CHAPTER 1Introductionandprinciples1.1IntroductionIn recent years there has been a remarkable growth of interest in environmental issues-in sustainability and the better management of development in harmony with theenvironment.Associated with this growth of interest has been the introduction of newlegislation,emanating from national and international sources,such astheEuropeanCommission, that seeks to influence the relationship between development and theenvironment.Environmentalimpactassessment(EIA)isanimportantexample.EIAlegislation was introduced in theUSAover25years ago.A European Communitydirective in 1985 accelerated its application in EU Member States and, since itsintroductionintheUKin1988,ithasbeenamajorgrowthareaforplanningpracticeThe originally anticipated 20 environmental impact statements (EIS)per year in the UKquickly escalated toover 300,and this is only the tipof the iceberg.The scope of EIAwill widengreatly in thecomingyears.It is therefore perhaps surprising that the introduction of EIA met with strongresistance from many quarters, particularly in the UK. Planners argued, with partialjustification, that they were already making such assessments. Many developers saw it asyet another costly and time-consuming constraint on development, and centralgovernment was also unenthusiastic. Interestingly, current UK iegislation refers toenvironmentalassessment(EA),leavingouttheapparentlypoliticallysensitive,negativesounding reference to impacts. Much of the terminology is still at the formative stage.This first chapter therefore introduces EIA as a process, the purposes of this process,types of development, environment and impacts and current issues in EIA.1.2The nature of environmental impact assessmentDefinitionsDefinitions of environmental impact assessment abound. They range from the off-quotedand broad definition of Munn (1979),which refers to the need "to identify and predict theimpact on theenvironment and on man's health and well-being of legislativeproposals,policies,programmes,projectsand operational procedures,and tointerpret andcommunicate information about the impacts",to the narrowUKDOE(1989)operationaldefinition:"Theterm'environmental assessment'describes atechniqueand aprocess bywhich information about the environmental effects of a project is collected, both by thedeveloper and from other sources, and taken into account by the planning authority informing their judgements on whether the development should go ahead."The UnitedNationsEconomicCommissionforEurope(1991)hasanaltogethermoresuccinctandpithy definition:"an assessment of the impact of a planned activity on the environment
CHAPTER 1 Introduction and principles 1.1 Introduction In recent years there has been a remarkable growth of interest in environmental issues— in sustainability and the better management of development in harmony with the environment. Associated with this growth of interest has been the introduction of new legislation, emanating from national and international sources, such as the European Commission, that seeks to influence the relationship between development and the environment. Environmental impact assessment (EIA) is an important example. EIA legislation was introduced in the USA over 25 years ago. A European Community directive in 1985 accelerated its application in EU Member States and, since its introduction in the UK in 1988, it has been a major growth area for planning practice. The originally anticipated 20 environmental impact statements (EIS) per year in the UK quickly escalated to over 300, and this is only the tip of the iceberg. The scope of EIA will widen greatly in the coming years. It is therefore perhaps surprising that the introduction of EIA met with strong resistance from many quarters, particularly in the UK. Planners argued, with partial justification, that they were already making such assessments. Many developers saw it as yet another costly and time-consuming constraint on development, and central government was also unenthusiastic. Interestingly, current UK legislation refers to environmental assessment (EA), leaving out the apparently politically sensitive, negative sounding reference to impacts. Much of the terminology is still at the formative stage. This first chapter therefore introduces EIA as a process, the purposes of this process, types of development, environment and impacts and current issues in EIA. 1.2 The nature of environmental impact assessment Definitions Definitions of environmental impact assessment abound. They range from the oft-quoted and broad definition of Munn (1979), which refers to the need “to identify and predict the impact on the 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”, to the narrow UK DOE (1989) operational definition: “The term ‘environmental assessment’ describes a technique and a process by which information about the environmental effects of a project is collected, both by the developer and from other sources, and taken into account by the planning authority in forming their judgements on whether the development should go ahead.” The United Nations Economic Commission for Europe (1991) has an altogether more succinct and pithy definition: “an assessment of the impact of a planned activity on the environment
Introductionand principles3Environmental impactassessment:aprocessIn essence, EIA is a process, a systematic process that examines the environmentalconsequences of development actions, in advance.The emphasis, compared with manyothermechanisms for environmental protection,is on prevention.Of courseplannershave traditionally assessed the impacts of developmentsonthe environmentbutinvariably not in the systematic, holistic and multidisciplinary way required by EIA. Theprocess involves a number of steps,as outlined inFigure 1.1.These arebriefly describedbelow,pending a muchfullerdiscussion in Chapters 4-7.It should be noted at this stagethat, although the steps are outlined in linear fashion, EIA should be a cyclical activity,with feedback and interaction between the various steps. It should also be noted thatpractice can and does vary considerablyfrom theprocess illustratedin Figure 1.1.Forexample, until recently UK EIA legislation did not require some of the steps, includingthe consideration of alternatives,and still does not require post-decision monitoring(DOE 1989).The order of thesteps in the process may also vary..Project screening narrows the application of EIA to those projects that may havesignificant environmental impacts. Screening may be partiy determined by the EIAregulations operating in a country at thetime of assessment.·Scoping seeks to identify at an early stage,from all ofa project's possible impacts andfrom all thealternatives that could be addressed, those thatarethe crucial, significantissues.The consideration of alternatives seeksto ensure thattheproponenthas consideredotherfeasibleapproaches,includingalternativeprojectlocations,scales,processes,layouts,operating conditions and the"no action"option.The description of the project/developmentaction includes a clarification of thepurpose and rationale of the project, and an understanding of its variouscharacteristics-including stages of development, location and processes..Thedescription of the environmental baseline includes the establishment ofboththepresent andfuture state ofthe environment, in the absence of the project,taking intoaccountchangesresultingfrom natural events andfromotherhumanactivities.The identification of the main impacts brings together the previous steps with the aimsof ensuringthatall potentiallysignificantenvironmental impacts(adverseandbeneficial)areidentified and taken into account in theprocess..The prediction of impacts aims to identify the magnitude and other dimensions ofidentified change in the environment withaproject/action,by comparison with thesituationwithoutthatproject/action.The evaluation andassessment of significance assesses therelative significance of thepredicted impacts toallowa focus on themain adverse impacts..Mitigation involves the introduction ofmeasures to avoid,reduce,remedy orcompensateforanysignificantadverseimpacts.Publicconsultation andparticipationaimtoensurethequality,comprehensivenessandeffectiveness of theEIA,and thatthepublic's views are adequately taken intoconsideration in the decision-making process..EIS presentation is a vital step in the process.If donebadly,much good work in theEIA may be negated
Environmental impact assessment: a process In essence, EIA is a process, a systematic process that examines the environmental consequences of development actions, in advance. The emphasis, compared with many other mechanisms for environmental protection, is on prevention. Of course planners have traditionally assessed the impacts of developments on the environment, but invariably not in the systematic, holistic and multidisciplinary way required by EIA. The process involves a number of steps, as outlined in Figure 1.1. These are briefly described below, pending a much fuller discussion in Chapters 4– 7. It should be noted at this stage that, although the steps are outlined in linear fashion, EIA should be a cyclical activity, with feedback and interaction between the various steps. It should also be noted that practice can and does vary considerably from the process illustrated in Figure 1.1. For example, until recently UK EIA legislation did not require some of the steps, including the consideration of alternatives, and still does not require post-decision monitoring (DOE 1989). The order of the steps in the process may also vary. ● Project screening narrows the application of EIA to those projects that may have significant environmental impacts. Screening may be partly determined by the EIA regulations operating in a country at the time of assessment. ● Scoping seeks to identify at an early stage, from all of a project’s possible impacts and from all the alternatives that could be addressed, those that are the crucial, significant issues. ● The consideration of alternatives seeks to ensure that the proponent has considered other feasible approaches, including alternative project locations, scales, processes, layouts, operating conditions and the “no action” option. ● The description of the project/development action includes a clarification of the purpose and rationale of the project, and an understanding of its various characteristics—including stages of development, location and processes. ● The description of the environmental baseline includes the establishment of both the present and future state of the environment, in the absence of the project, taking into account changes resulting from natural events and from other human activities. ● The identification of the main impacts brings together the previous steps with the aims of ensuring that all potentially significant environmental impacts (adverse and beneficial) are identified and taken into account in the process. ● The prediction of impacts aims to identify the magnitude and other dimensions of identified change in the environment with a project/action, by comparison with the situation without that project/action. ● The evaluation and assessment of significance assesses the relative significance of the predicted impacts to allow a focus on the main adverse impacts. ● Mitigation involves the introduction of measures to avoid, reduce, remedy or compensate for any significant adverse impacts. ● Public consultation and participation aim to ensure the quality, comprehensiveness and effectiveness of the EIA, and that the public’s views are adequately taken into consideration in the decision-making process. ● EIS presentation is a vital step in the process. If done badly, much good work in the EIA may be negated. Introduction and principles 3
.4Introductiontoenvironmentalimpactassessment.Review involves a systematic appraisal of the quality of the EIS, as a contribution to thedecision-making process.Project screening (is an E needed?)Scoping (which impacts andissuesshouldbe considered?)Descriptionoftheprojecdevelopmentactionand alternativesDescrlptlon of the environmentalbaselineIdentificationofkey impactsPrediction of impactsEvaluationandassessmentofPubllc consultationsignificanceof impactsandparticlpationIdentificationofmitigatingmeasuresPresentation offindings in theEis(includinganon-technical summary)Reviewof the EisDecision-makingPost-decislon monitoringAuditofpredictionsandmitigationmeasuresFigure 1.1 Important steps in the EIAprocess. Note: EIA should be acyclicalprocesswithconsiderableinteraction between the various steps.Forexample,publicparticipationcanbeusefulatmoststagesoftheprocess;monitoring systems should relate toparameters established in the initialproject and baseline descriptions
● Review involves a systematic appraisal of the quality of the EIS, as a contribution to the decision-making process. Figure 1.1 Important steps in the EIA process. Note: EIA should be a cyclical process with considerable interaction between the various steps. For example, public participation can be useful at most stages of the process; monitoring systems should relate to parameters established in the initial project and baseline descriptions. Introduction to environmental impact assessment 4
Introductionandprinciples5.Decision-making on the project involves a consideration by the relevant authority ofthe EiS (including consultation responses)together with other material considerations.Post-decision monitoring involves the recording of outcomes associated withdevelopmentimpacts,aftera decision toproceed.Itcan contributeto effectiveprojectmanagement.Auditing follows from monitoring.It can involve comparing actual outcomes withpredicted outcomes,andcan beused to assess thequality of predictions and theeffectiveness of mitigation.It provides avital step in theEIA learning process.Environmental impactstatements:thedocumentationTheenvironmental impactstatementdocumentstheinformationandestimatesof impactsderived from the various steps in the process.Prevention is better than cure; an EISrevealing many significant unavoidable adverse impacts would provide valuableinformation that could contributeto the abandonment or substantial modification of aproposed development action.Whereadverse impacts can be successfullyreducedthroughmitigation measures,there maybe a different decision.Table 1.1provides anexample of the content ofan EIS fora project.The non-technical summary is an important element in the documentation; EIA can becomplex,andthesummarycanhelptoimprovecommunicationwiththevariouspartiesinvolved.Reflecting the potential complexity of the process, a methods statement, at thebeginning,provides an opportunity to clarify some basic information (e.g. who thedeveloper is, who has produced the EIS, who has been consulted and how,what methodshavebeen used, what difficulties have been encountered and what the limitations of theEIA are).A summary statement of key issues,up-front, can also help to improvecommunications. A more enlightened EIS would also include a monitoring programme,either here or at the end ofthe document.Thebackground to the proposed developmentcovers the early steps in the EIA process, including clear descriptions of a project, andbaseline conditions (including relevant planning policies and plans).Within each of thetopic areas of an EIS thereTable1.1AnESforaproject-exampleorcontents.Non-technical summaryPart I: Methods and key isstues1 Methods statement2 Summary of key issues; monitoring programme statementPart2:Background to the proposed development3 Preliminarystudies: need,planning,alternatives and site selection4 Site description, baseline conditions5Description of proposed development6Construction activities and programme
● Decision-making on the project involves a consideration by the relevant authority of the EIS (including consultation responses) together with other material considerations. ● Post-decision monitoring involves the recording of outcomes associated with development impacts, after a decision to proceed. It can contribute to effective project management. ● Auditing follows from monitoring. It can involve comparing actual outcomes with predicted outcomes, and can be used to assess the quality of predictions and the effectiveness of mitigation. It provides a vital step in the EIA learning process. Environmental impact statements: the documentation The environmental impact statement documents the information and estimates of impacts derived from the various steps in the process. Prevention is better than cure; an EIS revealing many significant unavoidable adverse impacts would provide valuable information that could contribute to the abandonment or substantial modification of a proposed development action. Where adverse impacts can be successfully reduced through mitigation measures, there may be a different decision. Table 1.1 provides an example of the content of an EIS for a project. The non-technical summary is an important element in the documentation; EIA can be complex, and the summary can help to improve communication with the various parties involved. Reflecting the potential complexity of the process, a methods statement, at the beginning, provides an opportunity to clarify some basic information (e.g. who the developer is, who has produced the EIS, who has been consulted and how, what methods have been used, what difficulties have been encountered and what the limitations of the EIA are). A summary statement of key issues, up-front, can also help to improve communications. A more enlightened EIS would also include a monitoring programme, either here or at the end of the document. The background to the proposed development covers the early steps in the EIA process, including clear descriptions of a project, and baseline conditions (including relevant planning policies and plans). Within each of the topic areas of an EIS there Table 1.1 An EIS for a project—example or contents. Non-technical summary Part 1: Methods and key issues 1 Methods statement 2 Summary of key issues; monitoring programme statement Part 2: Background to the proposed development 3 Preliminary studies: need, planning, alternatives and site selection 4 Site description, baseline conditions 5 Description of proposed development 6 Construction activities and programme Introduction and principles 5
Introductiontoenvironmental impactassessment6Part3:Environmental impactassessment-topicareas7Land use, landscape and visual quality8 Geology,topography and soils9 Hydrology and water quality10 Air quality and climate11 Ecology: terrestrial and aquatic12Noise13 Transport14 Socio-economic impact15Interrelationshipsbetweeneffectswould normally be a discussion of existing conditions, predicted impacts, scope formitigation and residual impacts.EIA and EIS practices vary from study to study,from country to country, and bestpractice is constantly evolving.Arecent UN studyof EIApractice in several countriesadvocated changes in the process and documentation (United Nations EconomicCommission for Europe 1991). These included giving a greater emphasis to the socio-economic dimension,topublicparticipation,and to“after thedecision"activity,suchasmonitoring.Otherrelevant definitionsDevelopment actions may have impacts not only on the physical environment but also onthe social and economic environment.Typically,employmentopportunities,services(e.g. health, education) and community structures, life-styles and values may be affected.Socio-economicimpactassessmentorsocial impactassessment(SIA),isregarded hereasan integral part of EIA.However,in some countries it is (or has been)regarded as aseparate process, sometimes parallel to EIA,and the reader should be aware of itsexistence (Carley &Bustelo 1984,Finsterbusch 1985,International Association forImpact Assessment, 1994).Strategic environmental assessment (SEA) expands EIA from projects to policiesplans and programmes. Development actions may be for a project (e.g.a nuclear powerstation), for a programme (e.g.a number of pressurized water reactor (PWR) nuclearpower stations), for a plan (e.g.in the town and country planning system in England andWales,for local plans and structureplans),orfor apolicy(e.g.thedevelopment ofrenewable energy). EIA to date has generally been used for individual projects, and thatrole is the primary focus of this book.But EIA for programmes,plans and policiesotherwiseknown asstrategic environmental assessment,iscurrentlygeneratingmuchinterest in the EU and beyond (Therivel et al. 1992). SEA informs a higher, earlier, morestrategic tier of decision-making.In theory,ElA should be carried out first forpolicies,thenforplans,programmes,andfinallyforprojects
Part 3: Environmental impact assessment—topic areas 7 Land use, landscape and visual quality 8 Geology, topography and soils 9 Hydrology and water quality 10 Air quality and climate 11 Ecology: terrestrial and aquatic 12 Noise 13 Transport 14 Socio-economic impact 15 Interrelationships between effects would normally be a discussion of existing conditions, predicted impacts, scope for mitigation and residual impacts. EIA and EIS practices vary from study to study, from country to country, and best practice is constantly evolving. A recent UN study of EIA practice in several countries advocated changes in the process and documentation (United Nations Economic Commission for Europe 1991). These included giving a greater emphasis to the socioeconomic dimension, to public participation, and to “after the decision” activity, such as monitoring. Other relevant definitions Development actions may have impacts not only on the physical environment but also on the social and economic environment. Typically, employment opportunities, services (e.g. health, education) and community structures, life-styles and values may be affected. Socio-economic impact assessment or social impact assessment (SIA), is regarded here as an integral part of EIA. However, in some countries it is (or has been) regarded as a separate process, sometimes parallel to EIA, and the reader should be aware of its existence (Carley & Bustelo 1984, Finsterbusch 1985, International Association for Impact Assessment, 1994). Strategic environmental assessment (SEA) expands EIA from projects to policies, plans and programmes. Development actions may be for a project (e.g. a nuclear power station), for a programme (e.g. a number of pressurized water reactor (PWR) nuclear power stations), for a plan (e.g. in the town and country planning system in England and Wales, for local plans and structure plans), or for a policy (e.g. the development of renewable energy). EIA to date has generally been used for individual projects, and that role is the primary focus of this book. But EIA for programmes, plans and policies, otherwise known as strategic environmental assessment, is currently generating much interest in the EU and beyond (Therivel et al. 1992). SEA informs a higher, earlier, more strategic tier of decision-making. In theory, EIA should be carried out first for policies, then for plans, programmes, and finally for projects. Introduction to environmental impact assessment 6