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....”
What is the purpose of EIA ?
“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.”
What is the purpose of EIA ?
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
What is the purpose of EIA ?
“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.
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 14
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…
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 15
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
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 16
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.
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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.
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 18
! 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
EIA Procedures and Decision Making 21
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
EIA Procedures and Decision Making 22
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
EIA Procedures and Decision Making 23
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
EIA Procedures and Decision Making 24
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
EIA Procedures and Decision Making 25
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
EIA Procedures and Decision Making 26
Screening Techniques
Assessor or decision-maker discretion Project lists with thresholds and triggers Exclusion project lists Preliminary or initial EIAs Combination of these techniques
EIA Procedures and Decision Making 27
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
EIA Procedures and Decision Making 28
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
EIA Procedures and Decision Making 29
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
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 30
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
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 31
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
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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)
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 33
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
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Phase 1 of the EIA process:
Understand the proposed activity
Understand the proposed
activities
Why is the activity being proposed?
What is being proposed?
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.
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 35
Phase 1 of the EIA process:
Understand the proposed activity
Understand the proposed
activities
Why is the activity being proposed?
What is being proposed?
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
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 36
Phase 1 of the EIA process:
Screen the activity
Screen each activity
Based on the nature of the activity, what
level of environmental
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?
ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org 37
Phase 1 of the EIA process:
Screen the activity
Screen each activity
Based on the nature of the activity, what
level of environmental
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
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Phase 1 of 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
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Phase 1 of the EIA process:
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
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Phase 1 of the EIA process:
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)
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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!
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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!
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Present tools to assist in identifying & predicting impacts
Discuss the factors involved in judging significance
Subsequent modules. . .
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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!
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Phase 2 of the EIA process:
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
!
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Phase 2 of the EIA process:
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
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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.
Phase 2 of the EIA process:
The Full EIA study
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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
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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.