Basic Concepts for Assessing Environmental Impacts Ar Aditi

Basic Concepts for Assessing Environmental Impacts Ar. Aditi Padhi October 23 rd 2012

WHAT IS “EIA” ? a PROCESS for decision-making, NOT a formula for preparing a document. What is the purpose of EIA? Here 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.

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. In EIA, the term “impacts” is used instead of “effects of activities. ” What is an impact? ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 13

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. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 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… 14

The baseline situation In characterizing the baseline situation, many environmental components MAY be of interest The 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 Water Quantity, quality, reliability, accessibility Soils Erosion, crop productivity, fallow periods, salinity, nutrient concentrations Fauna Populations, habitat Env Health Disease vectors, pathogens Flora Composition and density of natural vegetation, productivity, key species Special Key species ecosystems 15

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. Water table The baseline situation time This chart of groundwater levels shows both variability and a trend over time. Both are part of the groundwater baseline situation. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 16

Types of impacts & their attributes 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 ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org Direct & indirect impacts Short-term & longterm impacts Adverse & beneficial impacts Cumulative impacts But all impacts are NOT treated equally. 17

Specifically, ! It is ESSENTIAL in EIA to focus on the most significant impacts. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 18

EIA Impact Analysis Summary Table v v v v PHASE: Construction Operation Termination _________________________ Physical: Land Air Water Energy _________________________ Bio-Cultural: Nature Culture People Access

Lesson Learning Goals At the end of this lesson you should be able to: v Flow-chart the overall environmental impact assessment (EIA) process and describe step-bystep assessment procedures v Define, and illustrate with examples, key terminology used in EIA v Describe, with examples, methods for identifying environmental impacts and their significance v Identify common shortcomings concerning the application of EIA in practice EIA Procedures and Decision Making 20

The Environmental Impact Assessment Process Major steps in the EIA process are: v Screening v Initial Environmental Examination (IEE) v Scoping v Full-Scale Assessment v EIA Review and Decision Making v Monitoring and Follow-Up EIA Procedures and Decision Making 21

Initial Environmental Examination (IEE) Screening Scoping/ Terms of Reference You are here Full-Scale EIA Review IEE Review EIA Required EIA Not Required EIA Approved Decision Making Monitoring EIA Audit and Evaluation EIA Not Approved Evaluate Options EIA Procedures and Decision Making 22

Screening v It would be time consuming and a waste of resources for all proposed projects and activities to undergo EIA v Not all development projects require an EIA, as some projects may not pose an environmental threat v 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 23

Purpose v v v 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 24

Typical Proposals Requiring Full-Scale EIA v Infrastructure projects v Large-scale industrial activities v Resource extractive industries and activities v Waste management and disposal v Substantial changes in farming or fishing practices EIA Procedures and Decision Making 25

Screening Techniques v Assessor or decision-maker discretion v Project lists with thresholds and triggers v Exclusion project lists v Preliminary or initial EIAs v Combination of these techniques EIA Procedures and Decision Making 26

Screening Criteria Screening criteria typically consider: è Project type, location, size (e. g. , capital investment, number of people affected, project capacity, areal extent) è Receiving environment characteristics è Strength of community opinion è Confidence in prediction of impacts EIA Procedures and Decision Making 27

Project Location Requirements for screening: v 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 28

Project Location (Cont’d) v Site selection defines the location of the study area and the specific environmental resource base to be examined v Often the single most important factor contributing to a project’s potential negative impacts v Regional development plans should be used as guides to select project locations where environmental conditions will be minimally impacted EIA Procedures and Decision Making 29

Project Screening Flow Chart Project type on project screening checklist? NO YES Project scale above the screening threshold? NO YES Project located in a critical area? NO YES IAA funding, or any other special circumstances? Will the project be funded by an IAA? NO YES Get specific IAA requirements YES Prepare the work plan for the initial environmental examination (IEE) ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org NO NO No initial environmental examination required (IEE) 30

What is an activity? We are discussing the impacts of activities. What are activities? An activity is: a desired accomplishment or output E. g. : a road, seedling production, or river diversion to irrigate land Accomplishing an activity requires a set of actions ACTIVITY: ACTIONS: market access Survey, grading, culvert road construction, compaction, rehabilitation etc. . . A project or program may consist of many activities ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 31

The EIA process Phase II: Full EIA study (if needed) Phase I: Initial inquiries • • • Understand proposed activities • Screen • Conduct preliminary assessment (if needed) 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 Our focus! ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 32

Phase 1 of the EIA Process Understand proposed activity Why is the activity being proposed? What is being proposed? Screen the activity Based on the nature of the activity what level of environmental review is indicated? Conduct a Preliminary Assessment ACTIVITY IS OF MODERATE OR UNKNOWN RISK ACTIVITY IS LOW RISK (Of its nature, very unlikely to have significant adverse impacts) A rapid, simplified EIA study using simple tools (e. g. the USAID IEE) Phase I SIGNIFICANT ADVERSE IMPACTS POSSIBLE Phase II BEGIN FULL EIA STUDY SIGNIFICANT ADVERSE IMPACTS VERY UNLIKELY STOP the EIA process ACTIVITY IS HIGH RISK (Of its nature, likely to have significant adverse impacts) ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 33

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. ). “building a road” Not a D. O. ! “If we don’t understand it, we can’t assess it!” ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org “increasing access Is a D. O. to markets” We must understand the Development Objective to identify environmentally sound alternatives 34

Phase 1 of the EIA process: Understand the proposed activity Understand the proposed activities Why is the activity being proposed? Once we understand the development objective, we must fully understand WHAT is being proposed. This includes associated actions! What is being proposed? “Oops. I forgot about the borrow pit. ” ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 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 35

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 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 classifies the activity into a RISK CATEGORY: VERY LOW RISK EIA process ends VERY HIGH RISK Do full EIA study MODERATE OR UNKNOWN RISK Do preliminary assessment The outcome of the screening process determines the next step in the EIA process ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 37

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 ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 38

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 ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 39

Phase 1 of the EIA process: The Preliminary Assessment Typical Preliminary Assessment outline 1. Background (Development objective, list of activities) For each activity it covers, a preliminary assessment has 3 possible findings: 2. Description of the baseline situation • The project is very unlikely to have significant adverse impacts. (EIA process ends) 3. Evaluation of potential environmental impacts 4. Mitigation & monitoring 5. Recommended Findings ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org • 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) 40

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! ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 41

To arrive at findings: Identify, Predict and Judge Arriving at the FINDINGS in a preliminary assessment requires 3 steps: 1 2 3 Identify potential impacts Many resources describe the potential impacts of typical small-scale activities. Predict potential impacts Determine which potential impacts are likely to become actual, and quantify these impacts to the extent possible. Judge the significance of potential impacts Determine whether the predicted impacts are indeed significant! THIS WILL OFTEN DEPEND ON HOW EFFECTIVE THE PROPOSED MITIGATION MEASURES ARE! ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 42

Subsequent modules. . . §Present tools to assist in identifying & predicting impacts §Discuss the factors involved in judging significance ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 43

! 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! ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 44

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: *includes the project as proposed, the no-action alternative at least one other real alternative ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org ! 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. 45

Phase 2 of the EIA process: The Full EIA study 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 ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org Basic steps of the 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 Communicate & Document throughout With a few additions, the basic outline of the preliminary assessment is the template for the steps involved in a full EIA study: 46

Phase 2 of the EIA process: The Full EIA study 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. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org 47

Who is involved in EIA? Sponsor of the activity (usually commissions/conducts the EIA) Regulatory agencies/ Review authorities Broad-based public Communities (men & women) Civil society Private Sector ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org Public consultation is usually only REQUIRED for full EIA studies. However, it is good practice for preliminary assessments because: • Predicting impacts is FACILITATED by broadbased public consultation; Judging significance is very difficult without it. • Transparency and accessibility require disclosure to stakeholders 48

Making EIA effective To be an effective tool for ESD, EIA must be: § a integral part of the project development cycle. § Honest EIA is undertaken early enough to affect project design Mitigation and monitoring developed in the EIA process is implemented. The full EIA study must consider real alternatives Impacts must be assessed honestly. § Transparent & accessible ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www. encapafrica. org The EIA products must be clear and accessible to key actors. 49