

[2]

Impact: traffic

congestion/baseline

info: current traffic

levels

[5]

Impact: habitat

loss/baseline info:

nature of existing

habitat

[8]

Impact: loss of

invertebrate

species/baseline info:

result of an invertebrate

survey

[3]

Impact: visual/baseline

info: landscape

characteristics

[6]

Impact: housing

devaluation/baseline

info: existing property

prices

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2.4 Impact prediction

Impact prediction can be carried out by a variety of means. For example, models,

quantitative measurements or professional judgment based on experience and

research can be used. Frequently, the impact predictions may reveal that the

environmental effects are not as great as imagined and may not be significant, hence

the process can loop back to the scoping phase to amend the EIA accordingly.

For each of the scoped issues, an attempt needs to be made to predict, in as much

detail as possible, the likely effects of the development for all of the possible

alternatives, both in terms of sites and development proposals. This needs to be

done in a quantified way, if possible, and should also consider the time over which

impacts are expected to develop. Therefore, for discharge of effluent into a stream,

the effect on fish life is one impact which needs to be examined, and the impact

prediction should state the percentage drop in fish life as a result of the

development, when this would happen, and likely future trends. It is also essential to

point out the uncertainty associated with this decision, for example, 'there is a 10%

chance of all fish life being eliminated'. There is often uncertainty in making

predictions and this should not be hidden.

Impact prediction is an area where there are many techniques available to help us.

Impact prediction should look not only for direct impacts, but also indirect

impacts and the interactions between them. This is the only way of building up a full

picture of the environmental system under study so that the effects can be

understood.

2.5 Impact assessment

Once predictions have been made about impacts, the essential but difficult task of

assessing their importance or significance must be carried out. Significance is a

function both of the magnitude of the predicted impact but also of the sensitivity of

the receiving environment (which may also depend on the geographical scale being

considered, the frequency or duration of the impact etc).

A development that removes an entire habitat on the site for a certain species may

seem highly significant, but if the lost habitat forms a tiny fraction of the total habitat

for that species available locally, the significance of the impact is reduced. Likewise,

a small impact would be highly significant if it threatens a portion of the last

remaining habitat of a species. The overlap with screening and scoping is apparent

here, as an initial assessment of significance must already have been made to have

progressed this far. At this stage, the analyses need to be far more detailed and

precise.

It is this assessment of the impacts that provides the decision-maker with

information on the significance of environmental impacts when determining a project

application. Again it boils down to the reasoned opinions of experts in the field who

can view and interpret the available evidence. However, as for screening, criteria can

be applied to assist in the judgment.

The assessment will form the crucial part of an environmental impact statement and

will need to be able to stand up to the scrutiny of experts, the public, pressure

groups, and the decision-makers.

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This assessment is the point at which problems of bias may occur. It is often for the

developer to organise the EIA and they can go about this task in a number of ways;

they can undertake the EIA themselves, they can employ a consultancy firm to

manage the whole assessment, or they can employ a whole series of consultants

with expertise in different fields and combine all the results for the final EIS.

Whichever of these alternatives is employed, the developer will be paying for the

work and have a vested interest in the outcome – hence the possibility of bias.

Whether it happens or not depends on the quality control mechanisms put in place to

review and scrutinise the EISs.

2.6 Mitigation

Mitigation involves taking measures to reduce or remove identified impacts and may

include enhancements, which are changes unrelated to identified impacts but which

improve the environment in some way; for example, creating a public boating lake

on derelict land some distance from a large amenity development. The lake is

undoubtedly an improvement to the existing environment, but does not relate to the

impacts resulting from the development itself. Mitigation measures include

landscaping to reduce visual impact and soundproofing around power sources to

reduce noise impacts.

A single definition of mitigation is difficult as many different definitions are used

around the world. However, in 1978, the Council on Environmental Quality in the

USA produced regulations to complement the National Environmental Policy Act

(1969). These regulations define what, for the purposes of that Act, is meant by

mitigation:

avoiding the impact altogether by not taking a certain action or parts of an

action

minimising impacts by limiting the degree or magnitude of the action and its

implementation

rectifying the impact by repairing, rehabilitating, or restoring the affected

environment

reducing or eliminating the impact over time by preservation and maintenance

operations during the life of the action

compensating for the impact by replacing or providing substitute resources or

environments.

The inclusion of mitigation measures obviously changes the nature of the project and

its impacts. Hence, it may be that where significant impacts are removed, an EIA is

no longer required, or some issues can be scoped out of the assessment.

Impacts that still remain even after the design of mitigation measures are known as

residual impacts.

To help you understand the potential value of mitigation measures, and also to

appreciate exactly what constitutes mitigation, try the following activity.

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For the following impacts, indicate possible mitigation measures.

(1) Noise at a dwelling resulting from a wind farm 500m away.

(2) Loss of a rare newt species as a hotel development drains a pond.

(3) Traffic congestion as a new leisure complex attracts more visitors to

an area.

(4) High atmospheric particulate pollutant levels due to the increase in

number of motorcars.

2.7 Review

Once the EIS is completed it will need to be reviewed by the competent authority or

other bodies asked to comment on the EIS, and by the public. It is essential that the

statement be checked for consistency, bias, and accuracy.

The purpose of the review is to establish whether the statement provides the

necessary information to allow the decision-maker to determine the application and,

at the very least, provides the information required to be provided in the governing

EIA legislation. Some form of guidance undoubtedly helps in this process, as it will

focus the mind of the reviewer on the topics, which should be covered by the

statement, and the level of detail expected. A large part of the review involves the

investigation of the information quality; obviously a relevant technical expert will be

required to assist in the review in some cases. This issue is discussed in more detail

elsewhere in the module.

2.8 Follow up

In practice, the EIA process often ends once project approval has been granted, with

no form of follow up. Although EIA is primarily a predictive tool, a follow up stage is

important in order to identify actual impacts that have arisen, implement corrective

measures where necessary, and to learn from the experience gained. EIA Follow-up

can be defined as:

‘The monitoring and evaluation of the impacts of a project or plan (that

has been subject to EIA) for management of, and communication about,

the environmental performance of that project or plan.’

Source: Morrison-Saunders and Arts (2004) cited in Morrison-Saunders

et al (2007) p. 1.

It therefore covers four main areas:

Monitoring

the collection of activity and environmental data both before (baseline monitoring)

and after activity implementation (compliance and impact monitoring)

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Evaluation

the appraisal of the conformance with standards, predictions or expectations as

well as the environmental performance of the activity (to include auditing of

predicted impacts against what is observed through monitoring)

Management

making decisions and taking appropriate action in response to issues arising from

monitoring and evaluation activities

Communication

informing the stakeholders about the results of EIA follow up in order to provide

feedback on project/plan implementation as well as feedback on EIA processes.

Consequently, EIA follow up may involve the production of an environmental

management plan (EMP), which may be a mandatory requirement in some EIA

regimes. This is sometimes absent from some of the more mature EIA systems, such

as that in the European Union (EU), where there has been a reluctance to add further

minimum legal requirements to the EIA process to avoid creating an undue burden

on developers and authorities. But, in practice, an EMP may be used by a developer

as a practical way to manage implementation of the project and any conditions that

may have been imposed by the consent authorisation. The EMP may also provide the

link to an environmental management system (EMS) once the project is operating

(see Barnes & Lemon, 1999 – Chapter 4 in Sheate, 2010).

Write down the sort of recommendations you would make to ensure that

impact predictions will be auditable.

Answer.

In order for an impact to be auditable the following should be considered.

- The impact criteria must be testable. This means a more precise

terminology than 'there will be an impact'.

- The degree of uncertainty must be made explicit.

- The predictions must be expressed precisely in terms of:

- The variable being considered, for example, the level of sulphur

dioxide in the air rather than a general heading of air pollution.

- The magnitude of the change, ie quantification of the change.

- The geographical area over which the change is expected to occur.

- The timescale of the impact.

- The probability of the impact occurring – if a river may change its course as a result of a project, the probability of this occurring should be stated.

- The significance of the impact – if it does not matter that the river will change its course it is not worth using limited resources in investigating the problem.

- The degree of confidence in the predictions.

If impact predictions have taken this information into consideration, then the EIS

should be auditable.

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Section 2 Self-Assessment Question

uestion 2

Fill this list in, putting each of the following stages of EIA in the correct order:

mitigation, follow up, scoping, impact prediction, screening, impact assessment,

baseline and review.

(1) (4) (7)

(2) (5) (8)

(3) (6)

Q

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3.0 CHARACTERISTICS OF AN EFFECTIVE EIA SYSTEM

A number of international studies or institutions have developed best practice

guidelines or principles for EIA. The first of these was UNEP in its Goals and Principles

for EIA in 1987.

The International Association for Impact Assessment (IAIA) produced its IAIA

Principles of Impact Assessment in 1999. These had come out of an international

study of effectives of environmental assessment in 1996. They have also produced a

summary document ‘What is Impact Assessment?’ in 2009 (IAIA, 2009).

International finance organisations have signed up to the Equator Principles (EPs)

(2013) which are a voluntary set of standards for determining, assessing and

managing social and environmental risk in project financing. The EPs are considered

the financial industry ‘gold standard’ for sustainable project finance.

Look at the UNEP, IAIA Principles, and Best Practice Guidelines, along

with the more generic ‘What is Impact Assessment’ and the Equator

Principles (UNEP, 1987; IAIA, 1999; 2009; Equator Principles, 2013).

Try to summarise the key messages behind these documents in just one

paragraph of no more than 300 words.

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Section 3 Self-Assessment Question

uestion 3

Fill in the missing words/phrases.

In some countries, the US for example, the _______ is considered the ‘heart’ (the

actual word used in the regulations) of the process. Also important to the success of

IA is the process of _______ which assures that recommendations of the IA are

implemented and effective.

Q

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UNIT SUMMARY

Environmental impact assessment (EIA) is, essentially, an environmental

management tool, which provides information on the impacts of development

projects to those who take the decision as to whether the project should be

authorised. It is a predictive tool in that it aims to identify the likely effects of a

development action on the environment. It is not intended to stop developments, but

rather to make clear to society the consequences of development decisions. The first

EIA legislation was enacted in the USA through the National Environmental Policy Act

(1969). Since then, EIA has become a legal requirement in many industrialised and

developing countries for developments with a significant effect upon the

environment. EIA is an evolutionary, rather than a revolutionary, concept. Prior to

EIA legislation, most advanced planning systems contained provisions for

environmental protection, but they failed to evaluate the 'total' impact of a

development upon the environment in a systematic way.

The EIA process is iterative, that is, the outcome of each stage is fed back into the

system. There are a number of key issues which run through EIA in all countries and

which are essential components of the process. These include the importance of:

initiating EIA early in a project; what should be covered; and involving the public

throughout the EIA process.

There are several key stages to the EIA process which include; screening, scoping,

baseline, impact prediction, impact assessment, mitigation, production of the EIS,

EIS review, and follow up. The iterative nature of the EIA process can be

demonstrated, for example, through the early design of mitigation measures which

can lead to a reassessment of the significance of the project's impacts at the

screening stage. Much of the EIA process depends on the discretion of the decision-

maker and, in many countries, the stages of the EIA process will vary depending on

legislative requirements. But there are some universal principles that now underpin

EIA around the world.

The value of EIA lies in the concentration of resources on key issues at a stage early

enough to be able to affect the design of the development.

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UNIT SELF ASSESSMENT QUESTION

uestion 1

Why might scoping identify the geographical area to be covered by the EIA to be

much greater than just the immediate location of the project?

Q

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KEY TERMS AND CONCEPTS

alternatives a choice of project designs or sites

baseline study the third stage of the EIA process, which involves the collection

of all relevant information on the current state of the

environment

bias being favourable or unfavourable towards something

competent authority

the body with the authority to permit or refuse development

applications

cumulative impact cumulative impacts/effects can be defined as incremental effects

of an action when added to other past, present, and reasonably

foreseeable future actions. These effects can result from

individually minor but collectively significant actions taking place

over a period of time

direct impact an impact that occurs directly as a consequence of the proposed

action, usually in the immediate vicinity of the proposal

environmental assessment

a generic process, which incorporates EIA and SEA and other

forms of assessment

environmental impact assessment (EIA)

a tool used to identify the potential environmental, social, and

health effects of a proposed development

environmental impact statement (EIS)

a formal document that sets out the factual information relating

to the development and all information gathered during the EIA

follow-up relates to the post-approval phase of EIA which involves,

monitoring, evaluation, management, and communication

impact assessment the phase of the EIA process which involves the assessment of

the identified impacts

impact auditing a process of comparing the results of monitoring and other

follow-up activities with the predictions and commitments made

earlier in the EIA process

impact monitoring a method used to measure the environmental impacts that have

arisen as a result of implementing the project

impact prediction the stage of the EIA process where the changes in the

environment, which will occur as a result of the development, are

forecasted

indirect impact An impact that occurs away from the immediate area of the

proposed action, eg quarrying of aggregates elsewhere in the

country as a result of a new road proposal

iterative a term used to describe the EIA process, which is not linear, but

stages in the process recur as new information is gathered

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management a mechanism for implementing the project in a way that

promotes environmental protection

mitigation measures taken to reduce or remove environmental impacts

non-technical summary

a summary of information contained within the EIS, which is

presented in a concise non-technical format

preferred alternative

the project design or site that is considered the best

public consultation where the public, that is, those likely to be affected by a

development, are contacted/informed about the project

public participation where the public, that is, those likely to be affected by a

development, actually participate in the EIA process

residual impacts impacts that still remain even after the design of mitigation

measures

review a process whereby the decision-maker can decide if the EIA is

adequate; review can be ad hoc where the EIS is read and

commented on, or it can be more formal where expert opinions

are sought and it can be through the use of formal review

methods

scoping the second stage of the EIA process where issues, which need to

be addressed, are defined

screening the first stage of the EIA process where it is decided whether a

formal EIA is required

significance refers to the relative importance of an impact that a proposed

development may have upon the environment, taking into

account the sensitivity of the receiving environment

strategic environmental assessment (SEA)

a process used to identify the environmental consequences of

policies, plans, and programmes

uncertainty an issue that is raised during the impact prediction stage of EIA;

for scoped issues it may be unclear as to the likely effects of the

development