Basic Concepts for

Assessing
Environmental Impacts

What is Environment ?
Set of physical, chemical and biological
systems and its relationships, and of
economic, social and cultural factors with
direct and indirect, immediate or mediate
effects on living systems and humans
quality of life.

IMPACT ASSESSMENT- Large Family of tools

Range of interests

Agriculture, Forestry and Fisheries.

Biodiversity and Ecology
Disasters and Conflict.
Corporate Stewardship and Risk
Management
Health Impact Assessment
Impact Assessment Law, Policies
and Practice
Integrated Assessment of Trade-Related
Policies
Public Participation
Social Impact Assessment
Strategic Environmental Assessment

EIA - Environmental Impact

Assessment
SEA - Strategic Environmental
Assessment
HIA - Health impact assessment,
SIA - Social impact assessment,
Cumulative effects assessment,
Risk assessment,
Technological Impact Assessment

.....

WHAT IS ENVIRONMENTAL IMPACT ASSESSMENT

?
Principles of good practice in impact assessment
The process of identifying, predicting, evaluating and
mitigating
the
biophysical, social, and other relevant effects
of development
proposals prior to major decisions being taken and
commitments made.
5

Why doing EIA?

To reduce environmental risks.
To apply preventive policies.
To reduce corrective actions and
repairness.
To improve project design.
To avoid unnecessary costs.
To ensure better social and environmental
equity.
For ethical reasons.
6

Benefits of EIA

Preventively avoid proposals that do not have

environmental quality
Identify and optimize favourable environmental issues
Identify and implement cost-effective
environmental alternatives
Identify and engage affected and interested
stakeholders
Identify more efficient and equitative decisions
Adequately integrate economic, environmental and
social issues
Greatest benefit: a successful decision
7

EIA Evolution
Currently: EIA in the sustainability
context
1995
Integrated assessment
1990
Sustainability paradigm
1985
Process and procedural
reconception
1980
Social dimension incorporated
1975
Methodological development
1970
Pre-EIA
8

EIA in the International

Conventions
Environmental impact assessment, as a national instrument,
shall be undertaken for proposed activities that are likely to
have asignificant adverse impact on the environment and are
subject toa decision of a competent national authority. Rio
Earth Summit, 1992
Rio Declaration (1992) Principle 17 and 19
(Transboundary impacts)
Biodiversity Convention (CBD) (1992) Art. 14
Espoo Convention (Transboundary impacts) (1997)
Aarhus Convention (1991) Access to information,
participation and environmental justice
EIA is now a formal process in over 100 countries around the
world.

10

Project and Action

Project: technical document of architecture and
engineering, that contains the written reports and
drawings that enable the physical design of an
initiative.
Project preparation and approval is usually a phased
process (ex: previous study, ante-project, execution or
licensing project).

Action: activity, inserted or not in a project.

11

Project cycle
Initial Environmental
Examination (IEE)

Screening

Scoping/
Terms of
Reference

You are here

Full-Scale
EIA

EIA
Review

IEE
Review

EIA
Required

EIA Not
Required

EIA
Approved

Decision
Making

Monitoring

EIA Audit and

Evaluation

EIA Not
Approved
Evaluate
Options

12

Environmental Impact Assessment is:

A formal process for identifying:

likely effects of activities or

projects on the
ENVIRONMENT, and on
human health and welfare.
means and measures to
mitigate & monitor these
impacts

a system.
it is the form of organizing
and managing a process

Environment is
broadly interpreted:
physical, biological,
and social.
In EIA, the term
impacts is used
instead of effects
of activities.

What is an
impact?
13

Components, scale and time

dimensions

14

Influence of impact
The impact of an activity
is a deviation (a change)
from the baseline
situation that is caused
by the activity.

To measure an impact, you

must know what the
baseline situation is.

The baseline
situation is the
existing
environmental
situation or
condition in the
absence of the
activity.
The baseline
situation is a key
concept in EIA.

More

15

The baseline situation

In characterizing the
baseline situation,
many environmental
components MAY be
of interest
The components of
interest are those that
are likely to be affected
by your activityor
upon which your
activity depends for its
success

Water

Quantity, quality, reliability,

accessibility

Soils

Erosion, crop productivity,

fallow periods, salinity,
nutrient concentrations

Fauna

Populations, habitat

Env. Health Disease vectors, pathogens

Flora

Composition and density of

natural vegetation,
productivity, key species

Special
Key species
ecosystems
16

The baseline situation is

not simply a snapshot.

Describing the baseline

situation requires
describing both the
normal variability in
environmental
components & current
trends in these
components
.

Water table

The baseline situation

time
This chart of
groundwater levels
shows both variability
and a trend over time.

Both are part of the

groundwater baseline
situation.
17

Basic concepts of impact

18

Types of impacts & their attributes

The EIA process is concerned
with
all types of impacts and may
describe them in a number of
ways

Direct & indirect impacts

Short-term & long-term
impacts
Adverse & beneficial
impacts
Cumulative impacts

Intensity
Direction
Spatial extent
Duration
Frequency
Reversibility
Probability

But all impacts are

NOT treated equally.
19

Classification of impacts

20

Specifically,

! It is ESSENTIAL in EIA to
focus on the most
significant impacts.
Dont waste effort & time
analyzing and discussing
impacts that are less
important.

21

What is an activity?
We are discussing the impacts of activities.
What are activities?

An activity is:
a desired
accomplishment or
output

E.g.: a road, seedling

production, or river
diversion to irrigate land

Accomplishing an activity
requires a set of actions
ACTIVITY:

ACTIONS:

market access
road
rehabilitation

Survey, grading, culvert

construction, compaction, etc.
..

A project or program may consist of

many activities
22

Initial Environmental
Examination (IEE)

Screening

Scoping/
Terms of
Reference

You are here

Full-Scale
EIA

EIA
Review

IEE
Review

EIA
Required

EIA Not
Required

EIA
Approved

Decision
Making

Monitoring

EIA Not
Approved
Evaluate
Options
23

EIA Audit and

Evaluation

The EIA process

Phase I:
Initial inquiries
IEE
Understand proposed
activities
Screen
Conduct preliminary
assessment (if needed)

Phase II:
Full EIA study
(if needed)
Scope
Evaluate baseline situation
Identify & choose alternatives
Identify and characterize potential
impacts of proposed activity and
each alternative
Develop mitigation and monitoring
Communicate and document

Our focus!
24

Phase 1 of the EIA Process : 3 steps

Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?

Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?

Conduct a
Preliminary
Assessment
ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK

ACTIVITY IS LOW
RISK (Of its nature,
very unlikely to have
significant adverse
impacts)

A rapid,
simplified EIA
study using
simple tools
IEE

Phase I
SIGNIFICANT
ADVERSE IMPACTS
POSSIBLE

Phase II
BEGIN
FULL EIA
STUDY

SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY

STOP the
EIA
process

ACTIVITY IS HIGH
RISK (Of its nature,
likely to have significant
adverse impacts)

25

Phase 1 of the EIA Process:

Understand proposed activity
Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?

Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?

Conduct a
Preliminary
Assessment
ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK

ACTIVITY IS LOW
RISK (Of its nature,
very unlikely to have
significant adverse
impacts)

A rapid,
simplified EIA
study using
simple tools
(e.g. the USAID
IEE)

Phase I
SIGNIFICANT
ADVERSE IMPACTS
POSSIBLE

Phase II
BEGIN
FULL EIA
STUDY

SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY

STOP the
EIA
process

ACTIVITY IS HIGH
RISK (Of its nature,
likely to have significant
adverse impacts)

26

Phase 1 of the EIA process:

Understand the proposed

activity
Understand the
proposed
activities
Why is the
activity being
proposed?
What is being
proposed?

ALL EIA processes begin with

understanding WHAT is being proposed,
and WHY.
The question
WHY IS THE ACTIVITY BEING PROPOSED?
Is answered with the development objective (D.O.).

building a road Not a D.O.!

If we dont
understand it,
we cant
assess it!

increasing access to
Is a D.O.
markets

We must understand the

Development Objective to identify
environmentally sound alternatives
27

Phase 1 of the EIA process:

Understand the proposed activity

Understand the
proposed
activities
Why is the
activity being
proposed?

Once we understand the development

objective, we must fully understand WHAT is
being proposed.
This includes associated actions!
PRIMARY ACTIVITY: construction of
diversion dam & irrigation canal

What is being
proposed?

Oops. I
forgot about
the borrow
pit.

ASSOCIATED ACTIONS:
Survey
negotiate land tenure
construct borrow pit
establish construction camp
construct temporary diversion
structure
dispose of soil, debris

28

Phase 1 of the EIA Process:

Screen the activity
Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?

Conduct a
Preliminary
Assessment

Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?

ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK

ACTIVITY IS LOW
RISK (Of its nature,
very unlikely to have
significant adverse
impacts)

A rapid,
simplified EIA
study using
simple tools
(e.g. the USAID
IEE)

Phase I
SIGNIFICANT
ADVERSE IMPACTS
POSSIBLE

Phase II
BEGIN
FULL EIA
STUDY

SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY

STOP the
EIA
process

ACTIVITY IS HIGH
RISK (Of its nature,
likely to have significant
adverse impacts)

29

Phase 1 of the EIA process:

Screen the activity

Screen each
activity

Based on the
nature of the
activity, what level
of environmental
analysis is
indicated?

SCREENING is the process of asking a very

basic set of questions about the nature of
activity.
These questions:
do NOT require analysis.
do NOT require detailed knowledge about the
proposed sites, techniques or methods
Example screening questions: Does
the activity involve:
Penetration road building?
Large-scale irrigation?
Introduction of non-native crop or
agroforestry species?
30

Phase 1 of the EIA process:

Screen the activity

Screen each
activity

Based on the
nature of the
activity, what level
of environmental
analysis is
indicated?

screening classifies the activity into a

RISK CATEGORY:
VERY LOW RISK

EIA process ends

VERY HIGH RISK

Do full EIA study

MODERATE OR
UNKNOWN RISK

Do preliminary
assessment
The outcome of the screening
process determines the next
step in the EIA process

31

Phase 1 of the EIA process:

Screen the activity

! Each donor agency and

national EIA law has its

own set of screening
questions.

Screening is the topic of

an upcoming module

32

Phase 1 of the EIA Process:

IEE
Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?

Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?

Conduct a
Preliminary
Assessment
ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK

ACTIVITY IS LOW
RISK (Of its nature,
very unlikely to have
significant adverse
impacts)

A rapid,
simplified EIA
study using
simple tools
IEE

Phase I
SIGNIFICANT
ADVERSE IMPACTS
POSSIBLE

Phase II
BEGIN
FULL EIA
STUDY

SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY

STOP the
EIA
process

ACTIVITY IS HIGH
RISK (Of its nature,
likely to have significant
adverse impacts)

33

Phase 1 of the EIA process:

The Preliminary Assessment

Conduct a
Preliminary
Assessment
A rapid,
simplified EIA
study using
simple tools

The purpose of a preliminary assessment is

to provide documentation and analysis
that:

Screening determines
whether the
preliminary
assessment is
necessary

Allows the preparer to determine

whether or not significant
adverse impacts are likely

Allows the reviewer to agree or

disagree with the preparers
determinations

Sets out mitigation and

monitoring for adverse impacts
34

Phase 1 of the EIA process:

The Preliminary Assessment

Typical Preliminary
Assessment outline
1. Background (Development
objective, list of activities)
2. Description of the baseline
situation
3. Evaluation of potential
environmental impacts
4. Mitigation & monitoring
5. Recommended Findings

For each activity it covers, a

preliminary assessment has 3
possible findings:
The project is very unlikely to
have significant adverse
impacts. (EIA process ends)
With specified mitigation and
monitoring, the project is
unlikely to have significant
adverse impacts

The project is likely to have

significant adverse impacts
(full EIA study is required)

35

What is mitigation?
Mitigation is. . .

The implementation of
measures designed to
reduce the undesirable
effects of a proposed action
on the environment

Mitigation is the topic of an upcoming module!

36

To arrive at findings:
Identify, Predict and Judge
Arriving at the FINDINGS in a preliminary
assessment requires 3 steps:

Identify potential
impacts

Many resources describe the potential impacts of

typical small-scale activities.

Predict potential
impacts

Determine which potential impacts are likely to

become actual, and quantify these impacts to the
extent possible.

Judge the
significance of
potential impacts

Determine whether the predicted impacts are

indeed significant!
THIS WILL OFTEN DEPEND ON HOW EFFECTIVE THE
PROPOSED MITIGATION MEASURES ARE!
37

Subsequent modules. . .
Present tools to
assist in identifying
& predicting impacts
Discuss the factors
involved in judging
significance

38

IEE Flow Chart

1. Identify Potential Significant
Environmental Issues

2. Obtain Information

4. Resolve SEIs Where Possible

3. Effects Classification/
Identification of Significant
Environmental Issues (SEIs)

(Review Alternatives/Develop
Environmental Management Plans
and Protection Measures)

IEE is the final EIA

Report, including:
1. SEIs
2. EPM
3. EMP

YES

5. Are all SEIs

resolved?

NO

The IEE makes

recommendations
for further study:
Full-Scale EIA

Identification of Potential
Significant Issues
1.

Identify valued environmental/ecosystem

components (VECs)
Professional judgement/past experience
Legislative requirements
Stakeholder and community values
2.Identify the potential for impacts to each VEC
3.Identify potential for cumulative impacts
(i.e.,to the site as a whole and to the region)
40

Commonly Considered VECs

Natural physical resources (e.g., surface and

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

41

Methods for Identifying Potential

Impacts to VECs

Matrices
Sectoral
Project type
Checklists
Professional expertise and experience with similar
project types
Combination of techniques

42

Sectoral Matrix Example

Valued Env.
Component
(VEC)
Development
Projects
Ports and Harbours
Airports
Rapid Transit
Highways
Oil/Gas Pipelines
Significant Impact

Moderate - Significant Impact

Insignificant Impact

Project Checklist Example

Actions Affecting
Resources and Values:
1. Disruption of Hydrology
2. Resettlement
3. Encroachment on Precious
Ecology
4. Encroachment on Historic/
Cultural Values
5. Cooling Tower Obstruction
6. Regional Flooding Hazard
7. Waste Emissions Related to
Siting

Potential Damages:
1. Impairment of Other Beneficial
Water Uses
2. Social Inequities
3. Loss of these Values
4. Loss of these Values
5. Conflicts with Other Beneficial
Water Uses
6. Hazard to Plant Operations
7. Intensification of Problems of
Pollution Control
44

Considerations in Determining
Potential Effects
Impacts to:
individual VECs
entire site (i.e., impacts to all VECs combined)
cumulative impacts to the area (i.e., considering
other existing and planned projects)
Impacts from all phases of the project (i.e., construction,
operation, decommissioning)
Impacts on different time-scales
Impacts from different orders of impact
45

You are here

Initial Environmental
Examination (IEE)

Screening

IEE
Review
EIA
Required

Scoping/
Terms of
Reference

EIA Not
Required

Full-Scale
EIA
EIA
Approved

EIA
Review

Decision
Making

Monitoring
EIA Not
Approved

Evaluate
Options

46

EIA Audit and

Evaluation

We only proceed to
Phase II of the EIA
process
if
Phase I indicates that
a FULL EIA STUDY
is required
Most small-scale activities
do not require a full EIA
study!
47

Phase 2 of the EIA process:

The Full EIA study

The full EIA study has very similar
objectives and structure to a
preliminary assessment.

A formal scoping process

precedes the study to ID
issues to be addressed

Analysis of environmental
impacts is much more
detailed

Alternatives* must be
formally defined. The impacts
of each alternative must be
identified & evaluated, and
the results compared.

However, the full EIA study differs in

important ways:

Public participation is usually

required.
*includes the project as
proposed, the no-action alternative
at least one other real alternative

A professional EIA team is

usually required.
48

Phase 2 of the EIA process:

The Full EIA study

1. Background (Development
objective, list of activities)
2. Description of the baseline
situation
3. Evaluation of potential
environmental impacts
4. Mitigation & monitoring
5. Recommended Findings

Basic steps of the full EIA

study
Scope
Evaluate baseline situation
Identify & choose alternatives
Identify and characterize
potential impacts of proposed
activity and each alternative
Compare alternatives
Develop mitigation and
monitoring

Communicate & Document throughout

With a few additions, the

basic outline of the
preliminary assessment is
the template for the steps
involved in a full EIA study:

49

Phase 2 of the EIA process:

The Full EIA study

In summary,
The full EIA study is a far
more significant effort than
the preliminary assessment.
It is reserved for activities
for which screening or the
preliminary assessment
shows that significant
impacts are likely.

50

Who is involved in EIA?

Sponsor of the
activity
(usually commissions/conducts the EIA)

Regulatory agencies/
Review
authorities
Communities (men & women)
Civil society
Broad-based
public
Private Sector

Public consultation is usually only

REQUIRED for full EIA studies.
However, it is good practice for
preliminary assessments because:
Predicting impacts is
FACILITATED by broad-based
public consultation; Judging
significance is very difficult
without it.
Transparency and accessibility
require disclosure to
stakeholders

51

Making EIA effective

To be an effective tool
for ESD, EIA must be:
a integral part of the project
development cycle.

EIA is undertaken early enough to

affect project design
Mitigation and monitoring
developed in the EIA process is
implemented.
The full EIA study must consider real
alternatives

Honest

Transparent & accessible

Impacts must be assessed honestly.

The EIA products must be clear and

accessible to key actors.

52

EIA and Project cycle

Initial Environmental
Examination (IEE)

Screening

IEE
Review

Scoping/
Terms of
Reference

EIA
Required

EIA Not
Required

Full-Scale
EIA

EIA
Review

Decision
Making

EIA
Approved

EIA Not
Approved
Evaluate
Options

Monitoring

EIA Audit and

Evaluation

You are here

53

WHAT IS ENVIRONMENTAL IMPACT ASSESSMENT

?
Principles of good practice in impact assessment
The process of identifying, predicting, evaluating and
mitigating
the
biophysical, social, and other relevant effects
of development
proposals prior to major decisions being taken and
commitments made.
54

Why doing EIA?

To reduce environmental risks.
To apply preventive policies.
To reduce corrective actions and
repairness.
To improve project design.
To avoid unnecessary costs.
To ensure better social and environmental
equity.
For ethical reasons.
55

You are here

Initial Environmental
Examination (IEE)

Screening

IEE
Review
EIA
Required

Scoping/
Terms of
Reference

EIA Not
Required

Full-Scale
EIA
EIA
Approved

EIA
Review

Decision
Making

Monitoring
EIA Not
Approved

Evaluate
Options

56

EIA Audit and

Evaluation

Initial Environmental
Examination (IEE)

Screening

Scoping/
Terms of
Reference

You are here

Full-Scale
EIA

EIA
Review

IEE
Review

EIA
Required

EIA Not
Required

EIA
Approved

Decision
Making

Monitoring

EIA Not
Approved
Evaluate
Options
57

EIA Audit and

Evaluation