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

2. 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:

3. 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....”

4. 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.”

5. 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

6. 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.

7. 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

8. 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

9. 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.

10. 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.

11. 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.

12. 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.

13. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org13 In EIA, the term“impacts” is usedinstead of “effectsof 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.

14. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org14 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…

15. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org15 The baseline situation In characterizing the baseline situation, many environmental components MAY be of interest WaterQuantity, quality, reliability, accessibility SoilsErosion, crop productivity, fallow periods, salinity, nutrient concentrations FloraComposition and density of natural vegetation, productivity, key species FaunaPopulations, habitat SpecialKey species ecosystems Env HealthDisease vectors, pathogens The components of interest are those that are likely to be affected by your activity—or upon which your activity depends for its success

16. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org16 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 Water table This chart of groundwater levels shows both variability and a trend over time. Both are part of the groundwater baseline situation.

17. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org17 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.

18. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org18 ! It is ESSENTIAL in EIA to focus on the most significant impacts. Specifically,

19. EIA Impact Analysis Summary Table PHASE: Construction Operation Termination __________________________________________________ Physical:  Land  Air  Water  Energy __________________________________________________ Bio-Cultural:  Nature  Culture  People  Access

20. EIA Procedures and Decision Making20 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

21. EIA Procedures and Decision Making21 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

22. EIA Procedures and Decision Making22 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

23. EIA Procedures and Decision Making23 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

24. EIA Procedures and Decision Making24 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

25. EIA Procedures and Decision Making25 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

26. EIA Procedures and Decision Making26 Screening Techniques  Assessor or decision-maker discretion  Project lists with thresholds and triggers  Exclusion project lists  Preliminary or initial EIAs  Combination of these techniques

27. EIA Procedures and Decision Making27 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

28. EIA Procedures and Decision Making28 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

29. EIA Procedures and Decision Making29 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

30. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org30 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 YES No initial environmental examination required (IEE) YES Project Screening Flow Chart Will the project be funded by an IAA? YES NO

31. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org31 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

32. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org32 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)

33. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org33 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 MODERATE OR UNKNOWN RISK 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 II Phase I Understand proposed activity Why is the activity being proposed? What is being proposed? BEGIN FULL EIA STUDY STOP the EIA process

34. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org34 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 identify environmentally sound alternatives  Not a D.O.! Is a D.O.

35. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org35 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

36. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org36 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?

37. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org37 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

38. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org38 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

39. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org39 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

40. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org40 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)

41. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org41 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!

42. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org42 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!

43. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org43  Present tools to assist in identifying & predicting impacts  Discuss the factors involved in judging significance Subsequent modules...

44. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org44 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!

45. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org45 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 alternative at least one other real alternative !

46. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org46 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 Communicate & Document throughout

47. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org47 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

48. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org48 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 society Private Sector

49. ENCAP EA-ESD Course: Basic Concepts for EIA. Visit www.encapafrica.org49 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.