Methods for identifying environmental impacts

EIA: methods
Methods for identifying environmental impacts and their significance
Common shortcomings concerning the application of EIA in practice

EIA
EIA is a systematic process to identify, predict and evaluate the environmental effects of proposed actions and projects.
A broad definition of environment is adopted. Whenever appropriate social, cultural and health effects are also considered as an integral part of EIA.
Finally, particular attention is given in EIA for preventing, mitigating and offsetting the significant adverse effects of proposed undertakings

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

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

Screening
It would be time consuming and a waste of resources for all proposed projects and activities to undergo EIA
Not all development projects require an EIA, as some projects may not pose an environmental threat
Screening is the process used to determine whether a proposed project or activity requires an EIA and, if so, what level of environmental review is necessary

Purpose
Identify those projects or activities that may cause potential significant impacts
Identify special conditions/analyses that may be required by international funding bodies
Categorize the project as one where:
Full-Scale EIA required
Some further environmental analysis required
No further environmental analysis required

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

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

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

Project Location
Requirements for screening:
The screening checklist should include a section on site location characteristics, including, at a minimum, the four categories of environmentally critical areas:
National Parks
Indigenous people’s area
Tourist area
Ecologically sensitive area

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

Example Project Screening Criteria

Example Project Screening Criteria (Cont.)

Asian Development Bank (ADB) Screening Categories

World Bank Screening Categories

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
environmental
examination
required (IEE)
YES
Project Screening Flow Chart
Will the project be funded by an IAA?
YES
YES
NO

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

Initial environmental examination (IEE) is intended as a low-cost environmental evaluation that makes use of information already available
Initial Environmental Examination

Purpose of IEE
Describes the proposed project or activity and examines alternatives
Identifies and addresses community concerns to extent possible
Identifies and assesses potential environmental effects
Directs future action

Objectives of IEE
Identify all potential environmental concerns relating to a proposed project or activity
Identify all significant environmental issues (SEIs)
Resolve simple SEIs
Develop the focus for follow-up studies based on unresolved SEIs

Possible IEE Outcomes
1. No requirement for further environmental study; proposal not anticipated to have significant impact
2. Limited environmental study needed; environmental impacts are known and can be easily mitigated
3. Full-scale EIA required; impacts unknown or likely to be significant

IEE in the Overall EIA Process

IEE Flow Chart

Identification of Potential
Significant Issues
1. Identify valued environmental/ecosystem components
(VECs)
Professional judgement/past experience
Legislative requirements
Stakeholder and community values
2. Identify the potential for impacts to each VEC
3. Identify potential for cumulative impacts
(i.e. to the site as a whole and to the region)

Natural physical resources (e.g., surface and groundwater, air, climate, soil)
Natural biological resources (e.g., forests, wetlands, river and lake ecology)
Economic development resources (e.g., agriculture, industry, infrastructure, tourism)
Quality of life (e.g., public health, socio-economic, cultural, aesthetics)
National commitments (e.g., endangered species protection)
Commonly Considered VECs

Methods for Identifying Potential Impacts to VECs
Matrices
Sector-related
Project type
Checklists
Professional expertise and experience with similar project types
Combination of techniques

Example: Sector-related matrix

Project Checklist Example
Potential Damages:
1. Impairment of other beneficial
water uses
2. Social inequities
3. Loss of these values
4. Loss of these values
5. Conflicts with other beneficial
water uses
6. Hazard to plant operations
7. Intensification of problems of
pollution control

EIA Procedures and Decision Making
Considerations in Determining Potential Effects
Impacts to:
individual VECs
entire site (i.e., impacts to all VECs combined)
cumulative impacts to the area (i.e., considering other existing and planned projects)
Impacts from all phases of the project (i.e., construction, operation, decommissioning)
Impacts on different time-scales
Impacts from different orders of impact

Example: Orders of Impact

Data Requirements
Project
Type
Size
Location
Area of potential impact
Physical resources
Biological resources
Economic development resources
Quality of life
Other existing and planned projects

Sources of Information
Existing reports on environmental resources in the area
Previous assessment reports
IEE and EIA reports on similar project types
Reports on other projects in the region that may cause similar disturbances
Regional planning, policy and other reports
Field studies
Local citizens and traditional knowledge

EIA Procedures and Decision Making
Effects Classification
Effects vary in significance, depending on their:
Nature: positive, negative, direct, indirect, cumulative, synergistic
Magnitude
Extent/location: area/volume covered, distribution
Timing: during construction, operation, decommissioning, immediate, delayed, rate of change

EIA Procedures and Decision Making
Effects Classification (Cont’d)
Duration: short-term, long-term, intermittent, continuous
Reversibility/irreversibility
Likelihood: risk, uncertainty or confidence in the prediction

EIA Procedures and Decision Making
Criteria for Evaluating
Potential Effects
Importance of affected resource
Magnitude and extent of disturbance
Duration and frequency
Risk/likelihood of occurrence
Reversibility
Contribution to cumulative impacts

EIA Procedures and Decision Making
Options for Addressing SEIs
1. Resolve SEIs within IEE
Number of different strategies for addressing SEIs
Strategies chosen will depend on the number, type, and significance of identified SEIs
2. Identify need for future studies to address SEIs (e.g., full-scale EIA or other detailed studies)

EIA Procedures and Decision Making
Possible Strategies for
Resolving SEIs Within the IEE
Re-evaluate regional plans (e.g., to address cumulative impacts with other planned projects)
Review project options (i.e., alternatives and modifications)
Evaluate site mitigation strategies; including compensation strategies
Likely will use a combination of strategies

EIA Procedures and Decision Making
Examples of Project Alternatives
No-build alternative
Demand alternatives (e.g., using existing energy capacity more efficiency rather than building more capacity)
Activity alternatives (e.g., providing public transport rather than increasing road capacity)
Location alternatives

EIA Procedures and Decision Making
More Examples of
Project Alternatives
Process alternatives (e.g., re-use of process water, reducing waste, different logging methods)
Scheduling alternatives (e.g., timing of project construction)
Input alternatives (e.g., use of different raw materials or sources of energy)

EIA Procedures and Decision Making
Effects Significance Grading
No effect
Insignificant effect
Unknown significant effect
Significant effect, resolution is within the scope of the IEE
Significant effect, resolution is outside the scope of the IEE

Issues with: No Effect
Issues with: Insignificant Effect
Issues with: Unknown Significant Effect
Issues with: Significant Effects within the Scope of the IEE
Where to from here?

Example IEE Report Contents
1. Description of the project
2. Description of the environment
3. Screening of potential environmental issues and rationale for their significance grading
4. Environmental protection measures
5. Environmental monitoring and institutional requirements
6. Recommendations for additional studies
7. Conclusions

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

Terms of Reference Context

Scoping
A process of interaction between government agencies and project proponents
Identifies:
spatial and temporal boundaries for the EIA
important issues and concern
information necessary for decision making
significant effects and factors to be considered
Establishes Terms of Reference for full-scale EIA

Importance of Scoping
Serves to facilitate efficient EIA by identifying appropriate areas for consideration (e.g, key issues, concerns, alternatives)
Reduces likelihood of deficiencies in EIA (e.g., ensures that important issues are not overlooked)
Prevents unnecessary expenditures and time delays from oversights or unnecessary areas of study

Terms of Reference Content
Background information section should include:
Project Description (i.e., type, magnitude, location, alternatives and constraints)
Environmental Setting (i.e., delineation of study area, listing of environmental resources and sensitive or special value areas)
Background Reports (e.g., aspects of the environmental setting, previous projects with relevant impacts or resources)

Terms of Reference Content (Cont.)
Specific EIA requirements typically include:
EIA objectives
Institutional context (i.e., legal and policy requirements)
Significant issues of concern (SEIs)
Required information and data,
methodologies for impact assessment
Process for incorporating public input

Work Plan Example
Detailed Task Assignment
1. Waterlogging and Soil Salinity
2. Field Data: Collate, Fill Gaps, Organize
3. Models: Review, Verify, Reconcile
4. Drainage: Develop Final Criteria,
Perform Design
5. Compile Report
6. Land Acquisition and Resettlement
7. Project Proponent Document: Review
and Verify
8. Environmental Impact
9. Social Impact and Equity
10. Public Participation
11. Monitoring and Evaluation

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

EIA in the Project Cycle
Reconnaissance Survey
Pre-feasibility Study
Feasibility Study
Final Design
Construction
Operation
Conventional Project Planning
Project
Screening

Full-Scale EIA Overview
Input = Outstanding SEIs from IEE
Assessment phase:
Qualitative/quantitative analysis of SEI
SEI impact significance
Mitigation development phase:
Select appropriate mitigation measures
Residual impact significance

EIA Impact Identification Methods
Checklists
Matrices
Networks
Overlays/GIS
Expert Systems
Risk Assessment
Qualitative
Quantitative

Selection of Appropriate Methods
Type and size of proposal
Type of alternatives being assessed
Nature of likely impacts
Experience using EIA methods
Resources available
Nature of public involvement
Procedural/administrative requirements

Checklists
ADVANTAGES
Simple to understand and use
Good for site selection and priority setting DISADVANTAGES
Do not distinguish between direct and indirect impacts
Do not link action and impact
Qualitative

Matrices
ADVANTAGES
Link action to impact
Good method for displaying EIA results
DISADVANTAGES
Difficult to distinguish direct and indirect impacts
Significant potential for double-counting of impacts
Qualitative

Networks
ADVANTAGES
Link action to impact
Useful in simplified form in checking for second order impacts
Handles direct and indirect impacts
DISADVANTAGES
Can become overly complex if used beyond simplified version
Qualitative

Overlays
ADVANTAGES
Easy to understand and use
Good display method
Good for site selection setting DISADVANTAGES
Address only direct impacts
Do not address impact duration or probability

Expert Systems
ADVANTAGES
Excellent for impact identification and analysis
Good for experimenting
Semi-quantitative to quantitative
DISADVANTAGES
Heavy reliance on knowledge and data
Often complex and expensive

Impact Significance Determination
Impact
Characteristics
(e.g., spatial extent)
Impact
Importance
(e.g., value)
x
=
Impact
Significance

Characteristics Affecting
Impact Significance
Nature of impact (e.g., positive, negative, synergistic)
Extent and magnitude
Timing (i.e., construction, operation, closure)
Duration (i.e., short, chronic, intermittent)
Reversibility/irreversibility
Likelihood (i.e., probability, uncertainty)

Some Criteria for Significance
Importance: the value that is attached to the affected environmental component
Extent of disturbance: the area expected to be impacted
Duration and frequency of disturbance
Reversibility
Risk: probability of an unplanned incident caused by the project

Assessing Significance
Considerable expert judgement and technical
knowledge are often required to fully understand
the nature and extent of environmental impacts
Categories of significance include:
no impact
significant impact
unknown impact
mitigated impact

Guidelines for Assessing Significance
Use rational and objective methods
Provide consistency for comparison of project alternatives
Document values and beliefs used in making judgment decisions
Apply impact significance criteria, e.g.,
Ecological importance/sustainability criteria
Social importance
Environmental standards

Ecological Importance
Effect on plant and animal habitat
Rare and endangered species
Ecosystem resilience, sensitivity, biodiversity and carrying capacity
Population viability
Community viability

Social Importance
Effects on human health and safety
Potential loss of managed resources (e.g., fish, farmland, water)
Recreation or aesthetic value
Demands on public resources
Demands on transportation or other infrastructure
Demographic effects

Environmental Standards
Permit-based limits on effluent discharge concentrations
Clean air standards, water quality standards
Plans or policies that protect or limit use of natural resources

Impact Mitigation
Evaluate Environmental Impacts
Design Environmental Protection Measures
Review Applicable Standards

Mitigation Development
Develop Alternative Environmental Protection Measures
Select Final Environmental Protection Measures

Understand the Problem
What is the problem?
When will the problem occur?
When should the problem be addressed?
Where should the problem be addressed?
How should the problem be addressed?
Who stands to lose or gain?
Good understanding of problems is critical to development of effective mitigation measures

Mitigation Options
Alternative ways of meeting society’s need for the project
Changes in project planning and design
Improving monitoring and management
Monetary compensation
Replacing, relocating, rehabilitating

Environmental Management Plan
Mitigation measures chosen are documented as part of the EMP which specifies how they are to be carried out:
State policy and standards
Designate responsibility
Provide schedule for tasks
Allocate responsibility for tasks
Include system for progress reporting
Include system for monitoring/auditing
Develop a contingency plan

EIA Reporting
Variations in titles but all the same content:
Environmental Impact Assessment report (EIA report)
Environmental Impact Statement (EIS)
Environmental Assessment report (EA report)
Environmental Effects Statement (EES)
Local usage; often shortened to just EIA

Effective Reporting
Assists the project proponent to plan (e.g., changes to the project design or scheduling recommended as mitigation measures)
Assists decision makers in deciding whether to approve or reject proposal, and if approved with what conditions
Helps the public to understand core issues of concern

EIA Report Contents
Executive summary
Objectives of the proposal
Description of proposal and alternatives
Relationship to current land use policies
Description of expected conditions
Evaluation of impacts for each alternative
Mitigation and monitoring plans
Appendices

Executive Summary
Definition: A well written stand-alone document which contains the information necessary for the reader to understand the critical environmental issues and how the issues are to be addressed and resolved
Audience: targeted at decision makers and international funding bodies
Special Requirements: international funding bodies often require executive summaries to be submitted in English

Executive Summary (Cont.)
What the executive summary MUST contain:
a summary of impacts for each SEI
background information including base maps
offsetting, enhancement, and mitigation measures for minimizing negative impacts
recommendations and conclusions
summary of the environmental management plan

Project Information
Status of project
Planning, design and implementation strategies
Requirements for materials, water, energy, equipment
Planned processes and products
Visual aids (e.g., maps)
Options (e.g., siting, layout)
Summary of technical, economic and environmental features

Evaluating Impacts for
Each Alternative
Assessment of impacts
Data and predictive methods used
Uncertainty and gaps in knowledge
Compliance with standards
Criteria used to assess significance
Proposed impact avoidance or mitigation measures

Environmental management
and monitoring plans
Describe proposed mitigation measures
Contain schedule for implementation
Assign responsibility for implementation
Detail a monitoring program
Detail proposed reporting and review procedures

Appendices
Technical information
Glossary and Acronyms
Public involvement summary
Information sources/references
Details of study team
Terms of Reference

Common reporting shortcomings
Object of activity described too narrowly
Incomplete description of activity
Alternatives do not account for the environment
Key problems not described
Sensitive environment aspects overlooked
Standards and legislation are not described or alternatives do not comply with them
Some mitigating measures not considered

Common Reporting Shortcomings (Cont.)
Best alternative not described or described insufficiently
Serious impacts are not mentioned or not correctly described
Outdated or ineffective prediction models used
Impacts are not compared with standards or targets
Incorrect conclusions drawn

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

EIA Review
Determines whether the EIA report is an adequate assessment of environmental concerns and is of sufficient relevance and quality for decision making.

EIA Review Objectives
Determine whether EIA report provides an adequate assessment
Collects range of stakeholder opinion regarding the acceptability of the EIA report and of the proposed project or activity based on the EIA findings
Ensures EIA compliance with established procedures (e.g., Terms of Reference, existing plans and policies)

Critical Areas of Review
Compliance with the Terms of Reference
Examination of alternatives, environmental setting,
impact analysis, mitigation, and impact management
and monitoring
Sufficiency and accuracy of information
Use of scientifically-defensible analytical techniques
Conduct of the EIA; completeness and
comprehensiveness of the assessment process
Sufficiency of information provided for decision-
making purposes

Review Methods
General statistics
Project specific checklists
Ad hoc processes
Expert opinion by accredited reviewers
Public review
Panels of inquiry, independent commissions
Legal approaches

Review Step-by-Step
Set the intensity of the review (e.g., scale and depth)
Select review methods and identify review criteria; make sure to include public input
Select reviewers
Conduct the review
Determine remedial options
Publish review report

Decision Making
EIA is an ongoing process of review, negotiation and incremental decision making
Ultimately, an administrative or political decision is made whether to proceed or not to proceed with a proposed project or activity
Function of the EIA report is to provide objective assessment of issues to inform and facilitate the decision-making process

Requirements for Decision Makers
Decision makers need an understanding of:
Principles and practices of sustainable development
EIA aims, concepts and processes
EIA guidelines, policy, law and conventions
EIA implementation within the decision-making agency or organization
Public involvement processes

Decision-Making Inputs
Technical
Analysis
(e.g., physical,
ecological,
socio-economic,
other)
Decision Making
prioritizing problems and
actions, ensuring effective implementation
Public
Involvement
Other Input
(e.g., benefit-cost
analysis,
political priorities)
Facts/ Values

Possible Decision Outcomes
Approval
Approval with conditions
Approval subject to ongoing investigation
Further investigation required
Request for a supplementary, or new, EIA report
Rejection

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

Environmental monitoring and performance assessment
Goal
Specific Objectives
Monitoring
Monitoring Requirements Environmental Issues
Performance Assessment

Monitoring and performance assessment goal:
To demonstrate to governments and the public that the project or activity complies with the environmental quality objectives determined through the EIA process and achieves good environmental performance.

Specific Objectives
Detect short- and long-term trends
Recognize environmental changes and analyze causes
Measure impacts and compare with predicted impacts
Assess effectiveness of mitigation measures
Improve the monitoring system
Improve practices and procedures for
environmental assessment

Performance Assessment
From monitoring program:
identify trends, causes and impacts
assess performance and compliance
From the assessment:
modify practices and procedures for environmental protection
modify monitoring program

EIA Procedures and Decision Making
Post-EIA Monitoring Report
PROJECT PHASE
FINAL DESIGN STAGE
CONSTRUCTION STAGE
PROJECT ACCEPTANCE
OPERATIONS STAGE
MONITORING ACTIVITY
A. INCORPORATION OF EPMs IN THE FINAL PROJECT DESIGN
B. INCORPORATION OF EPMs INTO CONSTRUCTION CONTRACTS
C. COMPLETION OF OPERATIONS MANUAL
A. ENVIRONMENT CONSTRUCTION SUPERVISOR
B. SCHEDULED REPORTS FROM SUPERVISOR
C. ENVIRONMENTAL PROTECTION AGENCY SPOT CHECKS
ENVIRONMENTAL SUPERVISOR PERFORMANCE
THE THREE PARTIES : ENVIRONMENTAL CONSTRUCTION
SUPERVISOR, PROJECT PROPONENT AND ENVIRONMENTAL
PROTECTION AGENCY; SIGN A STATEMENT THAT THE PROJECT
MEETS EIA REQUIREMENTS
A. PERFORMANCE MONITORING
B. PERFORMANCE REPORTING
C. FOLLOW-UP ACTION, IF REQUIRED

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

EIA Audit
EIA audits are a management tool to:
Determine impacts
Check that conditions arising from EIA are being met
Test accuracy of EIA predictions
Identify areas where EIA could have been improved
Compile lessons learned for future EIAs

Concluding Thoughts
Important points to remember are:
EIA is a process which should have influence at many stages and over a considerable period of time; it is not an activity aimed at producing a single set of results for use at one specific decision-making stage;
The EIA process should be iterative and adaptive; scoping and assessment should continually evolve throughout the entire process as more information becomes known (i.e., circular process).