Handbook ofEnvironmental Impact

AssessmentVOLUME 2

ENVIRONMENTAL IMPACT ASSESSMENT

IN PRACTICE:

IMPACT AND LIMITATIONS

EDITED BY

JUDITH PETTSCentre for Environmental Research and Training

The University of Birmingham(Formerly: Centre for Hazard and Risk Management

Loughborough University)

pettyc1.jpg

HANDBOOK OFENVIRONMENTAL IMPACT

ASSESSMENTVolume 2

EDITORIAL ADVISERS

CHRISTOPHER WOODEIA Centre

Department of Planning and LandscapeUniversity of Manchester

RIKI THRIVELOxford

Handbook ofEnvironmental Impact

AssessmentVOLUME 2

ENVIRONMENTAL IMPACT ASSESSMENT

IN PRACTICE:

IMPACT AND LIMITATIONS

EDITED BY

JUDITH PETTSCentre for Environmental Research and Training

The University of Birmingham(Formerly: Centre for Hazard and Risk Management

Loughborough University)

1999 byBlackwell Science LtdEditorial Offices:Osney Mead, Oxford OX2 0EL25 John Street, London WC1N 2BL23 Ainslie Place, Edinburgh EH3 6AJ350 Main Street, Malden

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First published 1999

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A catalogue record for this titleis available from the British Library

ISBN 0-632-04772-0 (vol. 1)0-632-04771-2 (vol. 2)0-632-04773-9 (set)

Library of CongressCataloging-in-publication Data

Handbook of environmental impactassessment / edited by JudithPetts.

p. cm.Includes index.ISBN 0-632-04772-0 (vol. 1).ISBN 0-632-04771-2 (vol. 2)1. Environmental risk

assessment Handbooks,manuals, etc. 2. Environmentalmanagement Handbooks,manuals, etc. I. Petts, Judith.GE145.H35 1999333.714 dc21 98-34000

CIP0

www.blackwell-science.com

Contents

3.2 Capacity building and capacity development, 35

3.3 Capacity development and training, 373.4 Constraints on training, 383.5 Environmental impact assessment

training: needs and demand in a climate of change, 38

3.6 Training provision, 393.7 Target groups training requirements, 433.8 Types of training, 433.9 The content of training programmes and

related issues, 463.10 Training of developing country personnel

in developed countries, 473.11 Environmental impact assessment

networks, 473.12 Monitoring the effectiveness of capacity

development, 503.13 Partnerships and sustainability, 513.14 Conclusions, 53

4 Quality and Quality Control inEnvironmental Impact Assessment, 55Karl Fuller4.1 Introduction, 554.2 Dimensions of quality, 554.3 Quality assurance in environmental impact

assessment the review, 564.4 Quality control using other systemic

approaches, 664.5 Quality assurance in environmental impact

assessment foundation measures, 694.6 Conclusions, 73Appendix 1Institute of environmental assessment reviewcriteria, 74

List of Contributors, ix

Preface, xi

Part 1: Quality and Effectiveness, 1

1 Introduction to Environmental ImpactAssessment in Practice: FulfilledPotential or Wasted Opportunity?, 3Judith Petts1.1 Diffusion and internationalization, 31.2 Measuring effectiveness, 51.3 Experience and practice, 61.4 Conclusions: fulfilment or wasted

opportunity?, 8

2 Comparative Evaluation ofEnvironmental Impact AssessmentSystems, 10Christopher Wood2.1 Introduction, 102.2 Trends in environmental impact assessment

practice, 122.3 The environmental impact assessment

systems, 122.4 System evaluation criteria, 132.5 Performance of the environmental impact

assessment systems, 202.6 Performance of the environmental impact

assessment systems against each criterion, 24

2.7 Conclusions: improving the effectiveness of environmental impact assessment, 31

3 Capacity Building, 35Brian D. Clark3.1 Introduction, 35

v

vi Contents

The Netherlands environmental impactassessment commission operational criteria, 77Checklist for evaluating New Zealand reports, 77

Appendix 2Checklist for review of environmental assessmentprocess effectiveness, 78

Part 2: Environmental ImpactAssessment at the International Level,83

5 The Convention on EnvironmentalImpact Assessment in a TransboundaryContext, 85Wiek Schrage5.1 Introduction, 855.2 Definitions, 875.3 Field of application, 885.4 Procedure, 905.5 Public participation, 945.6 Effect on international law, 955.7 Interim implementation, 955.8 Conclusions, 96

6 Environmental Impact Assessment andMultilateral Financial Institutions, 98William V. Kennedy6.1 Introduction, 986.2 The purpose of environmental impact

assessment requirements and procedures, 98

6.3 Screening, 1066.4 The project cycle, 1096.5 Public consultation, 1146.6 Experience, 1156.7 Quality, 1186.8 Effectiveness, 1186.9 Conclusions, 119

Part 3: International Experience, 121

7 Environmental Impact Assessment inCentral and Eastern Europe, 123Urszula A. Rzeszot7.1 Introduction, 1237.2 Characteristics of the region, 1237.3 Background to environmental impact

assessment legislation, 125

7.4 Environmental impact assessment practice, 129

7.5 Strategic environmental assessment, 1377.6 Training, networking and exchange of

information, 1387.7 Conclusions, 139

8 Environmental Impact Assessment inEast Asia, 143Clive Briffett8.1 Introduction, 1438.2 Characteristics of the region, 1448.3 Status of environmental impact

assessment, 1448.4 Environmental impact assessment

legislation, 1448.5 Environmental impact assessment practice,

1478.6 Hong Kong, 1488.7 Japan, 1498.8 Singapore, 1518.9 Brunei Darussalam, 1528.10 Malaysia, 1538.11 Thailand, 1548.12 Indonesia, 1558.13 Philippines, 1558.14 Problems in implementing environmental

impact assessment, 1568.15 Environmental impact assessment

procedures, 1608.16 Conclusions, 163

9 Environmental Impact Assessment inAfrica, 168John O. Kakonge9.1 Introduction, 1689.2 Characteristics of the region, 1689.3 Evolution of environmental impact

assessment in Africa, 1709.4 Reasons why environmental impact

assessment has not been institutionalized in Africa, 172

9.5 The conduct of environmental impact assessment in African countries, 173

9.6 Donor agencies and environmental impact assessment, 175

9.7 Lessons to be learned from case studies, 176

Contents vii

9.8 Institutional framework, 1799.9 Regional cooperation, 1809.10 Conclusions, 181

10 Environmental Impact Assessment inSouth and Central America, 183Elizabeth Brito & Iara Verocai10.1 Introduction, 18310.2 Overview of the region, 18310.3 Evolution of environmental impact

assessment, 18510.4 Current status of environmental impact

assessment, 18810.5 Environmental impact assessment

procedures, 19110.6 Case study Bolivia, 19510.7 Case study Chile, 19710.8 Conclusions, 200

11 Environmental Impact Assessment inNorth America, 203Ray Clark & Debra Richards11.1 Introduction, 20311.2 Background, 20311.3 Defining the boundaries of an

environmental impact assessment, 20811.4 Scoping, 21111.5 Alternatives, 21211.6 Environmental effects, 21411.7 Public participation, 21611.8 Interagency review, 21811.9 Monitoring, 21811.10 Response to findings adaptive

management, 21911.11 Local and regional environmental impact

assessment, 21911.12 Interdisciplinary place-based approach to

decision-making, 22011.13 Interagency and environmental impact

assessment interjurisdictional coordination, 220

11.14 Strategic planning, 22111.15 Summary, 221

12 Environmental Impact Assessment inthe European Union, 223Alan J. Bond & Peter Wathern12.1 Introduction, 22312.2 Overview, 224

12.3 Constraints on environmental impact assessment in the European Union, 225

12.4 The 1985 Environmental Impact Assessment Directive, 227

12.5 Environmental impact assessment practice in the European Union, 231

12.6 Future developments, 24312.7 Conclusions, 245

Part 4: Sectoral Experience, 249

13 Policy Environmental Assessment, 251John Bailey & Jennifer E. Dixon13.1 Introduction, 25113.2 Policy environmental assessment: terms,

concepts and principles, 25313.3 The emergence of policy environmental

assessment, 25413.4 Policy environmental assessment:

procedures, 25813.5 Policy environmental assessment:

methods, 26313.6 Conclusions, 269

14 Environmental Impact Assessment ofLand-use Plans: Experience under theNational Environmental Policy Act andthe California Environmental QualityAct, 273Ronald Bass & Albert Herson14.1 Introduction, 27314.2 National Environmental Policy Act and

Federal land-use planning, 27314.3 Procedures and typical methodologies, 27514.4 Environmental impact assessment of plans

at the state level, 28214.5 Conclusions, 298

15 Environmental Impact Assessment andWaste Management, 300Gev Eduljee15.1 Introduction, 30015.2 Waste management options and impacts,

30115.3 Strategic waste management, 30315.4 Scoping of impacts, 30615.5 Site selection, 30915.6 Baseline assessment, 31215.7 Impact prediction and evaluation, 315

viii Contents

15.8 Mitigation, 31715.9 Environmental impact assessment and

pollution control, 31815.10 Operation and postclosure, 32115.11 Conclusions and future developments,

322

16 Environmental Impact Assessment ofRoad and Rail Infrastructure, 331Ann Dom16.1 Introduction, 33116.2 Impacts of road and rail infrastructure and

use, 33116.3 Effects and limitations of project

environmental impact assessment, 33416.4 Strategic environmental assessment of

transport infrastructure plans, 33616.5 Impact prediction methods and tools, 33916.6 Evaluation techniques, 34216.7 Multimodal comparisons, 34216.8 Mitigation and compensation measures,

34416.9 Public participation, 34516.10 Institutional and political barriers, 34616.11 The necessity of sustainable transport

frameworks and targets, 34616.12 Conclusions, 347

17 Environmental Impact Assessment forEnergy Projects, 351Thomas Russo17.1 Introduction, 35117.2 Types of energy projects, 35217.3 Characteristics of energy projects, 35517.4 Uncommon issues, 35717.5 Examples of good practice, 36917.6 Conclusions, 373

18 Environmental Impact Assessment forMining Projects, 377Alex Weaver & Paula Caldwell18.1 Introduction, 37718.2 Life cycle and methods of mining, 37918.3 Scoping, 38918.4 Baseline surveys, 39018.5 Evaluation of alternatives and site

selection, 39418.6 Prediction and evaluation of impacts, 39418.7 Mitigation of impact, 39618.8 Monitoring and auditing, 39918.9 Value of environmental impact

assessment for mining projects, 39918.10 Conclusions, 402

19 Environmental Impact Assessment forWater Projects, 404Andrew Brookes19.1 Introduction, 40419.2 Types of projects, 40419.3 Scoping of water projects, 40619.4 Baseline studies, 41219.5 Alternatives, 41419.6 Impact prediction, 41719.7 Public participation in water project

environmental impact assessment, 42019.8 Monitoring and post-project appraisal, 42019.9 Sustainable water resource management,

42319.10 Conclusions, 426

Index, 431

List of Contributors

BRIAN D. CLARK Department of Geography, University of Aberdeen, Elphinstone Road, Old Aberdeen, Aberdeen, AB24 3UF, UKgeo368@abdn.ac.uk

RAY CLARK Executive Office of the President,Council on Environmental Quality, 722 JacksonPlace, N.W., Washington DC., 20350 USACLARK-R@a1.eop.gov

JENNIFER E. DIXON School of Resource andEnvironmental Planning, Massey University, PB11222, Palmerston North, New ZealandJ.E.Dixon@massey.ac.nz

AN N DOM Analysis and IntegratedAssessment Programme, Transport andEnvironment, European Environment Agency,Kongens Nytorv 6, DK-1050 Copenhagenk,Denmark ann.dom@eea.eu.int

GEV EDULJEE ERM, Eaton House, WallbrookCourt, North Hinksey Lane, Oxford, OX2 0QS,UK ghe@ermuk.com

KARL FULLER Institute of EnvironmentalAssessment, Welton House, Limekiln Way,Lincoln, Lincolnshire, LN2 4US, UKieauk@dial.pipex.com

ALBERT HERSON Jones and StokesAssociates, 2600 V Street, Sacramento,California, 95818, USA

JOHN BAILEY School of EnvironmentalScience, Murdoch University, Perth, WA 6150,Australia bailey@essun1.murdoch.edu.au

RONALD BASS Jones and Stokes Associates,78 6th Street, Ashland, Oregon 97520, USArtbass@mind.net

ALAN J. BOND EIA Unit, Institute ofBiological Sciences, University of WalesAberystwyth, Aberystwyth, Ceredigion, SY23 3DD, UKalan.bond@aber.ac.uk

CLIVE BRIFFETT School of Building and RealEstate, Faculty of Architecture, Building and RealEstate, National University of Singapore. 10 KentRidge Crescent, Singapore, 119260bembriff@nus.edu.sg / 94198911@brookes.ac.uk

ELIZABETH BRITO Rua Marques, de SaoVicente 124, bl 3, ap. 707, Rio de Janeiro, Brazil,CEP, 22451-040 enbrito@ibm.net

ANDREW BROOKES National Centre forRisk Analysis and Options Appraisal,Environment Agency, 11 Tothill St, London,SW1H 5NF, UKandrew.brookes@environment-agency.gov.uk

PAULA CALDWELL Environment Canada,351 St Joesph Blvd., 17th Floor, EAB, Hull PQ,KIA 0H3, Canada paula.caldwell@EC.GC.CA

ix

JOHN O. KAKONGE United NationsDevelopment Programme, PO Box 301, Maseru100, Lesotho, Southern Africajohn.o.kakonge@undp.org

WILLIAM V. KENNEDY European Bank forReconstruction and Development, One ExchangeSquare, London, EC2A 2JN, UKKennedy@ebrd.com

JUDITH PETTS Centre for EnvironmentalResearch and Training, The University ofBirmingham, Edgbaston, Birmingham, B15 2TT,UK j.i.petts@bham.ac.uk

DEBRA RICHARDS EnvironmentalConsulting, 3726 Connecticut Avenue, NW,Washington, DC, 20008, USADebi_Richards@tst.tracor.com

THOMAS RUSSO Federal Energy RegulatoryCommission, 888 First Street, NE, Washington,DC 20426, USA trusso@yahoo.com

URSZULA A. RZESZOT Institute forEnvironmental Protection, ul. Krucza 5/11, EIADivision, 00-548 Warszawa, Polandiosrzesz@plearn.edu.pl

WIEK SCHRAGE Environment and HumanSettlements Division (Office 405), UNECE, Palaisdes Nations, CH-1211 Geneva 10, Switzerlandwiecher.schrage@unece.org

IARA VEROCAI Rua Cicero de Gois Monteiro,20 ap 402, Rio de Janeiro, Brazil, CEP, 22471-240verocai@ibm.net

PETER WATHERN EIA Unit, Institute ofBiological Sciences, University of WalesAberystwyth, Aberystwyth, Ceredigion, SY23 3DA, UK veg@aber.ac.uk

ALEX WEAVER Division of Water,Environment and Forestry Technology, CSIR, POBox 320, Stellenbosch, 7599 South Africaaweaver@csir.co.za

CHRISTOPHER WOOD EIA Centre,Department of Planning and Landscape,University of Manchester, Manchester, M13 9PL,UK chris.wood@man.ac.uk

x List of Contributors

The Handbook of Environmental Impact Assess-ment has been constructed to provide a trulyinternational perspective of the status of environ-mental impact assessment (EIA), an up-to-date and critical reference (see Preface to Volume 1).The first volume explored the principles, processand methods of EIA.

This second volume complements and extendsthe discussion through a focus on the effective-ness of the translation of principles into practice.The volume considers effectiveness at threelevels: international, national and the micro- or process-specific level. Part 1 provides a framework for the volume through a con-sideration of what makes an effective EIA sys-tem and the primary requirements for ensuring effectiveness capacity-building and qualityreview. Part 2 explores the transnational dimen-sions of EIA, including the Espoo Convention and the work of the multilateral financial institu-tions. Part 3 explores the pressures for the adop-tion of EIA and the resulting established systemsin Eastern Europe, East Asia, Africa, Central andSouth America, North America and the EuropeanUnion. This international review highlights theadaptive and flexible heart of EIA; however, italso raises questions about the political com-mitment to EIA, not least in some developingeconomies who face other non-environmentalpriorities. The final Part concludes, with parthow-to-do guidance and part discussion ofrequired developments, with chapters on policyassessment, plan assessment and sectoral pro-jects energy, waste, transport, mining and waterresources. The latter were selected as globally relevant development sectors which each raise

fundamental questions of need and social equityas well as presenting outstanding assessmentproblems in terms of variable spatial and temporal impacts with a huge complexity of indirect and cumulative effects.

I agreed to take on the project to produce thisHandbook because I believe that we mustexamine and evaluate real systems and practicemore closely if we are to identify the actual barriers to, and the realistic opportunities for, theoptimization of our decision-making tools. It isclear from the discussions in this volume that keyintegrative opportunities are still being wasted,not least in relation to: the definition of the envi-ronment; the relationship between policies, plansand projects; integration of different decisionapproaches and methods; and the merging of pre-development with post-development decisions.

This volume completes the Handbook. It ishoped that it will assist legislators, decisionmakers, economists, developers, industrial man-agers and consultants in an understanding of thebarriers to, and outstanding potential for, EIA as a framework for environmentally sustainabledecisions. At times the task to produce such asinternational perspective on EIA has seemeddaunting (even foolish). It has only been possiblebecause of the support I have received from all ofthe authors, my editorial advisers, my publishersand my office. I reiterate my sincere thanks,expressed in Volume 1, to them all. I also reiteratemy request for readers comments, so that anyfurther editions can be enhanced.

Judith PettsThe University of Birmingham

xi

Preface

This second volume concentrates on environ-mental impact assessment (EIA) in practice andthis first Part introduces the key question is EIAperforming well and how do we judge its effec-tiveness? Chapter 1, as the introduction to thevolume, questions whether EIA has fulfilled itspotential or represents a wasted opportunity. Anyreview of effectiveness must be focused positivelyon problem solving rather than negatively onfinding fault if quality control is to be improved.Therefore, Chapter 2 provides a set of effective-ness evaluation criteria relating to the legal basis, structure and procedures of EIA systems. Chapter2 tests the performance of eight of the most well-developed EIA systems against these criteriaand finds that none score full marks. Severalgeneric problem-solving measures are identifiedrelating to scope, report quality, the integra-tion of EIA into decision making, follow-up, public participation and strategic environmental assessment.

The following two chapters focus on thegeneric structural components which provide themost significant bases for ensuring effective-ness of implementation. Firstly, the building ofthe capacity of individuals and organizations toperform functions effectively, efficiently and sus-tainably, not least through training and network-ing (Chapter 3). Secondly, a consideration of themethods which are, and should be, employed to ensure that quality in EIA is actually delivered(Chapter 4). The formal review of the EIA reportforms the most common quality control measurebeing adopted in different countries and thechapter provides details of specific review pack-ages. However, key questions must also be raisednot only about the continuing need for processreview of the big-picture type conducted inChapter 2, but also about the formal and detailedmicro or process-specific review.

Part 1Quality and Effectiveness

1