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EIA complete course

Environmental Impact Assessment and Audit (Pwani University)

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LECTURE NOTES
ENS 330 – ENVIRONMENTALM IMPACT
ASSESSMENT AND AUDIT

1/29/2010

These Lecture Notes are provided to guide the student through the Course ENS 330. The student
is encouraged to supplement the notes with readings from the references that are provided. By
the end of the course, the student should be able to understand what is involved in conducting a
GOOD Environmental Impact Assessment and Environmental Audit. They should be able to use
the knowledge to guide the conduct of an EIA, or to objectively review the contents of an EIA or
EA report.

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ENS 330: ENVIRONMENTAL IMPACT ASSESSMENT AND AUDIT

Course Description

Principles of Environmental Impact Assessment (EIA); types of EIA; EIA as a path to sustainable development; EIA
and project cycles; EIA components, procedures and techniques; outputs and implementation; institutional, policy and
legal aspects; Environmental Audit: principles, procedures and applications; case studies.

Course Outline:

Course will consist of Lectures, Assignments, Field Visit, CATs and Final Exam

Week 1: Principles of Environmental Impact Assessment

Week 2: Types of EIA

Week 3: EIA as a path to sustainable development

Week 4: EIA and project cycles

Week 5: EIA components, procedures and techniques; 1st CAT

Week 6: Outputs and implementation

Week 7: Institutional, policy and legal aspects

Week 8: Environmental Audit principles

Week 9: EA procedures and applications

Week 10: Case studies

Week 11: Case studies; 2nd CAT

Week 12: Revision

Week 13: Start of Final Examinations

Core Text:

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References

1. Ahmad, Y. J. and Sammy, G. K. (1987). Environmental Impact Assessment in Developing Countries. Hodder and
Stoughton, London.
2. Biswas, A. K. and Geping, I. Eds. (1987).). Environmental Impact Assessment in Developing Countries. Tycooly
International Press.
3. Biswas, A. K. and Agarwal, S. B. C. Eds. (1992). Environmental Impact Assessment in Developing Countries.
Butterworth Heinemann, Oxford.

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4. Carson, R. (1963) Silent Spring.

5. Gilpin, A. (1995). Environmental Impact Assessment: cutting edge for the twenty-first century. Cambridge
University Press.
6. Munn, R. E. (ed) (1975). Environmental Impact Assessment. SCOPE 5. Wiley.
7. NEAP (1994). The Kenya national Environment Action Plan Report. Ministry of Environment and Natural
Resources, Nairobi.
8. Republic of Kenya (2000). The Environmental Management and Co-ordination Act, 1999. Kenya Gazette
Supplement Acts, 2000. P.43 - 175.
9. Republic of Kenya (2003). The Environmental (Impact Assessment and Audit) Regulations, 2003. Kenya Gazette
Supplement No. 56 p. 237 – 297.
10. Tole, M. P. (1997) (Ed.). Environmental Impact Assessment in Kenya: Theory and Practice. Proceedings of the
Environmental Impact Assessment Seminar, July/August 1996. Academy Science Publishers, Nairobi 89pp.
11. Wathern, P. (1988). Environmental Impact Assessment: Theory and Practice. Unwin Hyman.
12. World Bank (1991). Environmental Assessment. Operational Directive 4.01.

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Historical Background and need for EIA

Introduction

Concerns about the impacts of pollution on the environment in general, and on human
health in particular arose in the 1950s and 1960s, and continued into the 1970s. Air
pollution in London due to domestic, industrial and vehicular emissions led to 12,000
deaths in the London smog disaster in the winter of 1952; Rachel Carson’s book, “Silent
Spring” of 1962 pointed out the fact that activities in America were affecting, not just the
environmental quality and health of people in America, but also penguins in Antarctica;
Minamata (1932 – 1952 onwards), Love Canal (1950s, 60s and 70s), and Seveso (July
1976) chemical pollution tragedies all suggested that there are unpleasant consequences
to industrial “development”, particularly when all the possible consequences have not
been thought through as thoroughly as existing knowledge will allow.

Definition

EIA can be defined as, “an examination, analysis and assessment of planned activities
with a view to ensuring environmentally sound and sustainable development” (UNEP
1987), or “a formal study process used to predict the environmental consequences of a
proposed major development project” such as a dam, factory, irrigation project, harbour
(UNEP, 1988). EIA has also been defined as, “an activity designed to identify and predict
the impact on the bio-geophysical environment on man’s health and well being of
legislative proposals, policies, programmes, projects and operational procedures and to
interpret and communicate information about impacts” (Munn, 1977).

EIA is therefore a predictive process that attempts to flag out possible consequences of a
proposed activity before it is undertaken.

All proposed activities have precedents, and therefore it is possible to borrow lessons
learnt from what went before, and apply them to a similar project in a new location.

Historical Development

EIA as a formal process started in the US in the National Environmental Policy Act
(NEPA) of 1969. On 1st January 1970, then US President Richard Nixon signed the Act
into law. The NEPA created the National Environmental Protection Agency as a Federal
agency with the mandate to coordinate all national environment management activities,
and the Council on Environmental Quality (CEQ) in the Office of the President to
prepare annual reports on environmental conditions and trends, and to develop national
policies to promote environmental quality. The National Environmental Policy Act also
required all Federal agencies to consider environmental protection in their activities, and
prescribed how this would be done in terms of procedures. Thus every proposal by a
Federal agency was required to give a detailed statement on the environmental impact of
the proposed action, any unavoidable adverse environmental effects, alternatives to the
proposed action, the relationship between local short term uses of man’s environment and

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the maintenance and enhancement of long term productivity, and any irreversible and
irretrievable commitments of resources which would be involved in the proposed action
should it be implemented. The “detailed statement” came to be known as the
“environmental impact statement”, and was required, not just of Federal projects, but also
private projects that required Federal approval, in addition to Federal programmes,
policies and rules. In 1979 the then US president Jimmy Carter signed an executive order
that extended the requirements of EIA to include US funded projects abroad, and to take
account of (i) potential impacts on the environment of the global commons, (ii)
transboundary environmental effects on a non participating foreign nation, (iii) actions
prohibited or strictly regulated in the US because designed to be of international
importance.

Following the pioneering efforts of the US legislation, many countries have subsequently
enacted their own laws to require the assessment of environmental impacts before major
projects are undertaken.

In Canada, a cabinet resolution of December 1973 created the Federal Environmental

Assessment and Review Process (EARP) for projects initiated by Federal departments
and agencies, and for those which Federal funds are solicited or which involve Federal
property.

Since then, EIA has spread across the world. In Africa, the pioneering countries included
Mauritius, South Africa, and Uganda. Kenya joined in 2000 after EMCA (1999). But
before then, projects funded by the World Bank required an EIS.

References
Carson, R. (1962) Silent Spring. Houghton Mifflin

Clark, B. D. (1990) Environmental Impact Assessment (EIA): Origins, evolution, scope,

and objectives. Paper presented at the 11th International Seminar on EIA and Management
8 – 21 July 1990 CEMP Aberdeen, U.K.

Munn, R. E. (Ed.) (1977) Environmental Impact Assessment 2 nd Ed. John Wiley and Sons
Toronto.

Situma, F. D. P. (1997) Environmental Impact Assessment: its genesis, evolution, legal

and institutional aspects and relevance to Kenya. In Tole, M. P. (Ed.) Environmental
Impact Assessment in Kenya: Theory and Practice. Proceedings of the Environmental
Impact Assessment Seminar, July/August 1996. Academy Science Publishers, Nairobi
89pp.

UNEP (1987) Governing Council Decision 14/25 of June 17, 1987

UNEP (1988) Environmental Impact Assessment: Basic Procedures for developing

countries. UNEP, Nairobi

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Concepts, Methods and Techniques in EIA

Introduction

Concern about the environment is not a new phenomenon; at least in so far as "the
environment" had a direct and adverse impact on human health and well being. In most
countries of the world, there have been "public health" or "community health" officials to
ensure a sanitary and safe environment for communities residing in a given area.
Spraying of breeding sites for insects to eradicate, for example, malaria-causing
mosquitoes, flies, etc were carried out in Europe and America, with great success in
protection of human health.

Later, it was realised that these well-meaning efforts were later having unforeseen
adverse health impacts (Carson, 1962). A need to attempt to predict future implications of
supposedly beneficial actions became apparent, in order to minimise immediate and long-
term adverse outcomes, and maximise the good outcomes in any action. Thus
Environmental Impact Assessment, as a process was instituted to achieve this, initially in
the USA as a result of the NEPA legislation of 1969, which became operational in 1970.
The concept and practice of EIA has diffused around the world since then through
government legislations, but sometimes through funding agency requirements.

Definitions

"Environment" means "surroundings", and includes the sum total of physical, biological,
and socio-economic attributes of a place or community.

"Impact" means an effect, as in changes to the environment resulting from some action.

"Assessment" means an evaluation.

All these terms lack precision, and are subject to some degree of interpretation. It can
generally be stated, however, that an Environmental Impact Assessment is a process
which attempts to predict future effects of an action on the surroundings of a given place
or community. It is meant to be a proactive tool for minimising damage to the
environment, and maximising benefits overall.

As early as 1975, (Munn, 1975) defined Environmental Impact Assessment as, "an
activity designed to identify and predict the impact on the bio-geophysical environment
and on man's health and well-being of legislative proposals, policies, programmes,
projects, and operational procedures, and to interpret and communicate information about
the impacts."

In Kenya Section 58 of the Environmental Management and Coordination Act, 1999

requires that all proponents of projects specified in the Second Schedule to submit a
project report to the National Environment Management Authority.

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If the Authority is of the opinion that the proposed project may, or is likely to have or will
have a significant impact on the environment, then the project proponent shall be required
to undertake, at his/her own expense, an environmental impact assessment study and
prepare a report thereof. This report is submitted to the Authority in the prescribed form,
giving the prescribed information.

Steps in EIA

These include: -
1. Preliminary Activities
2. Impact Identification (Scoping)
3. Baseline Studies
4. Impact Evaluation (Quantification)
5. Mitigation Measures
6. Assessment (Comparison of Alternatives)
7. Documentation
8. Decision Making
9. Post Audits

1. Preliminary Activities include identifying who will conduct the EIA, the relevant
stakeholders, as well as collecting and reviewing the appropriate project documentation,
laws, regulations, agreements, and standards.

2. Scoping involves listing all possible impacts, based on past experiences elsewhere of
similar projects, and theoretical knowledge of what the project will involve (in the case of
a first time project). The scope of the project (area, magnitude, sensitive sites, and
significance) is placed in the context of all possible outcomes of the project.

3. Baseline Studies document existing conditions before the project comes into being.
These include (a) physical conditions of topography, soils, climate, hydrology, noise
levels, aesthetics, among others, (b) biological conditions on the status of the flora and
fauna, sensitive areas such as breeding grounds and migratory paths, (c) chemical state,
such as the pollution status of the area for the air, soils, and water bodies, and (d)
socioeconomic status of the project locality, including population size, structure and
distribution, incomes, health status, and infrastructure. Indigenous communities deserve
special treatment to see that their way of life is not irrevocably disrupted. Special sacred
and ceremonial sites must be documented.

4. Impact Evaluation involves attempting to estimate the magnitudes of the impacts on

the base environmental conditions identified in the baseline studies. Quantification
should be attempted, where possible (magnitude of changes, costs arising from changes).
5. Mitigation measures are proposals for countering adverse impacts. These may be for
example, taking measures to reduce noise or soil erosion hazard, or counseling and
compensating people to be displaced by the project, or making provisions for migration
of animals not to be impeded.

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6. Assessment or comparison of alternatives involves making counter proposals that may

achieve the same objectives, but possibly at lower cost to the environment. Each impact
is analysed for the proposed project and its alternative.

7. Documentation is availing of all supporting documents that were used in conducting

the EIA. It gives all the background information, as well as the details of all studies and
analyses carried out.

8. Decision-Making is done by the project proponent and the appropriate government

authorities. They decide as to whether the project should go on or not. If it is to go on,
which, among the alternatives and mitigation measures are to be adopted? The
recommendations of the EIA may be accepted, accepted with amendments, or rejected all
together. Sometimes, decision-making is influenced by strategic and other political
considerations, in addition to environmental considerations. The case of the Shell
Brentspar platform is notable for decisions forced by Greenpeace, and which was not
necessarily the best alternative for the environment.

9. Post Audits involve periodic monitoring of the project to match predictions with
reality. Were impact predictions accurate? Is there need to introduce additional measures
to protect the environment? Should the project be abandoned or modified on
environmental considerations? Depending on the nature of the project, an audit
programme, every 6 months to 5 years, should be drawn up within the EIA.

There are other procedures used in conducting EIAs, for example those that divide the
procedures into pre-study (activities 1 and 2 above), study (activities 3 to 7 above), and
post-study periods (activities 8 and 9 above).

Discussion and Conclusions

EIA is a proactive process to protect the environment. It should not be carried out with
the bad intentions of simply stopping a project, but rather with the intention of
minimising adverse impacts, and maximising beneficial impacts. It should not be
expensive. Typically EIAs cost between 0.1 and 1% of total project costs. They however
may save the project proponent huge sums of money from future litigation, in addition to
realising direct cost savings through modifications of project designs that may save
energy and material costs.

Because of the multidisciplinary nature of issues addressed in an EIA, the exercise should
be carried out by a team encompassing expertise in all important areas identified in the
Scoping.
Abuse of the EIA process should be avoided, as this leads to loss of public faith in the
process, and does harm to the environment in the long run. The EIA should be carried out
by independent persons, who do not have any vested interests for or against the project.

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Bibliography

13. Ahmad, Y. J. and Sammy, G. K. (1987). Environmental Impact Assessment in

Developing Countries. Hodder and Stoughton, London.
14. Biswas, A. K. and Agarwal, S. B. C. Eds. (1992). Environmental Impact Assessment
in Developing Countries. Butterworth Heinemann, Oxford.
15. Biswas, A. K. and Geping, I. Eds. (1987).). Environmental Impact Assessment in
Developing Countries. Tycooly International Press.
16. Carson, R. (1962) Silent Spring. Houghton Mifflin
17. Gilpin, A. (1995). Environmental Impact Assessment: cutting edge for the twenty-
first century. Cambridge University Press.
18. Munn, R. E. (ed) (1975). Environmental Impact Assessment. SCOPE 5. Wiley.
19. NEAP (1994). The Kenya national Environment Action Plan Report. Ministry of
Environment and Natural Resources, Nairobi.
20. Republic of Kenya (2000). The Environmental Management and Co-ordination Act,
1999. Kenya Gazette Supplement Acts, 2000. P.43 - 175.
21. Wathern, P. (1988). Environmental Impact Assessment: Theory and Practice. Unwin
Hyman.
22. World Bank (1991). Environmental Assessment. Operational Directive 4.01.

Appendix I - Checklist of Impacts

Physical

Climate: temperature, humidity, rainfall, wind, light, cyclones/hurricanes, climate change

impacts.
Noise: background levels, levels under project, impacts.
Radiation: type, intensity, changes, impacts.
Air: structure, composition.
Soils: underlying rock types, soil type, permeability, fertility, erodability, slope stability.
Topography: slopes, hills, rivers, lakes, wetlands.
Surface Water: runoff, water levels, flow paths
Groundwater: depth to the water table, recharge rates and directions, outflow rates and
directions, locations of springs and wells.
Geology: earthquakes, volcanic eruptions

Biological

Flora: types and distribution, indigenous, established versus opportunistic, sensitive

habitats, uses, impacts of disturbance and pollution.
Fauna: types, distribution, and population sizes and trends, migration patterns and paths,
breeding grounds, sensitive habitats, uses, impacts of disturbance and pollution

Chemical Impacts

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Air: Quality and possible changes

Water: Quality and possible changes
Soils: Chemistry and possible changes

Socio-Economics

Population: structure and distribution, diversity, relationship to other communities.

Economics: Livelihood activities, employment opportunities.
Social and technical infrastructure: housing, health, education, transport, recreation,
energy, communication.

Appendix II. - Second Schedule (s. 58(1), (4) of EMCA 1999

Projects to Undergo Environmental Impact Assessment

1. General
(a) an activity out of character with its surrounding;
(b) any structure of a scale not in keeping with its surrounding;
(c) major changes in land use

2. Urban Development including: -

(a) designation of new townships;
(b) establishment of industrial estates;
(c) establishment or expansion of recreational areas;
(d) establishment or expansion of recreational townships in mountain areas, national
parks and game reserves;
(e) shopping centers and complexes.

3. Transportation including
(a) all major roads;
(b) all roads in scenic, wooded or mountainous areas and wetlands;
(c) railway lines;
(d) airports and airfields
(e) oil and gas pipelines
(f) water transport.

4. Dams, rivers and water resources including

(a) storage dams, barrages and piers;
(b) river diversions and water transfer between catchments;
(c) flood control schemes;
(d) drilling for the purpose of utilising groundwater resources including geothermal
energy.

5. Aerial spraying

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6. Mining, including quarrying and open-cast extractions of

(a) precious metals;
(b) gemstones;
(c) metalliferous ores;
(d) coal;
(e) phosphates;
(f) limestone and dolomite
(g) stone and slate
(h) aggregates, sand and gravel;
(i) clay;
(j) exploration for the production of petroleum in any form
(k) extracting alluvial gold with use of mercury.

7. Forestry related activities including

(a) timber harvesting;
(b) clearance of forest areas;
(c) reforestation and afforestation.

8. Agriculture including
(a) large-scale agriculture;
(b) use of pesticide;
(c) introduction of new crops and animals;
(d) use of fertilisers;
(e) irrigation.

9. Processing and manufacturing industries including

(a) mineral processing, reduction of ores and minerals;
(b) smelting and refining of ores and minerals;
(c) foundries;
(d) brick and earthenware manufacture;
(e) cement works and lime processing;
(f) glass works;
(g) fertiliser manufacture or processing;
(h) explosive plants;
(i) oil refineries and petro-chemical works;
(j) tanning and dressing of hides and skins;
(k) abattoirs and meat-processing plants;
(l) chemical works and process plants;
(m)brewing and malting;
(n) bulk grain processing plants;
(o) fish-processing plants;
(p) pulp and paper mills;
(q) food-processing plants;
(r) plants for the manufacture of assembly of motor vehicles;
(s) plant for the construction or repair of aircraft or railway equipment;

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(t) plants for the manufacture or assembly of motor vehicles;

(u) plants for the manufacture of tankers, reservoirs and sheet-metal containers;
(v) plants for the manufacture of coal briquettes;
(w) plant for manufacturing batteries.

10. Electrical infrastructure including

(a) electricity generation stations;
(b) electrical transmission lines;
(c) electrical substations;
(d) pumped storage schemes.

11. Management of hydrocarbons including

the storage of natural gas and combustible or explosive fuels.

12. Waste disposal including

(a) sites for solid waste disposal;
(b) sites for hazardous waste disposal;
(c) sewage disposal works;
(d) works involving major atmospheric emissions
(e) works emitting offensive odours.

13. Natural conservation areas including

(a) creation of national parks, game reserves and buffer zones;
(b) establishment of wilderness areas;
(c) formulation or modification of forest management policies;
(d) formulation of modification of water catchment management policies;
(e) policies for the management of ecosystems, especially by use of fire;
(f) commercial exploitation of natural fauna and flora;
(g) introduction of alien species of fauna and flora into ecosystems.

14. Nuclear reactors.

15. Major developments in biotechnology including the introduction and testing of

genetically modified organisms.

Appendix III - World Bank Guidelines

Sample Terms of Reference (TOR) for Environmental Assessment

1. Introduction. This section should state the purpose of the terms of reference, identify
the development project to be assessed, and explain the executing arrangements for the
environmental assessment.

2. Background Information. Pertinent background for potential parties who may conduct
the environmental assessment, whether they are consultants or government agencies,
would include a brief description of the major components of the proposed project, a
statement of the need for it and the objectives it is intended to meet, the implementing

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agency, a brief history of the project, (including alternatives considered), its current status
and timetable, and the identities of any associated projects. If there are other projects in
progress or planned within the region, which may compete for the same resources, they
should also be identified here.

3. Objectives. This section will summarize the general scope of the environmental
assessment and discuss its timing in relation to the processes of project preparation,
design, and execution.

4. Environmental Assessment Requirements. This paragraph should identify any

regulations and guidelines, which will govern the conduct of the assessment or specify
the content of its report. They may include any or all of the following:

 Operational Policy (OP) and Bank Procedure (BP) 4.01: "Environmental Assessment"
and other pertinent policies and procedures;

 National laws and/or regulations on environmental reviews and impact assessments;

 Regional, provincial or communal environmental assessment regulations;

 Environmental assessment regulations of any other financing organizations involved

in the project.

5. Study Area. Specify the boundaries of the study area for the assessment (e.g., water
catchment, airshed). If there are any adjacent or remote areas which should be considered
with respect to impacts of particular.

6. Scope of Work. In some cases, the tasks to be carried out by a consultant will be
known with sufficient certainty to be specified completely in the terms of reference. In
other cases, information deficiencies need to be alleviated or specialized field studies or
modelling activities performed to assess impacts, and the consultant will be asked to
define particular tasks in more detail for contracting agency review and approval. Task 4
in the Scope of Work is an example of the latter situation.

7. Task 1. Description of the Proposed Project. Provide a brief description of the relevant
parts of the project, using maps (at appropriate scale) where necessary, and including the
following information: location; general layout; size, capacity, etc.; pre-construction
activities; construction activities; schedule; staffing and support; facilities and services;
operation and maintenance activities; required offsite investments; and life span. [Note:
there may be particular types of information appropriate in the description of the project
category you are concerned with. Please specify them here.]

8. Task 2. Description of the Environment. Assemble, evaluate and present baseline data
on the relevant environmental characteristics of the study area. Include information on
any changes anticipated before the project commences. [Annotate or modify the lists
below to show the critical information for this project category, or that which is irrelevant
to it. You should particularly avoid compiling irrelevant data.]

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(a) Physical environment: geology; topography; soils; climate and meteorology;

ambient air quality; surface and ground- water hydrology; coastal and oceanic
parameters; existing sources of air emissions; existing water pollution discharges;
and receiving water quality.

(b) Biological environment: flora; fauna; rare or endangered species; sensitive

habitats, including parks or preserves, significant natural sites, etc.; species of
commercial importance; and species with potential to become nuisances, vectors
or dangerous.

(c) Socio-cultural environment (include both present and projected where

appropriate): population; land use; planned development activities; community
structure; employment; distribution of income, goods and services; recreation;
public health; cultural properties; tribal peoples; and customs, aspirations and
attitudes.

9. Task 3. Legislative and Regulatory Considerations. Describe the pertinent regulations

and standards governing environmental quality, health and safety, protection of sensitive
areas, protection of endangered species, siting, land use control, etc., at international,
national, regional and local levels (The TOR should specify those that are known and
require the consultant to investigate for others.)

10. Task 4. Determination of the Potential Impacts of the Proposed Project. In this
analysis, distinguish between significant positive and negative impacts, direct and
indirect impacts, and immediate and long-term impacts. Identify impacts which are
unavoidable or irreversible. Wherever possible, describe impacts quantitatively, in terms
of environmental costs and benefits. Assign economic values when feasible. Characterize
the extent and quality of available data, explaining significant information deficiencies
and any uncertainties associated with predictions of impact. If possible, give the TOR for
studies to obtain the missing information. [Identify the types of special studies likely to
be needed for this project category.]

11. Task 5. Analysis of Alternatives to the Proposed Project. Describe alternatives that
were examined in the course of developing the proposed project and identify other
alternatives which would achieve the same objectives. The concept of alternatives
extends to siting, design, technology selection, construction techniques and phasing, and
operating and maintenance procedures. Compare alternatives in terms of potential
environmental impacts; capital and operating costs; suitability under local conditions; and
institutional, training, and monitoring requirements. When describing the impacts,
indicate which are irreversible or unavoidable and which can be mitigated. To the extent
possible, quantify the costs and benefits of each alternative, incorporating the estimated
costs of any associated mitigating measures. Include the alternative of not constructing
the project, in order to demonstrate environmental conditions without it.

12. Task 6. Development of Environmental Management Plan, with focus on three

generic areas: Mitigation measures, institutional strengthening and training, and

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monitoring. The emphasis on each of these areas depends on the needs in the specific
project context, as identified by the EA itself.

Mitigation of environmental impact: Recommend feasible and cost-effective

measures to prevent or reduce significant negative impacts to acceptable levels.
Estimate the impacts and costs of those measures. Consider compensation to
affected parties for impacts which cannot be mitigated. The plan should include
proposed work programs, budget estimates, schedules, staffing and training
requirements, and other necessary support services to implement the mitigating
measures.

Institutional strengthening and training: Identification of institutional needs to

implement environmental assessment recommendations. Review the authority and
capability of institutions at local, provincial/regional, and national levels and
recommend steps to strengthen or expand them so that the management and
monitoring plans in the environmental assessment can be implemented. The
recommendations may extend to new laws and regulations, new agencies or
agency functions, intersectoral arrangements, management procedures and
training, staffing, operation and maintenance training, budgeting, and financial
support.

Monitoring: Prepare detailed arrangements for monitoring implementation of

mitigating measures and the impacts of the project during construction and
operation. Include in the plan an estimate of capital and operating costs and a
description of other inputs (such as training and institutional strengthening)
needed to carry it out.

15. Task 7. Assist in Inter-Agency Coordination and Public/NGO Participation. Assist in

coordinating the environmental assessment with other government agencies, in obtaining
the views of local NGO's and affected groups, and in keeping records of meetings and
other activities, communications, and comments and their disposition. (The Terms of
Reference [TOR] should specify the types of activities; e.g., interagency scoping session
environmental briefings for project staff and interagency committees, support to
environmental advisory panels, public forum.)

16. Report. The environmental assessment report should be concise and limited to
significant environmental issues. The main text should focus on findings, conclusions and
recommended actions, supported by summaries of the data collected and citations for any
references used in interpreting those data. Detailed or uninterpreted data are not
appropriate in the main text and should be presented in appendices or a separate volume.
Unpublished documents used in the assessment may not be readily available and should
also be assembled in an appendix. Organize the environmental assessment report
according to the outline below:

Executive Summary

Policy, Legal and Administrative Framework

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Description of the Proposed Project

Baseline Data

Significant Environmental Impacts

Analysis of Alternatives

Environmental Management Plan

Appendices:

List of Environmental Assessment Preparers

References Record of Interagency/Forum/Consultation Meetings

(This is the format suggested in BP 4.01, Annex B; the TOR may specify a different one
to satisfy national agency requirements as long as the topics required in the Bank's
directive are covered.)

17. Consulting Team. Environmental assessment requires interdisciplinary analysis.

Identify in this paragraph which specializations ought to be included on the team for the
particular project category.

18. Schedule. Specify dates for progress reviews, interim and final reports, and other
significant events.

19. Other Information. Include here lists of data sources, project background reports and
studies, relevant publications, and other items to which the consultant's attention should
be directed.

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The EIA Process 1: Preliminary activities (constituting the EIA study team, seeking
authorizations, ToRs)

Introduction

Preliminary Activities include identifying the relevant stakeholders that will be impacted
on by the proposed activity, whether an EIA study is necessary or not, who will conduct
the EIA, as well as collecting and reviewing the appropriate project documentation, laws,
regulations, agreements, and standards.

Identifying the Relevant Stakeholders

Stakeholders are those organizations, individuals and communities that have a direct or
indirect interest in the project. These will include the project proponent, government
agencies directly responsible for the project (e.g. the Water Ministry for water projects),
environmental protection agencies (e.g. NEMA, Wildlife Service, Forest Service, Soil
and Water Conservation Department (Agriculture?)), local communities, Civil Society
groups (local and international NGOs and CBOs), government administration and law
enforcement agencies. The process of identifying stakeholders should be as
comprehensive and inclusive as possible. Notices in the press help to ensure that all those
who claim to be stakeholders are included.

Who will conduct the EIA?

The environment encompasses the physical, biological, chemical, socio-economic, and

political spheres of the surroundings. It is not possible for one individual to have
expertise in all the diverse areas of environment. EIA must therefore be conducted by a
team of several experts, and not by one individual. Selection of the EIA personnel is
critical to ensuring that the EIA is conducted successfully. The lead EIA expert should be
in the field of study (e.g. a hydrologist for a water project). A typical water project will
involve the following expertise:
 Physical Sciences expert (geologist, geophysicist, meteorologist)
 Hydrologist
 Chemist
 Environmental Health expert
 Sociologist
 Economist
 Biologist

The Physical Sciences expert will conduct site investigations (e.g. for a dam) to
determine suitability of the site in terms of topography, geology, soils and weather among
others, and how these will be impacted on by the proposed activity. The hydrologist will
carry out water balance budgets before and after the project. The chemist will examine
the water quality impacts. The environmental health expert will look at disease
epidemiology before, during and after the project. The sociologist will examine the social

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conditions and impacts of the proposed activity. The economist will examine the
environmental costs and benefits of the project, and the biologist will look at impacts on
the ecology (flora and fauna) of the project area.

The team constituted should be able to work together in harmony, and towards the same
goal. Responsibilities and tasks should be clearly defined, and reporting protocols should
be agreed upon.

Project Documentation

All existing project documentation should be made available to the EIA team by the
project proponent. This includes the description of the proposed project, in as much detail
as possible. These include proposed project site, size of project, technology to be used in
the project, material and energy inputs, as well as the expected products and wastes.
Modifications to the project should be communicated immediately to the EIA team.

Seeking Authorisations

EIA studies may involve data collection in “sensitive” areas. Several authorisations will
be required to facilitate the conduct of physical, chemical, biological, health, and social
studies. Even getting maps may require authorisation! The EIA experts must be familiar
with the regulations governing acquisition of data and holding public meetings in the
country of study.

Legal Issues – Policies, Laws, Regulations, Agreements, Standards

Legal issues include policies, laws and regulations governing the project, as well as any
agreements and standards that have a direct bearing on the project. In a water project,
relevant laws may involve the Water Act, Fisheries Act, Local Government Act,
Navigation Act, among others.

Developing Terms of Reference (ToRs)

The Terms of Reference are developed by the Project Proponent and approved by the
Environment Authority (e.g. NEMA). The Proponent then submits the names and
qualifications of experts appointed to conduct the EIA study on behalf of the Project
Proponent. The study should be conducted by a Team of Experts led by a lead expert,
who is the contact person with the Environment Authority.

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Example of (Generic) Terms of Reference for the EIA Study

The environmental impact study will consist of:

(i) Preliminary activities: Discussions leading to agreements on Terms of Reference.

(ii) Setting up the team to conduct the EIA
(iii) Impact identification (Scoping)
(iv) Baseline studies, including Physical status (climate, hydrology, soils, and
earthquake/volcanic eruption hazards), Biological status (existing plant and
animal species), Chemical environment status (air, water, soil pollution), Human
health and socioeconomic status (livelihoods, lifestyles, and income levels).
(v) Impact Evaluation (Quantification) of the likely impacts on the Physical,
Biological, Chemical, and Socio-economic milieu as documented in (iv) above.
(vi) Mitigation measures to conserve, or improve on the milieu in (iv) above to
maximise project benefits to the environment.
(vii) Assessment (Comparison of Alternatives)
(viii) Environmental Management Plan
(ix) Documentation (production of the final EIA report, including assessment of
alternatives)
At all stages, consultations with all stakeholders will be made in so far as is possible
(Local communities, Environmental Advocacy groups in the area, including the River
Basin Associations, Relevant Government ministries and departments, NGOs, and
CBOs).

List of Environmental Impact Assessment Study Personnel

Lead Expert in Study Dr. A.B. C Area of specialization and address

Biological Impacts Dr. D.E. F Area of specialization and address
Physical Impacts Dr. G.H. J Area of specialization and address
Chemical Impacts Dr. K.L. M Area of specialization and address
Health Impacts Dr. N.O. P Area of specialization and address
Socio-economic Impacts Dr. Q.R. S Area of specialization and address

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Check List for Water Resources Projects

Examples of Projects:

Dams and Reservoirs

Inter basin water transfers
Irrigation and drainage
Flood control schemes
River diversions
Groundwater abstraction (boreholes, wells)
Rural sanitation (pit latrines, septic tanks and cesspits)
Urban sanitation (sewerage systems, storm water drainage, wastewater treatment)
Water purification plants
Household water supply (boreholes, shallow wells, rain water harvesting), conveyance
and distribution
Fisheries and aquaculture
Energy generation projects (hydroelectric and geothermal power)
Water navigation and water sports

Project Requirements:

Capital
Land
Labour
Energy
Construction materials
Plant and equipment
Surface and/or groundwater
Water treatment agents (chemicals, biota)

Project Activities:

Estimate water demand and supply

Determine the quality and quantity of water sources
Determine reliability of water sources
Identify suitable sites for water supply sources, storage, treatment, and disposal
Determining the existing water supply and sewerage facilities

Activities during Construction:

Land acquisition
Resettlement
Establishing project site and routing
Suitability of the ground to bear water load (structure and strength of rocks, seismicity)
Site and route preparation
Support infrastructure (access roads, power, housing, and telecommunications)

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Civil works (landscaping, excavation, land filling)

Transport raw materials to site
Construction and supervision
Removal and disposal of waste materials

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The EIA Process 2: Scoping and Baseline Studies

Introduction

Scoping involves listing all possible impacts, based on past experiences elsewhere of
similar projects, and theoretical knowledge of what the project will involve (in the case of
a first time project). The scope of the project (area, magnitude, sensitive sites, and
significance) is placed in the context of all possible outcomes of the project.

Baseline Studies document existing conditions before the project comes into being. These
include (a) physical conditions of topography, soils, climate, hydrology, noise levels,
aesthetics, among others, (b) biological conditions on the status of the flora and fauna,
sensitive areas such as breeding grounds and migratory paths, (c) chemical state, such as
the quality, vis a vis pollution of the air, soils, and water bodies in the area, and (d)
socioeconomic status of the project locality, including population size, structure and
distribution, incomes, health status, and infrastructure. Indigenous communities deserve
special treatment to ensure that their way of life is not irrevocably disrupted. Special
sacred and ceremonial sites must be documented.

Scoping

Scoping identifies the range of issues that must be addressed during the EIA study. Issues
must be listed as comprehensively as possible, and then ranked into primary (key) and
secondary issues.

It is important that the publics are consulted at this stage, to find out what issues are
important to them. The EIA study should focus on addressing the key issues of concern.
Many projects fail to gain acceptance because this stage of the EIA was not done
properly.

The expert may have his/her own views about what issues are important, and overlook
the concerns of the community, and therefore fail to put appropriate emphasis on those
concerns. In such a case, the project will not be accepted by the community in which it is
hosted.

In Kenya, there are examples of Tana Delta land ownership and land use; Tiomin land
compensation; Sondu Miriu job allocation and social amenities.

The issues identified should be prioritised, and a strategy for addressing and resolving
each of the issues formulated for further consideration.

The scoping exercise should therefore involve the project proponent, the EIA experts, the
Environment authority (e.g. NEMA), lead agencies, affected public, concerned public,
NGOs and CBOs. A checklist can be used to get the views of all stakeholders on the
issues they consider to be important. This is then analysed and discussed so that the most

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important issues are given more weight in terms of resources during the actual EIA study.
(See checklist Table 1).

Table 1. Example of a Check list for Environmental Impacts of Water Resources

Development Projects

The checklist provided below gives a comprehensive guide to the areas of environmental
concern which should be considered in the planning, design, operation and management
of irrigation, drainage and flood control projects.

Project name/location………………………………..

Enumerator’s name…………………………………..

Assessment: 1st/2nd/………………………Date …………………

For each potential Positive Impacts Negative Impacts

environment impact None Minor Major None Minor Major
place a cross (x)
Hydrology
Low flow regime
Flood regime
Operation of dam
Water table level
Surface water quality
Ground water quality
Eutrophication
Pollution
Noise
Agrochemicals
Organic Pollution
Anaerobic Effects
Gas emissions
Soils
Salinisation
Soil Properties
Waterlogging
Erosion
Soil Fertility
Soil Productivity

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For each potential Positive Impacts Negative Impacts

environment impact None Minor Major None Minor Major
place a cross (x)
Sediments
Local erosion
Hinterland effect
River morphology
Channel engine
Sedimentation
Estuary erosion
Ecology
Projects lands
Water bodies
Surrounding area
Valleys and slopes
Wetlands and plains
Wildlife
Vegetation
Climate
Socio-Economic
Population change
Income
Employment
Arable agriculture
Settlement
Recreational sites
Historical and
archaeologist sites
Livestock raising
Tourism
Infrastructure
Fishing
Land tenure

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For each potential Positive Impacts Negative Impacts

environment impact None Minor Major None Minor Major
place a cross (x)
Health
Water and sanitation
Nutrition
Relocation effect
Disease effect
Disease ecology
Disease control
Disease hazards
Imbalances
Pests and weeds
Animal diseases
Aquatic weeds
Structural damage
Animal imbalances

The Terms of Reference (ToRs) can then be modified to detail the strategies of addressing
the key issues. (Some authors suggest that ToRs should only be developed after the
scoping stage. But already, the EIA experts will have done some considerable work to
reach this stage, and that work should have been captured in the initial ToRs).

A scoping report may be produced.

Baseline Studies

Baseline studies must document the state of the environment as at the time of the start of
the project. The issues in the checklist below are documented, either through primary data
collection, or from existing secondary data (e.g. climatic conditions).

Table 2: CHECKLIST FOR BASELINE INFORMATION

STUDY MODULES SCOPE AND COVERAGE METHODOLOGY (TYPE MAPS/FIGURES

AND SOURCE) REQUIRED
A. PHYSICAL ENVIRONMENT
1.1 Inland  Terrain analysis (landform  Slope and elevation  Topographic map Scale
Topography pattern) analysis 1:50,000 or larger
1.2 Coastal  Slope and elevation  Coastal features analysis
Topography –  Type of coast (if applicable) Coastal topographic map (if

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the coast is a  Coastal features – lowland, applicable) Scale 1:50,000 or

broad zone that beaches, marine cliffs, littoral larger
includes both areas, shoal areas (if
land and water applicable)
(if applicable)
2. Geology (inland  Rock types formation  Geological profiling  Regional and local
and if applicable  Regional tectonic setting  Ground stability analysis geologic map Scale
coastal (crustal fractures/faulting  Coastal features analysis 1:50,000 & 1:10,000
folding warping) (if applicable)  Coastal geologic map (if
 Vulcanism applicable) Scale 1:50,000
 Earthquakes and associated
hazards including coastal if
applicable
3. Soils  Soil cover and condition  Soil survey  Soil map Scale 1:50,000
 Soil physical and chemical  Existing and projected
characteristics / analysis soil erosion and
 Erosion and deposition deposition map Scale
1:50,000
4. Hydrology /  Surface water characteristics,  Hydro-geological studies  Local and regional
Geohydrology watershed areas, river systems  Peak flood / flood hydrologic map/geo-
 Groundwater characteristics, frequency analysis hydrologic map Scale
water table depth  Ground water analysis 1:50,000
 Coastal water characteristics  Characterization and  Water supply and demand
(if applicable) measurements of inland projections
 Drainage systems surface water  Drainage map
 Water use conflict  Estimation of demand for Scale !:50,000
 Ten-year water supply- potable water and/or  Groundwater availability
demand projection (water irrigation map (local) Scale
balance)  Identification of current 1:50,000
water in the area  Flood peaks and volumes
 Mean monthly stream
flow
 Storm water flow
estimates summary of
spring and well inventory
 Ten-year supply of water
supply demand
5. Meteorology/  Rainfall pattern  Secondary data from  Wind rose diagrams
climatology  Frequency distribution of KMD, Research Stations,  Climograph
surface wind direction Projects or private  Climatological normals
 Rainfall and climatological individuals and extremes
normals and extremes
 Frequency of tropical storms,
depression, thunderstorms,
typhoons
 Temperature
 Associated atmospheric
disturbances

6. Oceanography (if  Predicted tides, 24 – hr. tidal  Tidal / surface current  Bathymetrical map )if
applicable) cycles, tidal currents analysis (id applicable) applicable)
 Surface currents  Scale 1:50,000
 Underwater hazards including
tsunamis if applicable
 Bathymentry
7. Air Quality  Ambient air quality  Air quality measurements  Sampling station maps

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 TSPs, NOx, SOx and projections for TSP Scale 1: 10,000

 Identification of air  Result of air quality
pollution sources measurements
8. Water Quality  Physical-chemical  Sampling and analysis  Sampling stations map
characteristics of coastal DAO 34 and 35 scale 1:10,000
waters and/or surface waters  Results of laboratory
(pH, colour, turbidity, TSS, analysis
DO, - BOD, temperature,
nitrates, phosphates, and
metallic components, if
applicable
 Bacteriological characteristics
(total coliform)
9. Noise level  Ambient noise levels at the  Noise quality  Results of noise level
project site, nearby measurements measurements
community, and boundary of  Identification of noise  Sampling stations map
property line pollution sources Scale 1:10,000
B. BIOLOGICAL ENVIRONMENT
1. Flora  Vegetative cover to include  Survey/inventory of  Flora species inventory
endangered and threatened terrestrial and freshwater  Vegetation map
terrestrial and freshwater plant flora  Transect map Scale
species. 1:10,000
 Summary of abundance and
frequency of distribution
 Forest stand and stock table, if
applicable
2. Fauna  Terrestrial fauna including  Survey/inventory  Species inventory
endangered and threatened terrestrial fauna  Site observation and
fauna species sampling plot maps Scale
 Fauna species inventory 1:10,000
survey  Inventory of disease
 List of identified insects and carrying insects and
other anthropods collected vectors (mosquitoes,
snails)
3. Aquatic Fresh / Densities of seagrass
  Survey of aquatic fauna  Sea bottom cover map
Marine Environment Plankton/benthic life form
 showing coral and seagrass
cover beds Scale 1:10,000
 Abundance and distribution of  Recent resource map Scale
hard/soft coral 1:50,000
 List of fish species
 Ranks and proportion of
commercially and non-
commercially indicators
species
C. SOCIAL-ECONOMIC CULTURAL ENVIRONMENT
1. Demography  Population size  Principal data from sub-  Settlement map or
 Growth rate location level population distribution
 Population density, household  Public perception survey map Scale1:10,000
size, dependency ratio  Household profile  Relocation site map Scale
 Population by gender  Secondary data from 1:10,000
 Population by age government reports and  Public perception survey
 Population by religion other sources report
 Educational attainment  Survey/inventory  Map showing the primary
 Literacy rate and secondary impact area
 No. of households directly Scale 1:10,000

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affected by project
Household population by

employment status
 Migration rates, rural and
urban/ international
 Occupation and employment
status
2. Health  Leading causes of morbidity  Inventory of social
and mortality in children and services in the project site
adults (welfare centres, public
 Morbidity and mortality clinics, etc)
 Data on private hospital/clinic
and public health facilities and
staff
3. Other Social  Housing Characteristics and  Inventory of social
Services utilities services in the project site
 School facilities (houses, schools, tourist
 Tourism facilities spots, etc)
 Telecommunications, water
and power facilities
4. Transportation  Network and mode of  Identification of main and  Road access map
transportation access roads, mode of
 Traffic volumes and transportation
compositions of traffic as  Estimated volumes of
function of the time of day traffic and composition of
 Traffic congestion and traffic as function of time
capacity of road networks of day
D. WOMEN AND MINORITY GROUPS
1. Women and  Status of living of women and
Minority Groups minority groups
 Role of women in the
community
 Population of distinct
indigenous community
 Other minority groups
(children, physically
challenged groups)
E. ENVIRONMENTAL MANAGEMENT
1. Water System  Description of water system to  Description of water  Location map of source of
be used system water
2. Waste  Sewerage and drainage system  Description of waste  Location map of waste
Management  Centralized wastewater treatment facilities for treatment facilities for
treatment facilities liquid and solid effluent and solids
 Solid waste Management  Water treatment operation
 Toxic and hazardous waste, if flow/schematic diagram
applicable
F. LAND USE
1. Land Use and  Land use plans and  Identification of land use  Land use maps (approved
Zoning development trends in the in project site proposed, existing) Scale
project site  Zoning viability studies if 1:50,000
 Compatibility of the project available  Centrification of zoning
with existing land use viability
 Existing or proposed land use,  Summary of Municipal
residential, commercial development plan.
industrial
G. CULTURAL AND AESTHETIC ART

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1. Archeological /  Natural, Historical, Cultural,  Identification of areas

Historic archaeological properties with important and
Preservation significant archaeological
and historical value
2. Aesthetics  Aesthetic quality  Identification/description
of the visual quality (land,
bodies of water, trees,
plants, buildings, etc)

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EIA PROCESS III: IMPACT ANALYSIS

This topic reflects the three faces of impact analysis that are undertaken as part of the
EIA process:
 Identify more specifically the impacts to be investigated in detail;
 Predicting the main characteristics of the impacts; and
 Evaluating the significance of the residual impacts that cannot be mitigated.
Impact analysis is the technical heart of the EIA process. Depending on requirements,
EIA trainers may focus selectively on the above phases going only into the detail on the
methods and tools that is appropriate. It is expected that only those groups requiring a
comprehensive introduction to impact analysis will work through the whole topic.
Reviewing the screening and scoping phases of EIA process linking then to the impact
assessment stage process.
The screening phase of the EIA determines whether or not EIA process is required for a
particular proposal. The scoping phase identifies the important issues that should be
investigated in details (making sure that time and money is not wasted investigating
issues that are not of concern).
The next stage of EIA process is when a detailed assessment is undertaken to forecast the
characteristics of the main potential impacts. Known as impact analysis, this stage can be
broken down into three overlapping phases:
 Identification – to specify the impacts associated with each phase of the project
and the activities undertaken;
 Prediction – to forecast the nature, magnitude, extent and duration of the main
impacts ; and
 Evaluation – to determine the significance of residual impacts i.e. after taking
into account how mitigation will reduce a predicted impact.
Impact identification and prediction are undertaken against an environmental baseline,
often delineated by selected indices and indicators (e.g. air/water, noise, ecological
sensitivity, biodiversity). The collection of baseline information and the relevant
biophysical and socio-economic conditions begins during screening and continues in
scoping. Often, additional baseline data will need to be collected to establish reference
points for impact identification and prediction. These requirements should be identified in
the terms of reference.

Impact identification
A logical and systematic approach needs to be taken to impact identification. The aim is
to take account of all of the important environmental/project impacts and interactions,
making sure that indirect and cumulative effects, which may be potentially significant,
are not inadvertently omitted.
This process begins during screening and continues through scoping, which identifies the
key issues and classifies them into impact categories for further study. In the next phase,
the likely impacts are analysed in greater detail in accordance with terms of reference
specifically established for this purpose.

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Over time, a number of EIA methodologies and tools have been developed for use in
impact identification. (Some of them are also useful tools for presenting the results of the
EIA or assigning significance, as discussed later in this topic). In practice, relatively
simple methodologies and tools are applied to impact identification (as compared to more
complex, data- demanding methods which may be used in impact prediction). Experience
indicates these simple methods are of proven value for undertaking a systematic approach
to impact identification.
The most common formal methods used for impact identification are:
 Checklists;
 Matrices;
 Networks;
 Overlays and geographic information systems (GIS);
 Expert systems; and
 Professional judgment

Checklists
Checklists annotate the environmental features or factors that need to be addressed when
identifying the impacts of projects and activities. They can vary in complexity and
purpose, from a simple checklist to a structured methodology or system that also assigns
significance by scaling and weighting the impacts (such as the Battelle Environmental
Evaluation System). Both simple and descriptive checklists can be improved and adapted
to suit local conditions as experience with their use is gained.

Checklists provide a systematized means of identifying impacts. They also have been
developed for application to particular types of projects and categories of impacts (such
as dams or road building). Sectoral checklists often are useful when proponents specialize
in one particular area of development. However, checklists are not as effective in
identifying higher order impacts or the inter-relationships between impacts, and therefore,
when using them, consider whether impacts other than those listed may be important.

Matrices
A matrix is a grid-like table that is used to identify the interaction between project
activities, which are displayed along one axis, and environmental5 characteristics, which
are displayed along the other axis. Using the table, environment-activity interactions can
be noted in the appropriate cells or intersecting points in the grid. ‘Entries’ are made in
the cells to highlight impact severity or other features related to the nature of the impact,
for instance:
 Ticks or symbols can identify impact type (such as direct, indirect, cumulative)
pictorially;
 Numbers or a range of dot sizes can indicate scale; or
 Descriptive comments can be made.

An early, well-known example is the Leopold interaction matrix. This is a comprehensive

matrix, which has 88 environmental characteristics along the top axis and 100 project
actions in the left hand column. Potential impacts 6-2 are marked with a diagonal line in
the appropriate cell and a numerical value can be assigned to indicate their magnitude and

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importance. Use of the Leopold matrix is less common than its adaptation to develop
other, less complex matrices.
Networks
Networks illustrate the cause-effect relationship of project activities and environmental
characteristics. They are, therefore, particularly useful in identifying and depicting
secondary impacts (indirect, cumulative, etc). Simplified networks, used in conjunction
with other methods, help to ensure that important second-order impacts are not omitted
from the investigation.

More detailed networks are visually complicated, time-consuming and difficult to

produce unless a computer programme is used for the task. However, they can be a useful
aid for establishing ‘impact hypotheses’ and other structured science-based approaches to
EIA.
Overlays and Geographic Information Systems
Overlays can be used to map impacts spatially and display them pictorially. The original
overlay technique is an environmental suitability analysis in which data on topographic
features, ecological values and resource constraints are mapped onto individual
transparencies and then aggregated into a composite representation of potential impacts.
This approach is useful for comparing site and planning alternatives, for routing linear
developments to avoid environmentally sensitive areas and for landscape and habitat
zoning at the regional level. Disadvantages of this approach relate to the lack of precision
in differentiating the likelihood and magnitude of impacts and relating them to project
actions. Also, the overlay process can become cumbersome in its original form.

A modern version of the overlay method is the computer-based geographical information

system (GIS). In simple terms, a GIS stores, retrieves, manipulates and displays
environmental data in a spatial format. A set of maps or overlays of a given area provide
different types of information and scales of resolution. The use of GIS for EIA purposes
is not as widespread as commonly imagined. The main drawbacks are the lack of
appropriate data and the expense of creating a usable system. However, the potential
application of GIS to EIA is widely acknowledged and its use is expected to increase in
the future, particularly to address cumulative effects.

Expert Systems
Expert or knowledge-based systems are used to assist diagnosis, problem solving and
decision-making. A number of such computerized systems have been developed for use
in EIA, primarily at the early stages of the process. For example, screening and scoping
procedures have been automated using a number of rules and a data system, which
encodes expert knowledge and judgment. The user has to answer a series of questions
that have been systematically developed to identify impacts and determine their
‘mitigability’ and significance. Based on the answer given to each question, the expert
system moves to the next appropriate question.

Like GIS systems, expert systems are an information-intensive. As such, they are limited
in their current use and application, especially by many developing countries. However,

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they also have the potential to be a powerful aid to systematic EIA in the future not least
because they can provide an efficient means of impact identification. Expert systems also
can be updated by building in experience gained over time.
Professional Judgement
Although not strictly a formal method, professional judgement or expert opinion is
widely used in EIA. Knowledge and expertise gained in EIA work can be used to
systematically develop data banks, technical manuals and expert systems, thereby
assisting in future projects. The successful application of the formal methods of impact
identification described above rests upon professional experience and judgement. Expert
opinion and professional judgement can be focused by the use of interactive methods,
such as Delphi techniques and science workshops, to identify impacts, model cause-effect
relationships and establish impact hypotheses.

Factors Considered When Choosing an Impact Identification Method

No single impact identification methodology is suited to use on all occasions; nor is it
necessary to use only one method at a time. Combining the useful aspects of two different
techniques may be the best approach to take. As noted above, EIA checklists, matrices
and networks can have added value when applied by experts in an interactive process.
Note, also that some of the methods perform other functions that may be useful to the
EIA team (e.g. the Battelle checklist can be used to determine significance).
The choice of methodology can depend upon a number of factors including:
 The type and size of the proposal;
 The type of alternatives being considered;
 The nature of the likely impacts;
 The availability of impact identification methods;
 The experience of the EIA team with their use; and
 The resources available — cost, information, time, personnel.
When using impact identification methods (such as checklists or matrices) developed by
others, care should be taken to ensure that these are suitable for your purpose. A summary
of the main advantages and disadvantages of these methods is given in the table below. In
reviewing them, particular attention should be given to environmental features that are
distinctive or extreme to the region in which the project is proposed (e.g. flood, drought,
temperature, seismic activity, land instability, disease vectors, etc).

ADVANTAGES DISADVANTAGES
Checklists  Easy to understand and use  Do not distinguish between
 Good for site selection and priority setting direct and indirect impacts
 Simple ranking and weighting  Do not link action and impact
 The process of incorporating
values can be controversial
Matrices  Link action to impact  Difficult to distinguish direct
 Good method for displaying EIA results and indirect impacts
 Have potential for double-
counting of impacts
Networks  Link action to impact  Can become very complex if
 Useful in simplified form for checking for used
second order impacts  Beyond simplified version
 Handles direct and indirect impacts
Overlays  Easy to understand  Can be cumbersome
 Focus and display spatial impacts  Poorly suited to address impact

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 Good siting tool duration or probability

GIS & Computer  Excellent for impact identification and  Heavy reliance on knowledge
Expert Systems spatial analysis and data
 Good for ‘experimenting  Often complex and expensive

Impact Prediction
Once all the important impacts have been identified, their potential size and
characteristics can be predicted. Impact prediction or forecasting is a technical exercise. It
utilises physical, biological, socio-economic and cultural data to estimate the likely
characteristics and parameters of impacts (e.g. magnitude, spatial occurrence etc.). A
range of methods and techniques may be employed. These can be a continuum from
simple methods for impact identification (described earlier) to advanced methods, often
involving the application of mathematical models. n many cases, this work will need to
be carried out by specialists in the disciplines involved or in the application of models
and techniques. However, the sophistication of prediction methods used should be in
proportion to the scope of the EIA and relevant to the importance of the particular impact.
Specialists may become involved in research and methodology that is of interest to them
rather than directly related to the impact of the proposal. This can be avoided by making
sure the programme of research and data collection is focused on addressing the concerns
outlined in the terms of reference.
Where possible, impacts should be predicted quantitatively. This makes comparison
among alternatives and with baseline conditions easier and facilitates impact monitoring
and auditing later in the EIA process. If quantification is difficult, then it is important to
use methods that allow the impacts to be estimated and compared systematically. Rating
techniques, for example, can be used to assist impact estimation (as well as assign values)
where there is insufficient data, a high level of uncertainty and/or limited time and money
(all common in many EIAs). The results of qualitative analysis should be communicated
clearly, for example in the form of a range of graded ‘dot sizes’ presented in a table.
Sometimes there are few or no alternatives to qualitative description, as is in the case of
scenic quality, amenity, sense of place or other landscape characteristics. Wherever
possible, description should be based on some type of classification and the impacts
summarised in appropriate form, for example, maps, cross-sections and/or
photomontages.
In most cases, an multi-disciplinary team will conduct the EIA study. The terms of
reference will dictate the composition of the team and the knowledge base and skills
required. When organising different specialists to address a common task or problem, it is
important for the study manager to establish a clear process of communication with, and
amongst, them. This should extend to communication with those responsible for overall
project management, as it is often possible for design changes to be incorporated to
reduce environmental impacts well before the production of the EIA report. This can
result in savings of money and time to the proposal in the long run.
(For further information on EIA project management refer to Topic 12 — EIA project
management.)

Use of Baseline Studies and Data Collection in Impact Prediction

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Impact predictions are made against a ‘baseline’ established by the existing environment
(or by its future state). Known as baseline studies, the collection of data on relevant
biophysical, social and economic aspects provides a reference point against which the
characteristics and parameters of impact-related changes are analyzed and evaluated. In
many cases, it is likely that the current baseline conditions will still exist when a project
is implemented. However, certain projects have long lead times. In these cases,
predictions may need to be made about the future state of the environment (the baseline
condition for the no-development option).
When establishing a baseline, information is gathered on:
 Current environmental conditions;
 Current and expected trends;
 Effects of proposals already being implemented; and
 Effects of other foreseeable proposals.
In practice, assembling baseline information can be time consuming and expensive. There
can be difficulties in collecting appropriate and sufficient information. For example, there
may be unforeseen circumstances in which the collection of data cannot be completed as
required by the Terms of Reference. In such cases, the EIA team may have to revise the
study strategy and/or use their judgment to make predictions. When this occurs it should
be indicated in the EIA report with a short explanation of the reasons.
Specialized knowledge is usually required to oversee, and, where necessary, set limits on
the collection of data required for impact analysis and monitoring. EIA project managers
also need to ensure that time and effort is not spent on unnecessary data collection or that
excessive space in the EIA report is not occupied by a description of baseline conditions.
For example, the baseline chapter or section could be limited to not more than ten per
cent of the total number of pages in the report.
Characteristics of Impacts
An impact or effect can be described as the change in an environmental parameter, which
results from a particular activity or intervention. The change is the difference between the
environmental parameter with the project compared to that without the project (as
represented pictorially in the figure above). It is predicted or measured over a specified
period and within a defined area. The figure below shows depicts an Environmental
Impact.

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Indicator With project

Impact magnitude

Without project

Implementation

Time

When the word impact is used it implies the following:

 The effects on health and population, well-being, environmental habitats,
ecosystems (flora and fauna), agriculture and buildings.
 The effects on climate and atmosphere
 The use of natural resources
 The recycling and disposal of residual materials and wastes
 Related aspects such as the relocation of populations, archaeological sites,
landscapes and shrines, monuments as well as upstream, downstream and cross
border social impacts and effects.

An impact has three main dimensions

 Magnitude – indicates the change in the change of a variable in the environment
within which a project is located. Magnitude can be a measurement e.g. forest
area covered by flood water after dam is constructed. It can also be a prediction
such as the level of noise after a highway is constructed.
 Importance – This represents a judgment by an expert on the importance of
future modifications, taking into account the spatial and temporal context in
which the project is located.
 Significance – refers to the value attributed to by local communities to the two
above dimensions. It is the way they perceive the project and how it will affect
their living space, they way they live and how they wish it to evolve.

An impact can be direct, indirect , residual or cumulative

 Direct impact – This is a cause and effect relationship between some part of the
project and a component of the environment
 Indirect impact – stem from a direct impact and follows it in a sequence of
consequences.
 Cumulative impact – can result from the incremental of the impact when added
to other past, present, and foreseeable future actions

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 Residual impact – is the leftover impact after the implementation of mitigating

measures
The characteristics of environmental impacts vary. Typical parameters to be taken into
account in impact prediction and decision-making include:
 Nature (positive, negative, direct, indirect, cumulative);
 Magnitude (severe, moderate, low);
 Extent/location (area/volume covered, distribution);
 Timing (during construction, operation, decommissioning, immediate, delayed,
rate of change);
 Duration (short term, long term, intermittent, continuous);
 Reversibility/irreversibility;
 Likelihood (probability, uncertainty or confidence in the prediction); and
 Significance (local, regional, global).
Nature
The most obvious impacts are those that are directly related to the proposal, and can be
connected (in space and time) to the action that caused them. Typical examples of direct
impacts are: loss of wetlands caused by agricultural drainage; destruction of habitat
caused by forest clearance; relocation of households caused by reservoir impoundment;
increased air particulate emissions caused by operation of a new power station, etc.
Indirect or secondary impacts are changes that are usually less obvious, occurring later in
time or further away from the impact source. Examples of these types of impacts are: the
spread of malaria as a result of drainage schemes that increase standing water and thereby
create new vector habitat; bio-accumulation and bio-magnification of contaminants in the
food chain through take up of agricultural pesticides; and anxiety, stress and community
disruption associated with increased traffic volumes and noise caused by road
development.
Cumulative effects, typically, result from the incremental impact of an action when
combined with impacts from projects and actions that have been undertaken recently or
will be carried out in the near or foreseeable future. These impacts may be individually
minor but collectively significant because of their spatial concentration or frequency in
time. Cumulative effects can accumulate either incrementally (or additively) or
interactively (synergistically), such that the overall effect is larger than the sum of the
parts.
Magnitude
Estimating the magnitude of the impact is of primary importance. Typically, it is
expressed in terms of relative severity, such as major, moderate or low. Severity, as
opposed to size, also takes account of other aspects of impact magnitude, notably whether
or not an impact is reversible and the likely rate of recovery.
Extent/location

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The spatial extent or zone of impact influence can be predicted for site - specific versus
regional occurrences. Depending on the type of impact, the variation in magnitude will
need to be estimated; for example, alterations to T 6 range or pattern of species or
dispersion of air and water pollution plumes. This is much easier for direct impacts but
can be attempted for other types of Impact
Timing
Impacts arising from all of the stages of the life cycle of the project should be considered
(i.e. during construction, operation and decommissioning). Some impacts will occur
immediately, while others may be delayed, sometimes by many years. These impact
characteristics should be noted in the EIA report.
Duration
Some impacts may be short-term, such as the noise arising from the operation of
equipment during construction. Others may be long-term, such as the inundation of land
during the building of a reservoir. Certain impacts such as blasting may be intermittent,
whereas others, such as electromagnetic fields caused by power lines, may be continuous.
Impact magnitude and duration classifications can be cross-referenced; for example,
major but short term (less than one year), low but persistent (more than 20 years).

Significance
The evaluation of significance at this stage of EIA will depend on the characteristics of
the predicted impact and its potential importance for decision-making. Significance is
usually attributed in terms of an existing standard or criteria of permissible change, for
example as specified in a standard, policy objective or plan. This concept is discussed
further later in this topic.
Table 2: Impact Characteristic Summary Table
Impact Type
Impact characteristics Air quality Health Etc
Nature
Magnitude
Extension /location
Timing
Duration
Reversibility
Likelihood (risk )
Significance

Presentation of Impact Results

When preparing the EIA report a systematic format should be used to present information
about impacts to decision-makers. The organization and display of information is an
integral part of certain predictive methodologies, such as the Battelle Environmental
Evaluation System. In other cases, this framework may need to be designed separately.
One possible format is an impact characteristic summary table above. Finally, reference
should be made to the confidence limits in impact data probabilistic terms for quantitative

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judgments (e.g. 96%) or in relative terms for qualitative judgments (reasonably high, best
estimate, etc.).
Outline the range of methods that can be used in impact prediction, drawing attention to
any local requirements at the appropriate stage of the discussion.
Methods for predicting the characteristics of impacts include:
 ‘Best estimate’ professional judgment;
 Quantitative mathematical models;
 Experiments and physical models; and
 Case studies as analogues or points of reference.

Professional Judgment
As noted earlier, all methods of analysis involve professional judgment and the use of
advanced tools and models will require expert knowledge. Sole reliance on ‘best
estimate’ professional judgment may be unavoidable when there is a lack of data to
support more rigorous analyses or there is a lack of predictive methodology (as in the
analysis of certain social impacts). Examples include the prediction of the effect of a
water supply proposal on:
 The activities of women or community interaction; and
 The loss of a communal place or sacred site.

Such predictions should be made by specialists, who are familiar with the type of
proposal, the geographic region and / or similar cases that are analogous to the situation.
Where professional judgment is used without also employing other methods, the
judgment and values of the specialist concerned may be open to challenge. Peer review
and the use of agreed concepts and frameworks can be useful to corroborate findings.

Quantitative Mathematical Models

Quantitative models express cause-effect relationships as mathematical functions, derived
from deterministic or probabilistic relationships. A number of such models are used in
EIA to predict certain types of impacts, for example, on air, water, soil and habitat. More
complex computer-based simulations are data demanding and often their use in EIA
requires certain simplifying assumptions to be made.

The choice and use of quantitative models for impact prediction should be Impact suited
to the particular cause-effect relationship being studied; for example, transport and fate of
oil spills, sediment loadings and fish growth and pesticide pollution of groundwater
aquifers. Attention also needs to be given to the consistency, reliability and adaptability
of models. Usually operational changes are made to the input conditions for the model to
see how the outputs are affected. For instance, differences in air pollution can be
calculated by changing the height of a stack or the rate of output of emissions.

Examples of the use of quantitative models include:

 Air dispersion models to predict emissions and pollution concentrations at various
locations resulting from the operation of a coal-fired power plant;
 Hydrological models to predict changes in the flow regime of rivers resulting
from the construction of a reservoir; and

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 Ecological models to predict changes in aquatic biota (e.g. benthos, fish) resulting
from discharge of toxic substances.

Although traditionally this type of analysis has been carried out for physical impacts,
there is increasing use of mathematical models to analyze biological, social/demographic
and economic impacts.
When interpreting the results of quantitative mathematical models it should be
remembered that all models are simplifications of the real world. They require the
specialist to make a number of assumptions in both their development and their use. If
these assumptions are inappropriate then there can be significant implications for the
accuracy and usefulness of the output data. EIA project managers should ask all
specialists carrying out mathematical analyses to clearly state the assumptions inherent in
the use of their models, together with any qualifications to be placed on the results.

Experiments and Physical Models

Experiments and scale models can be used to test and analyse the effects of project-
related activities and the effectiveness of proposed mitigation techniques. These methods
have not been used extensively in impact prediction. However, they can be appropriate,
depending upon the nature of the impact and the resources available, and providing
certain cautions are remembered. When using the results of experiments or models, note
that unpredicted outcomes can occur when the data are ‘scaled up’ to life size.

Experiments can be undertaken directly in the field or under laboratory conditions.

Examples of their use include:
 The exposure of fish in a laboratory to concentrations of pollutants to determine
mortality levels; and
 Field trials of the effectiveness of different methods of erosion control.

Physical models can be built to predict the behaviour and effect of the actual project on
the environment. For example, a physical model could be used to simulate changes to
patterns of sand or sediment deposition resulting from port and harbour works. :
Case Studies
Reviewing case studies of projects in similar environments can inform and assist impact
prediction and analysis. Comparisons will be especially helpful if impact monitoring and
auditing data are available. Otherwise, the results obtained by a comparable use of EIA
methodology should be consulted. Sometimes, relevant case material will not be readily
accessible or available. In that event, there is a large body of general information on the
impact ‘footprints’ of major types of projects, such as dams, roads, airports and power
stations. However, this should be read with care as to its source and provenance.
Importance of Uncertainty in EIA
Uncertainty is a pervasive issue at all stages of the EIA process but is especially
important for impact prediction. Put simply, uncertainty is a state of relative knowledge
or ignorance. Where cause-effect relationships are ‘known’ and understood, however
imperfectly, impacts can be forecast (or at least described). Certain impacts are unknown
until they occur; for example, ozone depletion caused by release of CFCs and inter-

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species transmission of the human variant of Bovine Spongiform Encephalopathy (BSE)

or ‘mad cow’ disease.
Sources of uncertainty in impact prediction include:
 Scientific uncertainty — limited understanding of an ecosystem (or community)
and the processes that govern change;
 Data uncertainty — restrictions introduced by incomplete or non- comparable
information, or by insufficient measurement techniques; and
 Policy uncertainty — unclear or disputed objectives, standards or guidelines for
managing potential hazards and effects.
There are a number of approaches that can be used to address uncertainty in impact
prediction, including:
 ‘best’ and ‘worst’ case prediction to illustrate the spread of uncertainty;
 Attaching confidence limits to impact predictions; and
 Sensitivity analysis to determine the effect of small changes in impact magnitude.
The relationship between impact, size and severity may not be linear. Small changes in
impact magnitude may cause larger than expected increases or decreases in the severity
of environmental change. Where necessary, an assessment should be made of the effect
that small changes in the magnitude of the impact (say less than 10 %) have on the
environment, particularly if significant or valued resources are potentially affected. This
is referred to as a sensitivity analysis.
Impact Analysis by Social, Health and Economic
A broader range of impacts and interrelationships are now routinely integrated into EIA.
These include the social, economic and health aspects of environmental change. In
comparison to biophysical impacts, less experience has been gained in analysing these
and other non-biophysical impacts. However, this situation is changing. The discussion
below serves as a brief introduction to social, health and economic impacts. For more
detailed coverage of the analysis of these and other impacts refer to the references listed
at the end of this chapter.
Social Impact Assessment
People are an integral part of the environment. Human activity alters the biophysical
environment and, in turn, these impacts are translated into social effects. In many EIA
systems the immediate and direct social impacts of a proposal always should be analyzed
as an integral component of an EIA.
Social impacts include changes that affect individuals, groups, communities and
populations as well as the interactions between them. They are alterations in the way
people live, work, play, relate to each other and organize their communities and
institutions to meet their needs and guide their collective actions, as well as changes in
their characteristic values, beliefs, norms, traditions and perceptions of quality of life and
well being.
Social impacts can be divided into four main types:

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 Demographic impacts such as changes in population numbers and characteristics

(such as sex ratio, age structure, in-and-out migration rates and resultant demand
for social services, hospital beds, school places, housing etc);
 Cultural impacts including changes to shared customs, traditions and value
systems (e.g. language, dress, religious beliefs and rituals) archaeological,
historical and cultural artifacts and to structures and environmental features with
religious or ritual significance;
 Community impacts including changes in social structures, organizations and
relationships and their accompanying effect on cohesion, stability, identity and
provision of services; and
 Socio-psychological impacts including changes to individual quality of life and
well being, sense of security or belonging and perceptions of amenity or hazard.
Often, local people are not the beneficiaries of proposed development. Rather they bear
the brunt of the adverse impacts. These effects are especially acute in developing
countries when projects displace people whose security and subsistence depends on the
land and resources that will be affected. World Bank environmental and social assessment
procedures give particular attention to the impact on indigenous peoples and other
vulnerable ethnic and cultural groups whose lifestyle, value and tenure systems may be
disrupted or lost.
A comprehensive Social Impact Assessment (SIA) will be required in such cases. In other
circumstances, adding a relevant specialist to the EIA team may suffice to address social
impacts. However, it should be emphasized that there is little consensus on the social
impacts that should be included as part of an EIA process. Other than agreeing that the
scope is too limited, SIA practitioners themselves differ on the aspects to be studied and
the framework within which they should be analyzed. Further information on this subject
can be found in Topic 13 - Social Impact Assessment.
Health Impacts
Health impacts can be a significant aspect of certain types of development. These impacts
can be beneficial as well as adverse; for example, water infrastructure projects eradicate
or drastically reduce the occurrence of cholera, diarrhoea and other gastro-intestinal
diseases that are endemic in less developed countries. However, adverse health impacts
can also occur as a result of development projects, either directly from changes to the
biophysical environment (such as exposure to pollutants) or indirectly as a secondary
result of other changes; for example, the creation of habitat conditions favourable to the
spread or intensification of disease vectors, such as mosquitoes (malaria) or water snails
(schistosomiasis).
To date, insufficient attention has been given to health impacts in comparison to coverage
given to biophysical or even other social impacts. In many cases, Health Impact
Assessment (HIA) is carried out separately and independently; for example in the
chemical, nuclear and other hazardous industries. The World Health Organisation, the
World Bank and other international agencies recommend that, where necessary and
appropriate, HIA should be integrated with the EIA process. Both use similar
information, approach and methods; for example, when identifying the health and

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environmental impacts of exposure to air particulate emissions from a proposed power

plant.
Certain proposals can also increase the risk of accidental death and injury to the
workforce and the public. Examples of occupational and public health and safety issues
include exposure to increased traffic levels introduced by road building or to dangerous
and hazardous industries, such as those involving the processing, storage and/or
transportation of flammable materials or toxic gases. In these situations, a risk assessment
should be undertaken as part of an EIA to determine the probability of an accident or
malfunction occurring and the likely consequences. The table above illustrates some of
the health hazards and impacts associated with development proposals from different
sectors.
Table 3: Examples of health impacts by sector

Communicabl Non Nutrition Injury Psychosocial disorder

e disease communicabl and loss of wellbeing
e disease
Mining Tuberculosis Dust induced Crushing Labour migration
lung disease
Agriculture Parasitic Pesticide Loss of
infections poisoning subsistenc
e
Industry Poisoning by Occupational Disempowerment
pollutants injury
Forestry Loss of Occupational
food injury
production
Dams and Water borne Poisoning by Increased Drowning Involuntary displacement
irrigation diseases pollutants food
schemes production
Transportation HIV/Aids Heart disease Traffic injury Noise and induced stress
Energy Indoor air Electromagnet Community displacement
pollution ic radiation
Source: Birley draft materials prepared for World Health Organisation (2000)

Economic and Fiscal Impacts

Invariably, the economic feasibility of a major proposal will be subject to cost-benefit
analysis (CBA). In addition, specific economic and fiscal impacts of a development
proposal may need to be considered as part of the EIA process, for example where they
have a direct bearing on social and health impacts.
Typically, economic impact assessment is carried out to predict project related changes in
employment (e.g. new job requirements in relation to the local labour market), per capita
income (e.g. locally retained versus exported remittances) and levels of business activity
(e.g. positive and negative effects of the project on local enterprises). Often, economic
impacts cause social impacts, for example, if there is a large influx of temporary workers
into a local community during the project construction phase of project development.
Such ‘boomtown’ conditions may threaten community cohesion and health and strain
services and access to them by local residents.

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Fiscal impacts accrue from changes in the costs and revenues of the various government
sectors. These changes typically occur as the result of a proposal causing relatively large
increases in population and the requirement for additional capital expenditures on local
infrastructure and facilities provided by government (e.g. health services, roads, sewerage
etc.). A common issue is that of ‘front-end financing’ - i.e., whether or not expenditures
will increase quicker than revenues in the early phase of project implementation.
It that happens, it creates deficit and cash flow difficulties, often with resulting shortfalls
or ‘bottlenecks’ in the provision of basic services. This leads, in turn, to the overloading
of infrastructure, such as water supply and sewerage, and consequent environmental and
social impacts. Resolving these problems can be especially difficult if the revenues from
a project are received in one jurisdiction and the costs are borne in another.
The factors that typically affect economic and fiscal impacts are identified in the box
below. A number of methods can be used to predict these impacts. For economic impacts,
these include input-output and export-base models, which incorporate an income and
employment multiplier to estimate the extra money that is injected and spent in the local
economy, adjusting for any ‘leakages’. The methods that can be employed for fiscal
impact assessment differ substantially in the scope of costs and revenues addressed.
Box 1: Factors Affecting Economic and Fiscal Impacts
Factors affecting economic impacts:
 Duration of construction and operational periods
 Workforce requirements for each period and phase of construction
 Skill requirements (local availability)
 Numbers employed and earnings
 Raw material and other input purchases
 Capital investment
 Outputs
 The characteristics of the local economy

Factors affecting fiscal impacts:

 Size of investment and workforce requirements.
 capacity of existing service delivery and infrastructure systems
 local/regional tax or other revenue raising processes
 Likely demographic changes arising from project requirements (these need to be estimated during the
assessment of social impacts)

Evaluation of Impact Significance

Calculating impact significance

IMPACT X IMPACT IMPACT

CHARACTERISTIC IMPORTANCE SIGNIFICANCE
(MAGNITUDE) VALUE

Once the impacts have been analyzed, they are evaluated to determine their significance.
As noted earlier, the attribution of significance begins early, during screening and

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scoping, and extends throughout the EIA process. There is a gradually narrowing cone of
resolution on questions of impact significance as more complete information becomes
available. Following impact identification and prediction, impact evaluation is the formal
stage at which a ‘test of significance’ is made.
A systematic process should be followed in evaluating significance, distinguishing
between ‘as predicted’ and ‘residual’ impacts. Step one involves evaluating the
significance of ‘as predicted’ impacts to define the requirements for mitigation and other
remedial actions. Step two involves evaluating the significance of the ‘residual’ impacts,
i.e. after mitigation measures are taken into account. This test is the critical measure of
whether or not a proposal is likely to cause significant impacts. It is determined by the
joint consideration of its characteristics (magnitude, extent, duration etc.) and the
importance (or value) that is attached to the resource losses, environmental deterioration
or alternative uses which are foregone.
Impact evaluation is a difficult and contestable exercise, which cuts across the fluid
boundary between ‘facts’ and values and between EIA and decision-making. First, a
technical judgement must be made of the extent to which mitigation will reduce ‘as
predicted’ impacts. Second, a subjective value must be placed on the significance of
residual impacts, using criteria and tests described below. Finally, the attribution of
significance usually will influence final approval and condition setting; for example by
indicating whether or not the impact of a proposal is acceptable or not.
However, this latter task overlaps with the responsibility of the decision- maker. The
environmental acceptability of a proposal and the terms and conditions to be attached to
its implementation must be weighed against other economic and social factors by the
decision-maker. Further information can be found in Topic 10 - Decision-making.

Criteria and Measures of Significance

Evaluation of significance should take place against a framework of criteria and measures
established for the purpose. These may be defined in EIA legislation and procedure; for
example, by definition of what constitutes an environmental impact and guidance on how
to determine significance. Often specified criteria are listed to aid such evaluation; for
example, environmental standards and thresholds, protected and sensitive areas,. Valued
ecological functions and components and resource and land use capabilities. Where this
EIA guidance is not available, it can be developed separately by adapting criteria and
measures that are relevant to local circumstances and the type of proposals reviewed.
EIA guidelines related to significance fall into two main categories:
 Emissions based, comprising standards for air and water quality, noise etc.
 Environmental quality based, comprising significance criteria for valued
ecosystem components or similar attributes.
Emissions based standards will be jurisdiction specific (although certain standards may
be internationally recognised) and provide an objective, technical means of determining
significance; for example the anticipated residual impacts either do or do not exceed the
relevant standard, However, reliance on standards suffers from certain deficiencies and
limitations. The relevant technical standard may be the subject of disagreement or public

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concern (e.g. blood lead levels, traffic noise levels, electromagnetic field strengths). In
many cases, an appropriate technical standard will not be available for the evaluation of
significance (e.g. ecological, social and visual impacts).
Environmental quality based criteria or thresholds are qualitative, broadly drawn and
require interpretation. In this context, impact evaluation is a subjective exercise, linking
scientific criteria to social preferences (as discovered through public involvement or SIA
methods) and relating them to the environment and community affected. Some of the
impact identification techniques discussed earlier in this topic have built in scales or
weightings (and hence values) based on prior experience. When applying them, the
criteria should be modified to take account of local value systems and traditional
practices.
Additionally, some countries and international agencies have established Topic 6
environmental sustainability criteria and environmental acceptability rules Impact against
which evaluation can be conducted. For example, the World Bank Training session
outline input and output guidelines are meant to ensure that each project does not exceed
the regenerative and assimilative capacities of the receiving environment (see the box
below). In practice, as the Bank acknowledges, there is considerable difficulty in
applying these guidelines and it has augmented them with other environmental and social
safeguards. Rules for environmental acceptability and their relationship to significance
thresholds based on Western Australian experience are described in the companion box
below.

Box 2: World Bank guidelines for environmental sustainability

Environmental Aspects of Bank Work, (OMS 2.36), para 9(a) states:
The Bank endeavours to ensure that each project affecting renewable natural resources (e.g., as a sink for
residues or as a source of raw materials) does not exceed the regenerative capacities of the environment.
Output Guide
Waste emissions from a project should be within the assimilative capacity of the local environment to absorb
without unacceptable degradation of its future waste absorptive capacity or other important services.
Input Guide
Harvest rates of renewable resource inputs should be within regenerative capacity of the natural system that
generates them; depletion rates of non-renewable resource inputs should be equal to the rate at which
renewable substitutes are developed by human invention and investment.

Source: World Bank 1991

Box 3: Examples of Threshold Tests for Environmental Acceptability
Level of acceptability Potential impact threshold
Unacceptable Exceeds legal threshold, e.g. quality standard
Unacceptable Increases level of risk to public health and safety above qualitative
or quantitative criteria (e.g. in some jurisdictions an increased risk
of death of 1 in a million per year
Unacceptable Extinction of biological species, loss of genetic diversity, rare or
endangered species, critical habitat

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Normally unacceptable Conflict with existing environmental policies, land-use plans

Normally unacceptable Loss of populations biological species
Normally unacceptable Large-scale loss of productive capacity of renewable resources
May be acceptable only
with minimization, mitigation,
management Avoidance of spread of biological minimization, mitigation,
management disease, pests, feral animals, weeds
May be acceptable only with
minimization, mitigation management Taking of rare or endangered species
May be acceptable only with
minimization, mitigation management Some loss of threatened habitat
Normally acceptable Some loss of populations and habitats of non-threatened species
Normally acceptable Modification of landscape without downgrading special aesthetic
values
Normally acceptable Emissions demonstrably less than the carrying capacity of the
receiving environment

Source: Sippe 1999

Aids and Principles for Evaluating Significance

Key reference points for evaluating significance include:
 Environmental standards, guidelines and objectives;
 Level of public concern (particularly over health and safety);
 Scientific and professional evidence for:
- Loss/disruption of valued resource stocks and ecological functions;
- Negative impact on social values, quality of life and livelihood; and
- Foreclosure of land and resource use opportunities.
Guiding principles for determining significance include:
 Use procedure and guidance established by the jurisdiction;
 Adapt other relevant criteria or identify points of reference from comparable
cases;
 Assign significance in a rational, defensible way;
 Be consistent in the comparison of alternatives; and
 Document the reasons for the judgments made.
A test of significance can be applied by asking three questions:
 Are there residual environmental impacts?
 If yes, are these likely to be significant or not? Topic 6
 If yes, are these significant effects likely to occur e.g. is the probability high,
moderate or low?

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Significance Criteria
Criteria to evaluate whether or not adverse impacts are significant include:
 Environmental loss and deterioration;
 Social impacts resulting directly or indirectly from environmental change;
 Non-conformity with environmental standards, objectives and guidelines; and
 Likelihood and acceptability of risk.

Criteria to evaluate adverse impacts on natural resources, ecological functions or

designated areas include:
 Reductions in species diversity;
 Depletion or fragmentation on plant and animal habitat;
 Loss of threatened, rare or endangered species;
 Impairment of ecological integrity, resilience or health e.g.
- Disruption of food chains;
- Decline in species population;
- Alterations in predator-prey relationships.
Criteria to evaluate the significance of adverse social impacts that result from biophysical
changes include:
 Threats to human health and safety e.g. from release of persistent and/or toxic
chemicals;
 Decline in commercially valuable or locally important species or resources e.g.
fish, forests and farmland;
 Loss of areas or environmental components that have cultural, recreational or
aesthetic value;
 Displacement of people e.g. by dams and reservoirs;
 Disruption of communities by influx of a workforce e.g. during project
construction; and
 Pressures on services, transportation and infrastructure.

Environmental standards, objectives and targets to evaluate significance include:

 Prescribed limits on waste/emission discharges and/or concentrations;
 Ambient air and water quality standards established by law or regulations;
 Environmental objectives and targets contained in policy and strategy; and
 Approved or statutory plans that protect areas or allocate, zone or regulate the use
of land and natural resources.
Probability and Acceptability of Risk
Risk-based principles may be used to establish ‘rules of thumb’ for the acceptability of
effects. For example, a statistical threshold of significance may be established to define
an acceptable incidence of disease per million people exposed to a specified hazard (e.g.
carcinogenic chemical). This approach is often controversial. It is important to document
why and how the level and acceptability of risk has been determined.
A risk-based approach can be useful to address the significance of cumulative effects and
ecosystem level changes. Typically, a quantitative risk assessment will not be possible

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because of lack of knowledge of the variability of natural systems. However, qualitative

rules of thumb may be set for cumulative loss or change; for example limiting drainage of
wetlands to no more than 25 per cent of the area or some other proportion considered to
be significant for maintaining their essential functions of flow regulation, aquatic and
bird habitat etc.
The following points summarize international experience on what works well when
undertaking evaluation of significance:
 Easy-to-use and explain criteria, e.g. health and safety standards;
 Criteria that are widely agreed, e.g. threats to rare and endangered species or
protected areas; and
 Approaches that focus evaluation of significance, including references to cases
that are comparable to the proposal.
By contrast, references to biodiversity, sustainability rules and carrying capacity are less
easy to justify, more open to argument. However, given their increasing significance, this
is an evident area for further work and clarification in guidance on impact evaluation. A
list of the types of evaluation criteria that might be used (or adapted) as the starting point
for developing sustainability criteria can be found in Boxes 2 and 3.

The approach taken to evaluate significance should reflect the uncertainty and
controversy that characterizes a specific proposal, for example:
 Apply technical criteria when the likely changes associated with a proposal can be
predicted with reasonable accuracy e.g. standards, environmental quality criteria
and risk assessment of certain health impacts; and
 Use a negotiation process when factual information is limited and there is a high
degree of uncertainty and/or controversy regarding potential impacts (involving
experts or affected or interested parties).
In practice, impacts are likely to be significant if they:
 are extensive over space or time;
 are intensive in concentration or in relation to assimilative capacity;
 exceed or approximate to environmental standards or thresholds;
 do not comply with environmental policies, land use plans, sustainability strategy;
 affect ecological sensitive areas and heritage resources; and
 affect community lifestyle, traditional land uses and values.

Mitigation and impact management discusses the importance of avoiding, minimizing

and remedying the potential effects of a proposal. The test of significance introduced in
this topic is applied to residual impacts after mitigation measures have been taken into

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account. It first requires a technical judgment to be made of the extent to which predicted
impacts will be reduced by the action to be taken.

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EIA PROCESS IV: MITIGATION

Mitigation is the stage of the EIA process when measures are identified to avoid,
minimize or remedy impacts, These measures are implemented as part of the process of
impact management together with any necessary adjustments to respond to unforeseen
impacts, Both elements are integral to ensuring that the EIA process leads to practical
action to offset the adverse environmental impacts of proposed developments.
The purpose of mitigation is to identify measures that safeguard the environment
and the community affected by the proposal. Mitigation is both a creative and
practical phase of the EIA process. It seeks to find the best ways and means of
avoiding, minimizing and remedying impacts.
Mitigation measures must be translated into action in the correct way and at the
right time if they are to be successful. This process is referred to as impact
management and takes place during project implementation. A written plan should
be prepared for this purpose, and includes a schedule of agreed actions.

Mitigation is a critical component of the EIA process. It aims to prevent adverse

impacts from happening and to keep those that do occur within an acceptable
level. Opportunities for impact mitigation will occur throughout the project cycle.
The objectives of mitigation are to:
 Find better alternatives and ways of doing things;
 Enhance the environmental and social benefits of a proposal;
 Avoid, minimize or remedy adverse impacts; and
 Ensure that residual adverse impacts are kept within acceptable levels.
Early links should be established between the EIA and project design teams to
identify mitigation opportunities and incorporate them into consideration of
alternatives and design options. In practice, mitigation is emphasized in the EIA
process once the extent of the potential impact of a proposal is reasonably well
understood. This typically takes place following impact identification and
prediction, and recommended measures for mitigation will be an important part of
the EIA report. Usually, these measures will be incorporated into the terms and
conditions of project approval and implemented during the impact management

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stage of the EIA process.

The objectives of impact management are to:
 ensure that mitigation measures are implemented;
 establish systems and procedures for this purpose;
 monitor the effectiveness of mitigation measures; and
 take any necessary action when unforeseen impacts occur.

The adverse impacts and consequences of a proposal can occur far beyond the site
boundaries of a project. In the past, many of the real costs of development
proposals were not accounted for in economic analyses of project feasibility,
particularly in the operational and decommissioning phases of the project cycle.
As a result, these costs were borne by the community affected or the public at
large rather than by the proponent.

Stricter requirements are now being imposed on proponents to:

 mitigate impacts through good project design and environmental
management;
 provide benefits to the community affected by the proposal;
 prepare plans for managing impacts so these are kept within
acceptable levels; and
 make good any residual environmental damage.

The responsibility of proponents to 'internalise' the full environmental costs of

development proposals is now widely accepted. In addition, many proponents have
found that good design and impact management can result in significant savings.
This outcome is similar to that found in industries applying the principles of cleaner
production to improve their environmental performance. Like cleaner production,
mitigation measures are more expensive in capital outlay but have been found to be
cost effective over the long run.

The sustainability agenda is placing new demands on proponents with regard to

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mitigation and impact management. For example, increasing attention is being

given to the principle of 'no net loss of natural and social capital'. Under the
polluter pays principle, the application of this principle could require the
proponent to make restitution for unavoidable residual damages. In this case,
mitigation would include in-kind compensation measures, comprising equivalent,
comparable or suitable offsets for all residual environmental impacts of a proposal.

Main Elements of Mitigation and Principles for Application

In Figure 1 below, the elements of mitigation are organised into a hierarchy of
actions:
 first, avoid adverse impacts as far as possible by use of preventative
measures;
 second, minimise or reduce adverse impacts to 'as low as practicable' levels;
and
 third, remedy or compensate for adverse residual impacts, which are
unavoidable and cannot be reduced further.

Key principles for the application of mitigation consistent with the above
framework include the following:
 give preference to avoid and prevent measures;
 consider feasible alternatives to the proposal and identify the best
practicable environmental option;
 identify customised measures to minimise each of the main impacts
predicted;
 ensure they are appropriate, environmentally sound and cost-effective;
and;
use compensation Alternative sites or
 Common, Preferable or remedial measures as a last resort.
technologies to
Rare, undesirable eliminate
Avoidance impacts

Actions during design,

construction, operation to
minimize or eliminate impacts

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Rare, Undesirable Used as a last resort to offset
impacts
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Figure1: The Elements of Mitigation

EIA good practice in mitigation requires a relevant technical understanding of the

issues and the measures that work in the circumstances.
Mitigation can be carried out by:
 structural measures, such as design or location changes, engineering
modifications and lands(ape or site treatment; and
 non-structural measures, such as economic incentives, legal, institutional and
policy instruments, provision of community services and training and capacity
building.

Structural measures are well established for certain types of projects, such as dams,
roads, and oil and gas exploration and development. In some cases, industry codes
of good practice will be available. However, these need to be applied with regard to
the nature and severity of environmental impacts; for example taking account of
nearby protected areas, patterns of wildlife mitigation or constraints imposed by
natural hazards. Other projects involving new technology may require non-
standardised or even untried measures to mitigate the adverse impacts. These need to
be given special attention during impact management.

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Non-structural measures are used increasingly. They can be applied to reinforce or

supplement structural measures or to address specific impacts. For example, many
types of social, community and health impacts are addressed by non-structural
measures and their use is becoming broader.

Framework for Systematically Identification of Mitigation

A three-step process of mitigation can be applied to relate the hierarchy of
elements in Figure 1 to the stages of the EIA process when they are typically
applied. Generally, as project design becomes more detailed, the opportunities for
impact avoidance narrow and the concern is to minimise and compensate for
unavoidable impacts. However, these distinctions are not rigid and opportunities
for creative mitigation should be sought at all stages of EIA and project planning.

Step One: Impact Avoidance. This step is most effective when applied at an early
stage of project planning. It can be achieved by:
 not undertaking certain projects or elements that could result in adverse
impacts;
 avoiding areas that are environmentally sensitive; and
 putting in place preventative measures to stop adverse impacts from
occurring, for example, release of water from a reservoir to maintain a
fisheries regime in a river.

Step Two: Impact Minimisation. This step is usually taken during impact identification
and prediction to limit or reduce the degree, extent, magnitude, or duration of
adverse impacts. It can be achieved by:
 scaling down or relocating the proposal;
 redesigning elements of the project; and
 taking supplementary measures to manage the impacts.

Step Three: Impact Compensation. This step is usually applied to remedy unavoidable
residual adverse impacts. It can be achieved by:

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 rehabilitation of the affected site or environment, for example, by habitat

enhancement and restocking fish;
 restoration of the affected site or environment to its previous state or better,
as typically required for mine sites, forestry roads and seismic lines; and
 replacement of the same resource values at another location, for example, by
wetland engineering to provide an equivalent area to that lost to drainage or
infill.

EIA Approaches to Mitigate Impacts

Depending on the timing of the project cycle and the nature of impacts, a number
of approaches can be taken to achieve the objectives of mitigation. These include:
 developing environmentally better alternatives to the proposal;
 making changes to project planning and design;
 carrying out impact monitoring and management; and
 compensating for impacts by:
- monetary payment
- in kind measures
- site remediation bonds
- a resettlement plan

Developing Better Alternatives

The development of alternatives to a proposed project is part of a comprehensive
approach to mitigation. A broad range of alternatives can be generated at the earliest
stages of project planning and design, when the process is still flexible. At the later
stages of project design, it is more realistic to identify feasible alternatives to the
proposal. For example, impacts may be avoided or reduced by a reconsideration of
the site or design alternatives and identifying the best practicable environmental
option.

Making Changes to Project Planning and Design

Early consideration of environmental factors and impacts in project planning

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and design facilitates impact avoidance and minimisation. This requires

coordination of the engineering, planning and EIA teams to:

 address the likely impacts throughout the life cycle of the project,
including decommissioning; and

 identify the best practicable ways and means of mitigating them.

In practice, the elements of mitigation and the measures identified for a proposal
will be tailored to the major impacts and the environment and community affected.
A list of potential impacts for an extensive range of project types and suggested
design measures to mitigate them can be found in Volumes 2 and 3 of the World Bank
Environmental Assessment Sourcebook and its various Updates. For example, almost all
development proposals involve disturbance of the land surface. This is usually
extensive for major linear projects (roads, pipelines), dams and reservoirs, and large-
scale agriculture, forestry and housing schemes. Environmental impacts of particular
concern can include drainage of wetlands, conversion of natural areas, or expansion
into areas that are vulnerable to natural hazards.

The general considerations to be taken into account when mitigating the

environmental impacts of housing schemes are described in Box 1 below. Specific
measures that can be applied in planning and design of dams and reservoirs to avoid
or reduce their impact are identified in Box 2. Looking ahead, the potential impacts
of climate changes may have to be considered in mitigation planning and design, for
example to address increased or reduced precipitation or inundation or saline influx
into coastal areas as a result of a 1m rise in sea level.

Box 1: Mitigation of Large Scale Housing Projects

Major adverse impacts Mitigating measure
Displacement of existing land uses  Ensure that due consideration is given to
the proper trade-offs between land
values for housing and those of other
uses, such as prime farmland, forests or
natural habitats of value to society as a
whole. Review existing planning and
design standards to ensure that they are

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suited to local conditions and not

unnecessarily wasteful of land.
 Make any necessary changes, for
example by drafting new regulations
Destruction of environmentally critical Ensure that regionally critical environmental
areas sites, such as forested areas, major bodies and
wetlands, habitats containing rare and
endangered species, etc., are identified and not
threatened by project location. Identify
mitigation measures to avoid, reduce or
compensate for environmental impacts and to
enhance the environmental and community
benefits of the proposal.
Source: Adapted from the World Bank, 1991
Box 2: Case Example of mitigation of a dam project
The EIA for the Seco River Dam in Oaxaca Mexico identified a series of measures to avoid or minimise the
impact of the proposed dam, including:
 replacing homes and lands of the people displaced
 operating and rehabilitating borrow pits in an appropriate manner
 establishing fish breeding programmes
 removing trees for wood from the site prior to flooding
 instituting environmental management regimes for the watershed, forestry, grazing etc.
 planting trees as barriers
 promoting agricultural practices that will reduce the need for water
 establishing technical advisory, financing and social service programmes
Sanchez-Silva and Cruz-Ulloa (1994)

Impact Monitoring and Management

Mitigation measures are implemented as part of impact management. This process is

accompanied by monitoring to check that impacts are 'as predicted'. When
unforeseen impacts or problems occur, they can require corrective action to keep
them within acceptable levels, thereby changing the mitigation measures
recommended in an EIA or set out in an environmental management report.

In some cases, it may be necessary to establish or strengthen impact management

systems to facilitate the implementation of mitigation measures during project

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construction and operation. These supporting actions should be identified as part of

the environmental management plan. They can include the establishment of an
Environmental Management System (EMS) based upon ISO 14000 guidelines for
strengthening particular arrangements for impact management. Any other
supporting actions to implement these measures, such as training and capacity
building, should also be specified.

The management of social impacts associated with the influx of a temporary

workforce and additional population will require specific mitigation measures.
These include the provision of:

 improved transport, water and sewage infrastructure;

 expanded social and health care services, including measures to target

specific impacts;

 better support and counselling services to cope with socio-economic

changes; and

 additional recreational areas and facilities, including full replacement of any

areas lost to development.

Compensating for Impacts

Monetary Compensation

Traditionally, compensation has meant payment for loss of land or amenity

resulting from a proposal. This approach can be appropriate in certain
circumstances; for example, when private property must be expropriated to make
way for a road or other public infrastructure project, or land owners are paid rent or
lump sum compensation for access to or use of their property to drill for sub-
surface resources. In addition, compensation packages, containing a range of
offsets, may be negotiated with affected communities. These may include a direct
monetary payment or a capital investment by the proponent.

Site Remediation Bonds

Recently, attention has also focused on problems of contaminated land and the

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requirements for site remediation. Where this is a potential issue, mitigation

measures should be directed at both prevention of contamination and provision for
clean up during decommissioning. Because of the time period, project ownership
may change or the proponent may be unable to complete the mitigation plan for
other reasons. As insurance, a bond system can be used to ensure that sufficient
funds will be available for the required mitigation.

Resettlement Plans

Special considerations apply to mitigation of proposals that displace or disrupt

people. Certain types of projects, such as reservoirs and irrigation schemes and
public works, are known to cause involuntary resettlement. This is a contentious
issue because it involves far more than re-housing people; in addition, income
sources and access to common property resources are likely to be lost.

Almost certainly, a resettlement plan will be required to ensure that no one is worse
off than before, which may not be possible for indigenous people whose culture and
lifestyle is tied to a locality. This plan must include the means for those displaced to
reconstruct their economies and communities and should include an EIA of the
receiving areas. Particular attention should be given to indigenous, minority and
vulnerable groups who are most at risk from resettlement.

In-Kind Compensation

When significant or net residual loss or damage to the environment is likely, in kind
compensation is appropriate. As noted earlier, environmental rehabilitation,
restoration or "replacement have become standard practices for many proponents.
Now, increasing emphasis is given to a broader range of compensation measures to
offset impacts and assure the sustainability of development proposals. These include
impact compensation 'trading', such as offsetting CO 2 emissions by planting forests
to sequester carbon.

An EIA report contains predictions about the environmental impacts of proposals

and recommendations for their mitigation and management. The report is
essentially a discretionary planning document. Usually, a separate project approval

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sets the terms and conditions with which the proponent must comply.

An environmental management plan (EMP), also referred to as an impact

management plan, is usually prepared as part of EIA reporting. It translates
recommended mitigation and monitoring measures into specific actions that will be
carried out by the proponent. Depending upon particular requirements, the plan may
be included in, or appended to, the EIA report or may be a separate document. The
EMP will need to be adjusted to the terms and conditions specified in any project
approval. It will then form the basis for impact management during project
construction and operation.

The main components of an EMP are described in Box 3 below, which reflects
practice at the World Bank. Although there is no standard format, the EMP should
contain the following:

 Summary of the potential impacts of the proposal;

 Description of the recommended mitigation measures;

 Statement of their compliance with relevant standards;

 Allocation of resources and responsibilities for plan implementation;

 Schedule of the actions to be taken;

 Programme for surveillance, monitoring and auditing; and

 Contingency plan when impacts are greater than expected.

Box 3: Components of an Environmental Management Plan (EMP

The following aspects should typically be addressed within an EMP:

Summary of impacts: The predicted adverse environmental and social impacts for which mitigation is
required should be identified and briefly summarised. Cross-referencing to the EA report or other
documentation is recommended.

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Description of mitigation measures: Each mitigation measure should be briefly described with reference
to the impact to which it relates and the conditions under which it is required (for example, continuously
or in the event of contingencies). These should be accompanied by, or referenced to, project design and
operating procedures which elaborate on the technical aspects of implementing the various measures.

Description of monitoring programme: The monitoring program should clearly indicate the linkages
between impacts identified in the EIA report, measurement indicators, detection limits (where
appropriate), and definition of thresholds that will signal the need for corrective actions.

Institutional arrangements: Responsibilities for mitigation and monitoring should be clearly defined,
including arrangements for co-ordination between the various actors responsible for mitigation.

Implementation schedule and reporting procedures: The timing, frequency and duration of mitigation
measure should be specified in an implementation schedule, showing links with overall project
implementation. Procedures to provide information on the progress and results of mitigation and
monitoring measures should also be clearly specified.

Cost estimates and sources of funds: These should be specified for both the initial investment and
recurring expenses for implementing all measures contained in the EMP, integrated into the total project
costs, and factored into loan negotiations.

Source: World Bank, 1999

The EMP should contain commitments that are binding on the proponent. It can be
translated into project documentation and provide the basis for a legal contract that
sets out the responsibilities of the proponent. In turn, the proponent can use the
EMP to establish environmental performance standards and requirements for those
carrying out the works or providing supplies. An EMP can also be used to prepare
an environmental management system for the operational phase of the project.

EIA PROCESS IV: COMPARISON OF ALTERNATIVE

PROJECTS
Identification and Consideration of Alternatives
The consideration of alternatives to a proposal is the requirement of many EIA systems. It
lies at the heart of EIA process and methodology. During scoping process, alternatives to
a proposal can be generated or refined, either directly or by reference to the key issues
identified. A comparison of alternatives will help to determine the best method of

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achieving project objectives while minimizing environmental impacts or more creatively,

indicate the most environmentally friendly or best practicable environmental option.
Often, however, the consideration of alternatives is a superficial rather than a meaningful
exercise this is particularly true of private sector proposals, where the requirement to
analyze alternatives is less than for comparable public sector proposals. It is also true of
all proposals that are submitted to EIA when planning is nearly complete and the
components and location are fixed already. This practice is becoming less and less
acceptable as EIA matures and as sustainability issues and cumulative effects take on
greater importance.
The consideration of alternatives is likely to be most useful when the EIA is undertaken
early in the project cycle. Depending on timing, the type and range of alternatives open to
consideration might include:
 Demand alternatives (e.g. using energy more efficiently rather than building more
generating capacity).
 Input or supply alternatives (e.g. where mix energy sources permits).
 Activity alternatives (e.g. providing public transport rather than increasing road
capacity)
 Location alternatives, either for the entire proposal or for components (e.g. the
location of a dam and/or irrigation channels);
 Process alternatives (e.g. use of waste-minimizing or energy-efficient
technology); and
 Scheduling alternatives 9e.g. for airport and transport operations, reservoir
drawdown).

The World Bank recommends a tiered approach to the analysis of alternatives, which
broadly corresponds to the headings above. It is designed to bring environmental
considerations into all stages of development planning. This approach, ideally, begins
with strategic environmental assessment (SEA) to analyze broad alternatives within a
sector (such as power) or for a region. When this framework is not in place, as is
frequently the case, the key alternatives are examined as part of a project-specific EIA.
An application of the tiered approach in this context is illustrated in Box 2.
In many cases, a fully tiered approach may not be possible. Certain alternatives will have
been foreclosed by earlier stages of decision-making. However, some alternatives may
remain open and a preliminary scan can help to identify them. Normally, a retroactive
analysis of alternatives is not considered to be good practice unless circumstances
warrant; for example a proposal may be well advanced but have a potentially significant
impact on the environment or involve the relocation of large numbers of people (see Box
2).
The development of feasible alternatives, to meet the overall objectives of the proposal
calls for certain types of information and knowledge. During this process, for example,
reference may be made to: available technology, policy objectives, social attitudes,
environmental and site constraints and project economics (see Box 3). It is important to
make sure that the alternatives chosen for comparison with a proposal can be
implemented cost-effectively. Stakeholder input can be helpful in the generation and
analysis of viable alternatives, but this needs to be used selectively. For example, the
affected communities would have a minimum role in the review of demand and supply-

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side alternatives to the Nam Theun II project (as described in Box 2) but a primary one in
assessing the environmental and social suitability of location alternatives.
The range of alternatives selected for analysis routinely includes the ‘no action’
alternative. The relative impact of each alternative is compared against the baseline
environment (with versus without project) to select a preferred alternative, including
taking no action (which may not correspond exactly to maintaining baseline conditions
because changes result from other actions).
In many EIA studies, the preferred alternative will be the most closely examined, and
may be the only alternative to be considered in detail. However, it is not uncommon for
several alternatives to be investigated at the same level of detail during the impact
analysis and evaluation phases, prior to selecting from among them.

Box 2: Tiered approach to analysis of alternatives (Laos)

The 600 MW Nam Theun II Hydroelectric Dam is intended to strengthen
the revenue and economic base of the People’s Democratic Republic of
Laos by exporting power to Thailand. When submitted to the World
Bank, the dam height, location and reservoir surface area had been
established already. The Bank asked the proponents to return to the
objectives and conduct an alternatives analysis against them, in effect a
re-scoping process.

Boxfollowing
The 3: Sitingaspects
Alternatives in an EIA for a Hydropower Project (Pakistan)
were considered:
The Ghazi-Barotha Hydropower
 Evaluation of the potential for Project is a side
demand major run-off-river(DSM)
management power project designed
to meet the acute power
Identification shortageofinalternative
and screening Pakistan. energy
The main project
sources elements include a
to hydropower
barrage located on the Indus River, a power channel
 Evaluation of realistic alternative energy sources (designed to divert water from the
barrage) and a power
 Comparative complex.ofAlternative
assessment alternativeslocations for these elements were evaluated
based on technical, economic, environmental and social constraints by an
 Identification of hydroelectric alternatives
interdisciplinary
 Evaluation of project team and
hydroelectric reviewed by an external environmental and
alternatives
resettlement panel.
 Comparative assessment of hydroelectric alternatives
Initial assessment of
 Comparison five barrageand
of conceptual sites identified
design by thefor
alternatives project consultants
the proposed resulted in
project
two options being selected for detailed evaluation. The preferred option has less storage
capacity
The resultsthan theused
were main inalternative, but was
national power preferable
sector planninginbyterms
the of
Laoenvironmental impact.
PDR; in planning by
The most economical
development alignment
finance institutions for activities
for their the power channel
in the regionwould
and thehave
powernecessitated
sector; for
resettlement
planning of an investors;
by private estimated in 40,000 people.stakeholder
identifying Moving the alignment
concerns; and to
as less densely
an input to
populated areas, although technically more complex and financially
preparation and environmental assessment of Nam Theun II project components. less attractive,
reduced the resettlement requirement to approximately 900 people. Additional
modifications further reduced the impact on archaeological sites and graveyards.
Five power complex sites were initially studied, and three remained for detailed
evaluation. Topographical factors determined the preferred option, as the environmental
implications were broadly similar in each case. Sub-elements of the power complex,
such as access roads, head pond capacity and embankments, were chosen based on
environmental and technical considerations.
Finally, four alternative alignments were evaluated for the 500 KV transmission line
connections to the main grid station. The selected routes had minimal environmental 65
and socio-cultural impacts. Detailed design focused on choosing alignment and tower
locations with minimal impacts on dwellings, agricultural land and archaeological sites.
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EIA PROCESS IV: PROJECT MANAGEMENT

Introduction

Environmental Impact Assessment (EIA) project management is complex and

demanding. It requires a combination of specialists and management skills, and
commitment to the task. Not all practitioners are suited to the role of Project Manager,
nor can the work be done in isolation. All practitioners require an understanding of what
EIA project management entails and how different roles, responsibilities and interests are
addressed and accommodated.

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The main purpose of EIA project management is to plan, organize and coordinate the
tasks necessary to carry out each phase of the EIA process effectively. An immediate
objective is to produce an EIA report that communicates the information necessary for
sound decision making. The ultimate objective is to ensure the EIA process results in the
environmental benefits expected, notably through actions to avoid, reduce and offset the
adverse impacts of the project.

EIA project management encompasses a number of functions. This include giving

direction and backing the team responsible for carrying out the EIA studies and activities;
liaising with the project engineer, site manager and others responsible for project design,
construction and operation; and consulting with the responsible authority, regulatory
body and other key EIA stakeholders, including the public and affected communities. The
EIA Project Manager needs to understand, take account for and mediate among their
varying interests, needs and demands. All of these must be accommodated within the
time and budgetary constraints under which EIAs are typically undertaken.

To function effectively, the EIA team needs strong leadership and support from the
manager. All team members should have a clear understanding of what is to be achieved,
what the deadlines are, how money and resources will be allocated, who does what, who
reports to whom and how issues will be resolved.

A good Project Manager will be someone with the following attributes:

 Good communication skills

 Solid technical capacity
 Problem – solving approach
 Leadership abilities
 Flexibility and willingness to learn from others
 Ability to negotiate and settle disputes and
 Proficiency in planning and budgeting

Good Communication

Communication skills are critical for an EIA Project Manager. He/She is the interface
between the EIA team and the proponent’s staff and contractors and is also responsible

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for maintaining external contacts with the competent agencies, regulatory bodies, other
relevant authorities, NGOs, and members of the public.

Technical Competence

He/She should have an understanding of the technical aspects and the environmental
impacts of the project. The appointment of an experienced EIA expert is usually
necessary to get the best out of an interdisciplinary team.

Problem – Solving

EIA project managers need to be able to tackle problems and turn them around quickly as
deadlines are often tight. They also need to move expeditiously to meet the EIA terms of
reference, fine tuning aspects as the situation requires. Excessive caution in the early
stages delays the time for this sort of correction.

Leadership Capabilities

To command the respect of the team, the EIA project manager must exercise leadership.
This means having a clear idea of what is to be done and how the tasks are to be carried
out. Good interpersonal skills are needed to motivate team members, allied with qualities
of integrity and sound judgment.

Flexibility And Willingness To Learn

The EIA project manager is likely to be generalist rather than specialist. He/she needs to
know enough about each of the specializations of the team to ask the right questions and
test the advice that is given. He/she must also be flexible, respecting the credentials and
professional judgments of others and be open to learning from them.

Able to Negotiate and Reconcile Disputes

It is the EIA project manager’s job to get the best out of team members, and to negotiate
compromises when there are disagreements of interpretation. Additionally, he/she will
also need to negotiate with the proponent, project design and construction teams,
government agencies and stakeholders. For example, EIA studies may indicate a project

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has a more significant impact than was first identified and the project manager must then
negotiate wit the proponent for additional resources.

Proficiency in Planning and Budgeting

The EIA process is invariably undertaken within strict time and budgetary constrains. It
also involves accommodating new information and changing requirements within an EIA
process that is in lockstep with a schedule for project development. Making theses
adjustments demands planning and budgetary competencies.

Typical Role of the EIA Project Manager

The EIA project manager, as the team leader, needs considerable interpersonal skills. A
major part of the job involves: understanding the large concept of the EIA study; team
building and facilitation of key tasks; asking the right questions to keep work on track;
and maintaining quality control. The functions also involve making hard management
decisions, often in the face of risk and with limited information.

The technical aspects of the EIA project manager are also demanding. The conduct of
EIA studies requires the manager to have a rounded understanding of the impacts being
analyzed, sufficient to ensure direction and quality control of the technical content. The
preparation of the EIA report requires the integration and synthesis of study findings into
a coherent overall statement of the environmental impacts and consequences of a
proposal. The task falls primarily on the shoulders of the EIA project manager.

In part, the role of EIA project manager will depend on whom he/she works for. There are
however certain core task, including:

 Understanding the issues involved and the affected environment;

 Defining tasks and developing and appropriate work programme;
 Setting time lines for delivery;
 Estimating and managing a budget;
 Establishing an organizational structure;
 Putting together an interdisciplinary EIA team;
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 Establishing standards and maintaining quality of work;

 Managing an coordinating the information generated by the study; and
 Preparing the EIA report to comply with the terms of reference.

Interdisciplinary EIA Team

Most proposals have a number of potential impacts, notably including physical, social,
cultural and economic impacts. The EIA team will need to bring together multiple
viewpoints and expertise in order to produce a reasoned statement of the overall impact.
The selection of appropriate team members is a key task of the EIA project manager.

An interdisciplinary team consists of a group of people, trained in different fields, who

interact to produce a coordinated EIA report. This approach can be contrasted with a team
made up of experts, who pursue their lines of inquiry relatively separately and do not
have a common understanding on the impacts of the proposal. In this case, the EIA
project manager has the primary task of drawing together the findings. Often, the lack of
an interdisciplinary approach results in an EIA report that lacks real synthesis, containing
a number of specialist studies with little cross – referencing.

Members of an interdisciplinary team will be chosen for their complementary

perspectives and technical expertise in analyzing the environmental and social impacts
that are of concern. Experience in EIA, as well as disciplinary competence, will be a
factor influencing selection. When determining the composition of the team, the EIA
project manager will have to choose the level of expertise that is warranted in the
circumstances, for example, whether to engage to a general ecologist for the for the term
of the study or a number of specialists to undertake specific components.

In practice, the choice of EIA team members will be limited to who is available and what
can be afforded. Teams can range in size from two or three up to thirty members,
depending on the complexity of the proposal.

In developing countries, even large proposals may have only a few specialized staff
allocated to the EIA, although small teams are not necessarily less effective or efficient.
They can promote continuity, and encourage better communication and greater individual
responsibility for the success of the EIA.

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In summary, factors that can affect the selection of team members include:

 Available finances;

 Range of impacts to be studied;

 Demonstrated expertise and experience;

 Local knowledge; and

 Ability to work with others and contribute to team efforts.

Establishing a team does not in itself guarantee that the EIA will be interdisciplinary. It is
the role of the EIA Project Manager to structure opportunities for the team to work
together. Often, an initial site visit is a first, important means of bringing together team
members to learn about the scope of the EIA study. Other meetings can be used to review
the direction, progress and results of the work and to develop an integrated approach to
writing the EIA report.

The EIA Project Manager will be responsible for keeping open the lines of
communication with the stakeholders, and for addressing conflicts and differences.
Conflict within the team can be either because of disagreement about scientific
interpretation, or because members do not get on with each other. The proponent can
disagree with the EIA team about the significance of key impacts, or, worse still, want to
alter the EIA report. Other stakeholders may attempt to push their own interests by
disagreeing with the basis of study findings, reflecting different objectives or values from
those of the EIA team and/or proponent.

Some of these conflicts can be avoided or contained by effective communication and the
provision of timely information. Other conflicts within the EIA team and with the
proponent will test the negotiation skills of the Project Manager, and call for a
combination of diplomacy, mediation and dispute settlement. Even so, it will not be
possible to satisfy all of the parties all of the time.

Appropriate Attributes Of Members Of An EIA Interdisciplinary Team.

A member of a successful interdisciplinary EIA team should have:

 Interpersonal skills;

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 Creativity;
 Adaptability;
 Good oral and written communication skills;
 Organizational capability;
 The ability to listen and to assimilate information;
 A sense of humour; and
 Patience.

Project Control Through Scheduling: The Use of Bar Charts and Critical Path
Methods

The EIA Project Manager is responsible for scheduling how the EIA study will be
organized into component activities and how these will fit together. This is a crucial
control mechanism, which involves:

 Identifying key events and dates for completion of the component activities;

 Allocating the resources required to complete each of these activities;

 Estimating the time required to complete each of these activities; and

 Estimating the cash flow.

Both simple and complex methods of scheduling are available. Their use will depend
upon the complexity of the EIA process in relation to project development. Often, simple
flow and bar charts will suffice. In other cases, more powerful methods of scheduling
will be warranted, such as Critical Path Methods (CPM) of which PERT is commonly
used for controlling engineering projects. These methods use network logic to construct
a logical sequence of tasks necessary to complete the EIA as shown in the figure below.

A project schedule can then be produced (using project management software) as shown
in the accompanying calendar bar or Gantt chart. This chart sets out:

 The activities to be performed;

 The time period to undertake and complete them;

 The events that begin and end each activity; and

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 The relationship between the activities, recognising that some can be undertaken
concurrently but others are dependent on the completion of other tasks.

Critical tasks are one, which if they overrun, lengthen the time taken to complete the EIA
project. These tasks and the links between them are known as the critical path, and they
have to be managed with particular care. EIA project managers will be alert to study
dependencies, for example where the prediction of ecological impact is dependent on
results from a habitat survey. It is their task to anticipate these contingencies, build them
into the project schedule, and take corrective actions as necessary to meet critical
deadlines.

Use of project scheduling software makes it easy to determine the revised time scales. In
the example given below, certain adjustments can be made to the relationship of the
various tasks. For example:

 It is not necessary to undertake the initial site visit after completion of the
literature review, but it is important for the site visit to have been undertaken by
the time the literature review is complete (this is a finish to finish relationship).

 Drafting of the report can commence once the literature review is complete, but
cannot be completed until all other tasks are complete.

In this example the project would begin on 2 June 2002 and would be complete on 22
July 2002. The duration of each task is given in days in the third column from the right
and is represented by the horizontal bars. The relationship between the tasks is
illustrated by the arrows which connect the bars.

Example of a Simple Flow Chart

Determine Review Initial site Refine data

data gathering literature visit gathering
methods methods

Analyze and
evaluate data

Draft Discuss Recommend Predict

report findings with Mitigation 73
Impacts
project Measures
manager and
other team
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Example of a Project Schedule Bar Chart

ID TASK EIA WORK PLAN (by days or weeks)
Duration 1 2 3 4 5 6 7 8 9 10
(Weeks)
1 Determine and data 1
gathering methods
2 Review literature 1
3 Initial site visit 1
4 Refine data gathering 2
methods
5 Undertake data gathering 6
6 Analyse and evaluate data 3
7 Predict impacts 5
8 Design and recommend 2
mitigation
9 Discuss findings with Project 1
Manager and others
10 Draft report 22

11 Finalize report 3
12 Project complete 0

The Role of Budgeting: A Primary Task of the Project Manager

The most difficult part of budgeting is the initial estimate of the funding required. EIA
Project Managers first identify the most important issues and how they are related to each
other. An estimate then can be made of the cost of the studies needed, the people to
undertake them, the time required to carry them out, the services and equipment required
to support the team and the overheads.
A budget should take account of costs from all possible sources and allow for unexpected
problems. Items of expenditure can include:
 Employed and contracted labour;
 Overheads;
 Travel and travel allowances;
 Vehicle purchase, running and maintenance costs;
 Communications;

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 Computer hardware and software;

 Equipment; and
 Document production and duplication.

When preparing an EIA budget, staff costs will be the primary item. Overhead and other
costs (e.g. report production and communications) may be calculated by applying a
multiplier to the labour costs, as shown in the example below. Usually, the multiplier is
between two and three times the labour cost, depending on the profit margin. Other costs
should be added separately to the budget. Capital expenditures or contract services may
be high for certain projects or aspects (e.g. a contaminated land survey).

EIA Project Managers often must fight hard for an adequate budget, sufficient to address
the significant impacts of a proposal. Alternatively, they may have to make
corresponding cuts to the scope, desired accuracy or technical breadth of the planned
assessment while still maintaining its quality and integrity. Tight control must be
exercised to prevent overruns, for example by establishing reporting systems that track
expenses and progress against the budget. Of course, not everything will go to schedule
and if study components have to be changed it is good policy to put this in writing.

Sample of Part of Budget Preparation

Expertise required Rate of pay Estimated Overhead Total (Ksh)

(Ksh per day) duration of work multiplier
(days)
(a) (b) (c) (a)(b)(b)
Noise impact
1. Investigation
Senior 5000 5 2.5 62500
Junior 3000 10 2.5 75000

2.Analytical
Senior
Junior
Social impact
1.Investigation

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Principal
Senior
Junior
2.Analytical
3.Reporting

The Project Manager’s Responsibilities in Preparing the EIA Report

The EIA report is a primary document for decision-making, and for informing
stakeholders about likely environmental impacts of a proposal and the measures for
mitigating them. EIA reports must be written to an appropriate technical standard, in
compliance with the terms of reference and in an easy-to-understand style. They also
must be carefully edited, designed and produced. Money should be allocated in the
budget for these purposes, and for distribution. Experienced EIA Project Managers
recognize that often more copies of the report will be printed than is normally budgeted
for, particularly if the proposal is controversial.
An early start to writing the EIA report can be a good idea. However, it is important to
avoid too detailed and elaborate descriptions of the existing environment (see Tipic 8-
Reporting). This material is available early and the temptation is to give it more
emphasis than it deserves. The EIA report is intended to be a statement of impact, and
this information should comprise the main body of the text. Equally important is the
executive summary of the relevant findings; this is the part of the report which most
people read.
The EIA report will find many critics, and any inaccuracies will make it more open to
challenge. It is the responsibility of the EIA Project Manager to provide overall quality
control, checking each detail of the report for consistency and accuracy. Proponents may
be tempted to either ignore or hide material they feel is detrimental to the project. This
can be highly contentious and the best defence is for the EIA Project Manager to point
out that omissions often raise much greater opposition and can contribute to delaying or
even stopping the proposal.
Little is achieved if the findings of final report are not successfully communicated. It is
necessary to avoid misleading or ambiguous terms, which can be interpreted in different
ways. Clear definitions should be given for terms such as significant, severe, moderate or
negligible impact, remembering the many audiences of the EIA Report. Not all readers

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will be familiar with project details and impact magnitudes may need to be translated into
recognisable quantities. For example, it may be helpful to state the transport of the
millions of cubic meters of earth and rock to build a dam in terms of the number and
frequency of truck loads need during construction.
Often, the final period of report editing and production is a crisis time for the EIA project
Manager and the team. It can be helpful to have a competent outsider review the report
for consistency, accuracy and completeness before it is reproduced and distributed.
Remember, too, most reports will go through a quality check as part of the EIA process,
and it is helpful to replicate this internally to anticipate the findings of an ‘official’
review.
The Capacity Building Aspects of the Role of the Project Manager
Before the EIA team disbands, it can be useful to have a ‘post mortem’ of performance
during the project. The lessons learned can be used to improve the next EIA (see Topic
11 – EIA implementation and follow up). Wherever possible, the EIA Project Manager
should make arrangements to dispose of any equipment that has been acquired, and to
catalogue and store data, reference materials and contact lists for use in future
assessments. This information is likely to be particularly important in developing
countries, where EIA experience may be limited and resources are scarce.

PUBLIC PARTICIPATION IN EIA

Objectives:
 To define Public Participation
 To establish the basis for communication
 To discuss diverse forms of participation
 To decipher advantages of public participation
 To discuss factors that limit public participation

Definition: The involvement of of the public in the decision making process of an

organization Participation is a catchy word, which has become fashionable nowadays.
Many donors, NGOs and even government agencies would like to believe that their
projects are participatory. Participation has been used as a conditionality for donor

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support. This condition has encouraged some change agents to superficially include
participation as a component of their projects. A clear understanding of this concept, and
how it could be misused is crucial.

"Participation" can be used as a means and as an end. If participation is used as a means,

the aim of such participation is often only to persuade the intended beneficiaries to take
part in activities from which the basic contents have already been decided by outsiders.
Participation as an end has its goal the `empowerment' of the intended beneficiaries in
exerting greater control over their resources and their lives. Change agents can easily fall
into the "participation as a means trap".

It is upon the facilitators to explain the distinction between the two versions of
"participation" to the communities, and caution them against the possible confusion and
consequences of misuse.

Typology of Participation

Types of participation Applied examples

Passive participation Use of media; information meeting
Participation in exchange of Paid interview; paid participation in interviews; rental
material incentives of space for experimentation
Participation in information Questionnaire study; formal or informal interviews;
transmission survey
Participation through Discussion group; public consultation; parliamentary
consultation commission
Functional participation Focus groups; various types of for a; public hearing;
follow up committee
Interactive participation Mediation; negotiation
Tools for Public Participation
Failure of top-down initiated projects in 1980s led to the search for more inclusive
participatory tools. First it was RRA followed by PRA PRA as an approach to community
development is built on the premise that participation by the beneficiaries in any project
is fundamental; and that locally developed technologies are more likely to succeed
unlike complicated and expensive alien ones. It also believes in the local cultural values,
institutions and local knowledge systems of the people in all attempts to address their
problems. Sustainable development projects must incorporate approaches that
communities themselves can manage and control.

PRA approach creates awareness among both ordinary people (wananchi) and the elite.
PRA tools are adaptable to different cultural, socio-economic, institutional and ecological
conditions. It is therefore possible to find various versions of PRA emerging in different
parts of the world and practised by different development agencies.

Key tools of PRA include;

 Spatial data
 Temporal data

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 Social data
 Data analysis
 Data synthensis
 Community action plan

PARTICIPATION OR MANIPULATION?

 Top-Down vs From Ground Up

Participation as an end is transforming. Participation as a means is to compel the
community to rubber stamp decisions already made. Traditional ways of decision-
making have always been top-down. But in true participatory planning decisions
should come from the bottom.
 Why true participation?
Guiding Priciples:
1. Communities have information-it is oral. It only needs to be organized
(packaged).
2. Local institutions and community leaders are the pillars of SD-let the
locals manage their resources. It requires lots of time and resources to
educate the communities in order to support the WRUAs. Local support is
critical for sustenance of good ideas and projects.
3. External resources are required but must be directed to meet community
identified priorities.

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DEVELOPMENT PILLARS
(Traditional African stove-3 cooking Stones)

DEV.
COMMUNITY PARTNERS

ADMINISTRA
TION

Definition of stakeholders
 Individuals or institutions with interest or influence on a programme or project-
who may gain or lose
 There are key, secondary and tertiary stakeholders. Hence the need to analyse the
community properly.

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Relevance of stakeholder analysis

 To generate new evidence
 To implement projects/programs in a sustainable manner since stakeholders
are involved
 To enhance participation/partnerships
 To ensure win-win situation in project
 To ensure project/programme success through support of all those with
interests
 Donor pre-requisite

Challenges of SA
 Fundamental value conflicts-SA alone may not be able to resolve different value
systems among stakeholders: Different interpretation of resources among different
resources. Different values cause permanent conflicts.
 Marginalized groups-SA may not be able to guarantee stronger representation of
these groups.
 Local influential Persons (LIPs)-Even when analysis reveals information about
less powerful groups the LIPs might suppress political opposition. This is because
decisions are politics - marginalized group members are not listened to. They do
not dare to contradict what those high in the social hierarchy

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2. SOCIAL IMPACT ASSESSMENT (SIA)

Definition: SIA is analyzing, monitoring, and managing the social consequences of

development.

This includes the social consequences, both positive and negative of planned
interventions.

The primary purpose of SIA is to bring about a more sustainable and equitable
biophysical and human environment.

SIA embodies evaluation of all impacts on humans and all the ways in which people and
communities interact with their socio-cultural, economic and biophysical surroundings.

SIA is involved in assessment of such areas as; aesthetic impacts, archeological and
cultural heritage impacts, community impacts, cultural impacts, demographic impacts,
development impacts, economic and fiscal impacts, gender impacts, health and mental
impacts, impacts on indigenous rights etc.

STAKEHOLDERS

Whoever is impacted by any intervention is a stakeholder and they need to be identified

to be able to do an effective EIA. How will each one of them be impacted by the
intervention proposed. Different stakeholders will attach different values to the impacts.

When dealing with stakeholders we should be aware that:

 Adults are learners in a hurry-how do you capture their attention and get them to
participate. You need to be sensitive even to the body language of the audience-
know when to introduce stimuli variation.
 Communities tell outsiders what they (communities) know outsiders want to hear.
They know outsiders are sectoral. But a single household has all the government.
In each household priorities shift according to the needs of the day, e.g. World
Bank forestry project in Ghana 1980s; Machakos Integrated Development
Program (MIDP) funded by EU in 1970s. The only sign of the program is the
expartriates housing estate.
 Both communities and communities have crusts formed over years of
conditioning and professional bias.
 Dependency syndrome is a reality-at micro, meso and macro levels. It is no
longer negative to be called poor. Self pride is lost. Being self-empowered is an
uphill task.
 We should avoid working for People but work with People.-poverty is increasing
in Kenya because they use Participatory Poverty Index-asking people if they are
poorer. Kenyans do not tell the truth about their wealth. We have been making
Kenyans to measure their wealth with other people. The country has two types of
poverty-pocket poverty and mental poverty.

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 Each community has a unique history with

 Community Divide (cultural/tribal, Gender, Ecological, Economic, Religious,
Political e.t.c).

For SD a community must have a vision.

Questions for visioning

 Where did we come from? History

 How did we get where we are?

 Where do we want to go?-Visioning 30 years from now.

 How shall we get there? Action plan

 How shall we know when we get there?-setting indicators –monitoring/evaluation

mechanisms

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3. STRATEGIC ENVIRONMENTAL ASSESSMENT (SEA)

The purpose of the SEA-Directive is to ensure that environmental consequences of

certain plans and programmes are identified and assessed during their preparation and
before their adoption. The public and environmental authorities can give their opinion
and all results are integrated and taken into account in the course of the planning
procedure. After the adoption of the plan or programme the public is informed about the
decision and the way in which it was made. In the case of likely transboundary significant
effects the affected Member State and its public are informed and have the possibility to
make comments which are also integrated into the national decision making process.

SEA will contribute to more transparent planning by involving the public and by
integrating environmental considerations. This will help to achieve the goal of sustainable
development.

 Integration of EIA in:

o National Development Planning Process

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Project Cycle Management

Detailed assessment of
significant impact.
Identification of mitigation needs
Detailed Design of
input to cost/ benefit analysis
mitigation measures

Feasibility

Design and Implementation

Pre-Feasibility Engineering of mitigation
Site selection, measures and
environmental environmental
screening, initial strategy.
assessment, Implementation
scoping of Project
significant issues. concept
Monitoring and
Monitoring
post auditing
and lessons for future
Evaluation projects.

(EA)
o Millenium Development Goals (MDG)/:
Using the MDG provided document explain how you would ensure
Kenya achieves goal #7.

o Poverty Reduction Strategy Paper (PRSP) etc.

 Challenges of Mainstreaming SEA

o What are the challenges you are likely to face in your effort to
incorporate Sea in your WRMA strategic Plan? List and Explain
o Examine a given District Plan (Laikipia District Development Plan
2002-08 and critique how the SEA has been incorporated into the
plan.

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Planning and conducting an Environmental Audit

Introduction

An environmental audit is a systematic evaluation of activities and processes of an

ongoing project to determine how these activities and processes conform to the approved
environmental management plan of that specific project, and to sound environmental
management best practices around the world.

In order to conduct an environmental audit, therefore, it is necessary to have the

environmental impact assessment study report, and specifically the environmental
management plan. This will facilitate comparison of the predicted impacts and actual
impacts; predicted mitigation measures against actual mitigation measures on the ground,
etc. Terms of reference for the conduct of the audit study must be agreed upon between
the operator of the project, the environment authority, and the EIA expert.

Planning an Environmental Audit

The Terms of Reference should be agreed upon. Just as in an Environmental Impact

Assessment, the environmental audit should be conducted by a team of experts, rather
than by one person. All issues of environmental and human health and safety, as well as
socio-economic concerns should be addressed. As a minimum, therefore, the study team
should consist of (i) a lead expert/team leader, (ii) biologist, (iii) engineer, (iv) chemist,
(v) physical scientist (earth sciences), (vi) socio-economics expert, (vii) health and safety
expert.

All background documentation should be available (past EIA and audit studies; recent
research reports on the project or the area; environmental standards and laws, weather
conditions; earthquakes, etc). A list of contact persons to be interviewed should be drawn
up, and the respondents notified. Visits should be planned to cause as little disruption in
the normal operation of the facility as possible (otherwise the audit will not capture the
reality of operations). The timing of the audit in terms of weather conditions is important
if outdoor studies are central to the project (rainy season and accessibility).

Logistical arrangements (transport, accommodation, materials, laboratory analytical

facilities, interview time schedules etc) should be planned well in advance, and
responsibilities well defined. Analysis of collected samples should be carried out either in
the field or very soon after collection after appropriate fixing in accredited laboratories.
Contamination of samples should be avoided.

Conducting an Environmental Audit

The objectives of an environmental audit include:

1. Establishment of ongoing operational procedures

2. Assessment of internal policy and procedural conformance

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3. Verification of legislative and regulatory compliance

4. Identification of improvement opportunities

In conducting an environmental audit, the expert should

1. Understand and appreciate the project location and processes

2. Understand the responsibility and proficiency of the operators of the project
3. Understand the previously agreed environmental management plan
4. Examine past and present impacts of the project
5. Examine existing internal control mechanisms to identify and mitigate activities
with negative environmental impact
6. Examine existing systems to ensure workers’ health and safety
7. Examine environmental awareness and sensitisation measures, including
environmental standards, and regulations, law and policy for management and
operational personnel
8. Find out any non conformities with the environmental management plan
9. Point out emerging, unforeseen environmental challenges
10. Suggest additional mitigation measures to deal with environmental issues

The process involves conducting environmental assessments, talking to all stakeholders

(operators, workers, communities)

Writing and Reviewing Environmental Audit Reports

Writing Environmental Audit Reports

An environmental audit report should discuss:

Past and present impacts of the project; responsibility and proficiency of the project
operators; existing internal control mechanisms to identify and address negative
environmental impacts; existing mechanisms to ensure the workers’ health and safety;
existence of environmental awareness and sensitisation measures, including
environmental standards, regulations, policy and laws, for management and operational
personnel.

The environmental audit should give an assessment of the extent to which the project is
complying with existing National regulations and standards, or in the absence of such
standards, relevant international standards (WHO, WMO, USEPA, EU).

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The report should also propose measures on how environmental impacts will be
addressed and controlled in order to bring the project to an acceptable environmental
standard.

The report should contain:

1. Executive Summary
2. Description of the project being audited
3. An indication of the raw materials (including energy and water usage), final
products, by-products, and wastes from the project
4. Description of the technical activities, processes, and operations of the project
5. Description of the national environmental legislative frameworks on ecological
and socio-economic matters
6. Description of the potentially affected environment under ecological and socio-
economic matters
7. Prioritisation of all past and ongoing concerns of the project
8. Identification of all environmental and occupational health and safety concerns of
the project
9. Opinion on the efficacy and adequacy of the environmental management plan of
the project
10. Detailed recommendations for corrective actions, their cost, timetable, and
mechanism of implementation
11. Indication of the measures taken under the environmental management plan to
ensure implementation is of acceptable environmental standards
12. A non technical summary outlining the key findings, conclusions and
recommendations of the environmental auditor.
Reviewing an Environmental Audit Report

Table 3: REVIEW CRITERIA FOR ENVIRONMENTAL IMPACT ASSESSMENT AND AUDIT

Score options: N/A = not applicable; G = good; S = satisfactory; P = poor/inadequate (Indicate whether
corrective action is required). Comments should indicate deficiencies or areas well covered.

No. Review Criteria Score Comments

1. Executive Summary
Are the report’s main findings clearly presented including: a brief description of
the programme, background environment, key potential issues, and mitigation
measures required and residual impact?
Is the summary presented in a concise and clear form?
2. Background and Project description
Is proposal selection/justification described?
Have alternative options been adequately explored and described?
Is the project adequately described (i.e. scale, extent and nature of development,
investment, technical assistance and economic restructuring)?
Are planning, construction, operation and decommissioning phases described?
Is the zone of influence defined 9a) in spatial terms? (i.e. area potentially
affected) - Areas should be indicated on maps and (b) duration of
actions/effects?
Are project activities adequately defined to provide a basis for assessing
potential impacts/ benefits?

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3. Approach and Methodology

Have appropriate approaches, methodologies and assessment techniques been
employed for the EIA to indicate its sustainability and environmental effects?
Has an appropriate level of consultation / participation been undertaken
Does the report demonstrate how the consultation/participation have been taken
into account in the assessment?
4. Environmental Policy, Legislation and Planning framework
Are relevant policies and legislation referenced?
Are relevant international agreements and standards referenced
Are relevant environmental objectives, indicators, targets and standards
highlighted for the assessment?
Are requirements for public participation considered?
Is institutional capacity related to potential requirements for the management of
the project described?
Is Inter-agency co-operation and other government / agency related projects
described?
5. Baseline environmental condition
Have the pertinent environmental baseline conditions been described?
(including physical and biological environment, social-cultural and social-
economic conditions
Has account been taken of trends and pressures on the baseline environment and
use been made of environmental quality/performance objectives, targets and
indicators?
6. Assessment of environment impacts
Does the assessment of impacts consider direct and indirect impacts and their
duration and irreversibility?
Are cumulative effects and the interactions between effects considered?
Are methods used for prediction of effects appropriate?
Are methods used for determining the significance of effects appropriate?
Are beneficial as well as adverse effects addressed?
Have consul tees’ views been used to influence evaluation of effects?
Are mitigation measures considered for all potentially significant impact?
Are opportunities for improving or enhancing the environment considered?
Are Residual impacts highlighted
Has a risk assessment been provided for environmental issues?
Has an economic evaluation of environmental effects negative and positive,
been undertaken?
Have assumptions for predictions and evaluation and deficiencies in data been
highlighted?
7. Mitigation and enhancement measures
Have cleaner Production principles and “best practices” been used in the
selection of mitigation measures?
8. Implementation management
Has an Environmental management Plan (EMP) been prepared?
Are the monitoring, mitigation and management measures clearly explained?
Does the EMP satisfactorily address mitigation measures and monitoring
requirements? Does it indicate cost implications?
Have institutional implications been considered?
9. Conclusions and recommendations
Are all the main findings of the EIA clearly reported?
Are feasible recommendations made to ensure the project incorporates the
required mitigation, monitoring and management measures?
Is the need for any complementary action clearly stated?

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Annexes
Presentation and Organization
Is the report clear, well organized and supported by diagrams & figures?

Are references /sources of information and abbreviations given?

Has superfluous information and details been avoided?

Overall Review

Provide summary comments on quality of report

References

Republic of Kenya (2003) The Environmental (Impact Assessment and Audit)

Regulations 2003. Legal Notice No. 101. Kenya Gazette Supplement No. 56

National Environment Management Authority (NEMA) (2007). Draft Environmental

(Impact Assessment and Audit) Operational Guidelines and Administrative Procedures.

UNEP (2007) Guidelines for Impact assessment in the Western Indian Ocean Region:
Tools for implementing the Nairobi Convention.

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