Beruflich Dokumente
Kultur Dokumente
A Directory
of Impact
Assessment
Guidelines
Annie Donelly
Barry Dalal-Clayton
Ross Hughes
International Institute for
Environment and Development
Second edition
September 1998
Compiled by
Annie Donnelly
Barry Dalal-Clayton
Ross Hughes
Funded by
ISBN: 1 899825 11 8
Copyright 1998, International Institute for Environment and Development
ACKNOWLEDGEMENTS
Acknowledgements
We would like to thank those agencies listed at the inaccessible. Also to the EIA Centre in Manchester
front of this Directory who provided financial and the IUCN Law Library in Bonn who provided
assistance for the project. database searches from their collections of impact
assessment literature.
Our grateful thanks are especially due to the several
hundred individuals, too numerous to list here, in A number of individuals deserve mention for their
government departments, agencies, NGO’s and contributions to this edition: Bryan Spooner
elsewhere all over the world, who responded so (consultant) for researching and writing Chapter 2:
generously to our requests for information about Review of the Quality of EIA Guidelines; and Barry
guidelines, and often donated copies for abstracting. Sadler (Institute of Environmental Assessment) for
We are particularly grateful to those agencies who co-authoring Chapter 4: Strategic Environmental
provided detailed advice and guidance about the Assessment. We would also like to thank Peter Croal
selection of literature for their countries. The (Canadian International Development Agency), and
literature search would have been an impossible task David Howlett (University of Bradford), for
without the assistance of all these people. Marita reviewing Chapters 2 and 3 respectively.
Gonzalez Tossi, Sergio Mazzuchelli and colleagues
at IIED America Latina in Argentina compiled and Acknowledgements and thanks go to Paul Scott,
wrote the abstracts for the Latin America section, Clive George and Chris Wood of the EIA Centre in
and they too acknowledge that their work would Manchester for compiling the country status
not have been possible without the assistance of reports, with inputs from Ralph Mulders
many individuals and agencies in the Latin America (consultant), the Commission for EIA in the
region. Netherlands, and the Netherlands Development
Assistance. We would also like to thank all those
We would particularly like to thank the UK who reviewed these reports.
Department for International Development, the
Netherlands Development Assistance of the Ministry Finally, our thanks to all our colleagues at IIED,
of Foreign Affairs, the World Conservation Union especially Claudia Sambo who developed the
and the International Association for Impact database for Part II and manages the guidelines
Assessment who, through requests to their in- collection, and the other staff in IIED’s Resource
country offices and their members, were able to Centre who have assisted with this. Also Alastair
secure information about and copies of many Stewart, Dilys Roe, Laura Greenwood, Tom Fox,
documents - often unpublished and otherwise Maryanne Grieg-Gran, and Stephanie Bramwell.
1
Part
PART ONE
Preface
Chapter 1:
Introduction to Impact Assessment and Guidelines
Chapter 2:
Review of the Quality of EIA Guidelines,
Their Use and Circumnavigation
Chapter 3:
Environmental Impact Assessment and Stakeholder Involvement
Chapter 4:
Strategic Environment Assessment: A Rapidly Evolving Approach
CONTENTS Contents
PART I
Preface.................................................................................................................................3
Chapter 1:
Introduction to Impact Assessment and Guidelines...........................................................7
Chapter 2:
Review of the Quality of EIA Guidelines, Their Use and Circumnavigation....................15
Chapter 3:
Environmental Impact Assessment and Stakeholder Involvement..................................21
Chapter 4:
Strategic Environmental Assessment: A Rapidly Evolving Approach...............................31
Guidelines i
Malawi.......................................................59 Malaysia...................................................83
Mali.........................................................60 Mongolia...................................................84
Mauritius...................................................60 Myanmar....................................................84
Morocco...................................................60 Nepal.........................................................84
Mozambique..............................................60 Oman........................................................87
Namibia.....................................................61 Pakistan.....................................................87
Niger..........................................................61 Papua New Guinea....................................89
Nigeria.......................................................61 Philippines..................................................89
Senegal......................................................62 Qatar.........................................................90
Seychelles..................................................62 Saudi Arabia..............................................90
Sierra Leone...............................................63 Singapore...................................................90
Somalia......................................................63 Solomon Islands..........................................91
South Africa...............................................63 Sri Lanka.....................................................91
Sudan........................................................65 Surinam.....................................................93
Swaziland..................................................65 Syria...........................................................93
Tanzania.....................................................66 Taiwan.......................................................93
Tunisia.......................................................66 Thailand.....................................................94
Uganda......................................................67 Tonga.........................................................95
Zambia......................................................67 Turkmenistan.............................................95
Zimbabwe..................................................68 Uzbekistan.................................................95
Vanuatu.....................................................95
Asia / Pacific / Middle East Vietnam.....................................................95
Regional.....................................................69 Yemen.......................................................96
Bahrain......................................................71
Bangladesh..............................................71 Australasia
Bhutan.......................................................72 Australia...................................................98
Cambodia..................................................73 New Zealand............................................100
China.........................................................73
Fiji..............................................................73 Caribbean/West Indies
Haiti...........................................................73 Regional...................................................102
Hong Kong................................................73 Bahamas..................................................102
India..........................................................74 Barbados..................................................103
Indonesia...................................................78 Jamaica....................................................103
Israel..........................................................81 St Kitts and Nevis.....................................103
Japan.........................................................81 St Vincent and the Grenadines.................103
Jordan......................................................81 Trinidad and Tobago.................................103
Kazakhstan................................................81
Korea.........................................................82 Europe
Kuwait.......................................................82 Regional..................................................104
Krygystan..................................................82 Armenia...................................................105
Lao PDR.....................................................82 Austria.....................................................105
ii Guidelines
Belarus.....................................................105 Spain.......................................................124
Belgium...................................................106 Sweden...................................................125
Bulgaria...................................................106 Switzerland..............................................127
Croatia.....................................................107 Ukraine....................................................127
Cyprus.....................................................107 United Kingdom......................................128
Czech Republic........................................107
Denmark..................................................108 Latin America
Estonia.....................................................109 Regional..................................................134
Finland.....................................................110 Argentina................................................135
France......................................................110 Belize.......................................................137
Georgia....................................................112 Bolivia......................................................138
Germany..................................................112 Brazil.......................................................139
Greece.....................................................115 Chile........................................................140
Hungary...................................................115 Colombia.................................................140
Iceland.....................................................115 Costa Rica...............................................143
Ireland.....................................................116 Ecuador....................................................144
Italy..........................................................116 Guatemala...............................................145
Latvia......................................................117 Honduras.................................................145
Lithuania..................................................117 Mexico....................................................145
Luxembourg.............................................117 Paraguay..................................................146
Macedonia...............................................118 Peru.........................................................147
Malta.......................................................118 Uruguay...................................................149
Moldova..................................................118 Venezuela................................................149
Netherlands.............................................118
Norway....................................................120 North America
Poland.....................................................121 Regional..................................................151
Portugal...................................................121 Canada....................................................151
Romania..................................................121 United States...........................................154
Russian Federation...................................122
Serbia......................................................122 Polar Regions
Slovak Republic........................................123 Antarctica................................................161
Slovenia...................................................124 Arctic.......................................................161
Agency Guidelines
Guidelines iii
Development Bank of South Africa..............................................................................169
European Bank for Reconstruction and Development (EBRD)................................................170
Inter-American Development Bank (IADB).............................................................................171
World Bank..........................................................................................................................171
Inter-Governmental Organisations
Commonwealth Development Corporation (CDC)...............................................................199
Commonwealth Secretariat..................................................................................................199
European Community (EC)..................................................................................................199
Group of Experts on The Scientific Aspects of Marine Environmental Protection (GESAMP)...201
iv Guidelines
International Atomic Energy Agency (IAEA)..........................................................................202
International Tropical Timber Organization (ITTO)..................................................................202
North Atlantic Treaty Organisation (NATO)............................................................................202
Organisation for Economic Cooperation and Development (OECD).......................................202
Organisation of American States (OAS).................................................................................203
Organisation of Eastern Caribbean States (OECS)..................................................................204
Overseas Economic Development Fund (OECF).....................................................................204
South Pacific Regional Environment Programme (SPREP).......................................................205
The World Conservation Union (IUCN).................................................................................206
Guidelines v
PREFACE Preface
The purpose and scope particularly for developing countries. Secondly, poor
awareness of existing literature sources amongst
of this directory ‘development professionals’ has led to the duplication
The Directory of Impact Assessment Guidelines aims of work, resulting in the wastage of scarce human
to improve awareness of, and access to, existing and financial resources.
impact assessment guidelines. It is directed at
planners, decision-makers, practitioners and Part I comprises four chapters. The first is an updated
institutions with a mandate or professional interest in general introduction to impact assessment and
promoting, advising or managing impact assessment. guidelines. The other three are new for this edition
It updates and expands the first edition published in and address areas of particular interest and current
1995, and contains over 800 bibliographic references debate: the quality of EIA guidelines, their use and
and abstracts for more than 90 countries and 45 circumnavigation; stakeholder involvement in the EIA
international development agencies. An important process; and strategic environmental assessment. Part
addition to this edition is the inclusion of country II contains the citations and abstracts of the
status reports, which summarise the legislative and Guidelines themselves, and the country status reports,
administrative context within which the guidelines organised by country and by agency. The Matrix at
operate. These are included for all countries where the beginning of Part II provides a guide to sectoral
we have been able to find information (within the guidelines cited in the Country and Agency sections,
resource constraints of this project) and bring the and indicates where these can be found.
total number of countries included in the Directory
to over 140.
As interest in impact assessment has grown, so the Impact assessment and guidelines
volume of impact assessment guidelines has increased In this Directory, ‘impact assessment’ is used as an
dramatically to assist decision- and policy-makers, umbrella term for a range of techniques including:
planners and impact assessment practitioners. Most
OECD countries, and a growing number of • environmental impact assessment (EIA)
developing countries, have prepared guidelines for the • cumulative effects assessment
impact assessment of projects. In addition, as impact • environmental health impact assessment (EHIA)
assessment processes have evolved and become • risk assessment
increasingly complex, the number of agencies • social impact assessment (SIA)
involved in impact assessment within countries has • strategic environmental assessment (SEA)
increased, with many of these producing their own
guidelines. Almost all bilateral, multilateral and There is a great deal of guidance material designed to
United Nations agencies have also prepared internal assist with environmental management in general -
guidelines. such as pollution control guidelines, and those for
environmental auditing and the use of environmental
The overwhelming majority of these documents are in management systems. Only those documents that
forms that are not necessarily available to people contain guidance specific to the assessment of
involved in impact assessment, particularly those in impacts have been included in this Directory. Whilst
developing countries where considerable efforts are the distinction has been a necessary one, it has often
being made to promote EIA. This presents two resulted in difficult and somewhat artificial choices
problems. Firstly, and most importantly, decision- being made.
makers, planners and practitioners in need of
guidance may either be unaware of the existence of Three functionally different categories of guidelines
such literature, or cannot gain access to it. This may are recognised in this Directory:
pose a barrier to effective impact assessment,
Guidelines 3
a. National guidelines In carrying out the search for the guidelines, we
National guidelines provide information on sought to contact the relevant officers of national
implementing national impact assessment (usually EIA) government agencies, and other organisations known
frameworks. In effect, they provide information on the to have an interest in promoting improved
basic questions of “... who does what, to whom, how environmental management practices. This process
and when?” (Bisset, 1995). Such guidelines was supplemented by:
complement and supplement the “bare” legal • database searches - in some cases commissioned
requirements and provide guidance on the initiation of from organisations with extensive collections of
development activities, their design and appraisal, environmental management information
authorisation and subsequent implementation and • internet searches
management. They are designed to ensure that all • appeals for information using email, website
participants in an impact assessment system notices and listserver mechanisms
understand their roles, and that laws or regulations are • information in journals and other impact
interpreted correctly and consistently. assessment literature
4 Guidelines
How to Find Guidelines in the Directory
• Use the Contents pages to find National and Agency guidelines
• Use the Matrix at the beginning of Part II to find Sectoral guidelines
Subject to copyright restrictions, copies of guidelines may also be obtained through the Information Service
operated by IIED’s Resource Centre (see below).
Part II of the Directory is available as a searchable database on diskette, which can be purchased from the
Resource Centre. We also intend to include this database on the IIED Website in due course.
Resource Centre
IIED, 3 Endsleigh Street
London WC1H 0DD
United Kingdom
Tel: +44 171 388 2117
Fax: +44 171 388 2826
Email: resource.centre@iied.org
As well as IA Guidelines, the Resource Centre collection includes three other categories of documents:
• National conservation strategies, environmental strategies, environmental profiles and action plans,
sustainable development strategies and related documents, as listed in the Interaise World Directories
of Country Environmental Studies (1990,1993 &1996)
• Participatory Learning & Action (PLA) (also available as a database on diskette)
• Community Wildlife Management (CWM)
PLA and CWM collections can now be searched on-line at the Resource Centre website:
http://www.iied.org/resource
Guidelines 5
Chapter 1
Introduction to Impact
Assessment and Guidelines
This chapter provides a general background to impact focused on the science and technical aspects of EIA,
assessment at the project level and is intended as a it was also clear that other factors, such as resource
guide for readers who are new to impact assessment. availability and political will, were constraining EIA
For ‘cutting edge’ reviews on impact assessment, effectiveness. For example, Smith (1993) notes that:
there are various excellent recent texts, such as Sadler
(1995); Vanclay and Bronstein (1997), Canter and “Improving the science of environmental
Sadler (1997) and Wood (1995). analysis per se does nothing to reform the
political processes of resource management that
govern how the information is utilised. An
alternative response is warranted: one that
The changing role of necessitates redefining the role of impact
assessment.”
Impact Assessment
All development intrinsically involves ‘trade-offs’ Smith’s proposed redefinition of the role of impact
between potentially conflicting goals, such as assessment was based on the premises that it should
between fisheries and agricultural production, or integrate the “science of environmental analysis with
economic growth and conservation. The challenge is the politics of resource management”, and pay
to optimise these trade-offs between and across the greater attention to the institutional arrangements for
three systems basic to development - the ecological decision-making central to the role played by impact
system, the economic system and the social system assessment in resource management.
(Barbier, 1987; Holmberg et al, 1991). Impact
assessment is one of several tools that can be used to There was also a realisation that, to be effective,
improve the way in which trade-offs are made. The environmental assessment needed to be more
faith that the world community now places in impact proactive and address the plans, programmes and
assessment is reflected in its widespread inclusion in policies which defined individual projects. Strategic
national and international legislation and environmental assessment has developed from this
declarations, and in donor policy and practice. realisation (see Chapter 4). However, one of the
Principle 17 of the Rio Declaration on Environment problems of strategic environmental assessment is
and Development, agreed at the 1992 United Nations that it raises fundamental questions of governance
Conference on Environment and Development, states: regarding the formulation and implementation of
policy and, perhaps for this reason, its adoption
“Environmental impact assessment, as a (even amongst developed countries) has been patchy
national instrument, shall be undertaken for and slow.
proposed activities that are likely to have a
significant adverse impact on the environment Clearly then, new challenges still face impact
and are subject to a decision of a competent assessment, and particularly in countries where
national authority”. governance, ineffective institutional frameworks and
shortages of financial and human resources, may
Impact assessment has evolved considerably since its render conventional approaches to impact assessment
introduction as environmental impact assessment inappropriate.
(EIA) in the USA in 1969. Yet by the end of the
1970s, it was clear that more attention was required
What is impact assessment?
on the effectiveness, efficacy and relevance of impact
Impact assessment is a process to improve
assessment. This attention resulted, in the 1980s, in
decision-making and to ensure that the development
the emergence of several new ‘offshoot’ techniques
options under consideration are environmentally and
such as social and cumulative impact assessment ,
socially sound and sustainable. It is concerned with
risk analysis, and more recently still, biodiversity
identifying, predicting and evaluating the foreseeable
impact assessment. Whilst these developments
impacts, both beneficial and adverse, of public and
Introduction 7
private (development) activities, alternatives and resources are managed before, during and after the
mitigating measures, and aims to eliminate or implementation of a project.
minimise negative impacts and optimise positive
impacts. Impact assessment now includes a broad Who prepares the impact assessment
suite of different techniques, including environmental
statement?
impact assessment (EIA), social impact assessment
Stakeholder involvement in impact assessment is
(SIA), cumulative effects assessment (CEA),
dealt with in further detail in Chapter 3. In terms of
environmental health impact assessment (EHIA), risk
preparation of the Impact assessment statement,
assessment, strategic environmental assessment (SEA)
responsibility usually rests with the project
and biodiversity impact assessment (BIA).
proponent. Often, impact statements are prepared
with the help of external consultants or institutions.
Impact assessment relates to a process rather than a
In some cases, an independent commission is
particular activity. At the project level, it should be
responsible for ensuring quality control throughout
seen as an integral part of the project cycle. It
the implementation of the impact assessment, for
provides information on the environmental, social
setting appropriate terms of reference and/or for the
and economic effects of proposed activities and is a
external review of the impact statement (IS). In most
mechanism by which information can be presented
cases, an impact assessment will require a
clearly and systematically to decision-makers. To
multidisciplinary team, particularly where scoping
achieve these objectives, impact assessment needs to
exercises indicate the existence of multiple or
be process-oriented, multi-disciplinary and interactive
complex issues. Each impact assessment team is
and should result in a better understanding of the
usually coordinated by a team manager.
linkages between ecological, social, economic and
political systems. Increasingly, impact assessment is
The agency responsible for receiving the impact
being viewed as a key mechanism for involving
assessment, and taking any subsequent action, will
different stakeholder groups in the development
usually indicate how the study is to be carried out
process (see Chapter 3).
and how the results should be used in the
decision-making process. The institutional structures
Why is impact assessment important? and agencies responsible for the management and
Impact assessment is an important management tool implementation of impact assessment vary amongst
for improving the long-term viability of many countries, reflecting different political, economic and
projects, and its use can help to avoid mistakes that social priorities. Mostly they include local
can be expensive and damaging in environmental, government agencies, NGOs, research institutions
social, and/or economic terms. Usually, the cost of and affected groups, feeding into a specialist
undertaking an impact assessment process accounts environmental unit within the implementing agency.
for only a small proportion of total project costs -
often less than 1% of overall project costs. Table 1
When should the impact assessment be
shows the costs of EIA represented as a proportion of
total project costs in four projects funded by the undertaken?
World Bank. The impact assessment needs to be managed so that it
provides information to decision-makers at every
Proponents of impact assessment argue that, in many stage of the project planning cycle (see Figure 1). It
cases, impact assessment can bring substantial savings should be initiated as early as possible and should
to the project, because it provides an opportunity to also include a provision to cover the monitoring of
learn from experience and thus help to avoid costly project implementation and operation, and eventually
mistakes and accidents. Impact assessment, it is an audit of the project. In some cases, it will also be
argued, can also help improve the way in which important to include project decommissioning within
the impact assessment.
Table 1: Costs of EIA as a proportion of total project costs for large-scale development projects in Africa
( source: Mercier, 1995)
Type of project Cost of EIA (000, US$) Project cost (000, US$) % of total project costs
8 Introduction
Figure 1: Impact assessment and the project cycle
STEP 6
impact evaluation, prediction
and significance, mitigation STEP 7
identification, etc.
STEPS 1 to 5 review process
site selection,
registration,
screening,
Detailed design
scoping, prepare
& mitigation
TOR, organise
measures
study Pre-feasibility Feasibility
evaluation
STEP 9
monitoring and auditing,
lessons for future projects
Introduction 9
• projects which involve a substantial change in Scoping
farming or fisheries practice; Scoping is a crucial part of the impact assessment
• water resource projects, including dams, irrigation, process and involves the identification and
watershed development; ‘narrowing-down’ of potential environmental impacts
• infrastructure projects; to ensure that the assessment focuses on the key issues
• industrial projects; for decision-making. It also offers a crucial
• extractive industries; and opportunity to involve local people in determining the
• waste management and disposal. scope and focus of the impact assessment. In most
circumstances, scoping is undertaken by the assessment
The assessment of alternatives team, but inherent problems have been noted with this
Assessing different project alternatives is a much- approach since the study team might be influenced by
neglected, yet vital component of the EIA process. preference, knowledge and biases. Some guidelines
Different project alternatives have varying have attempted to address this through introducing a
characteristics, but they can usually be placed into more structured and objective approach to the scoping
one, or a combination, of the categories listed below: process, but it is clear that problems can still remain.
For example, the scoping process can provide an
• demand alternatives (e.g. using energy more opportunity for vested interests to influence the extent
efficiently rather than building more generating and focus of subsequent stages of the impact
capacity); assessment procedure. In some countries, such as the
• activity alternatives (e.g. providing public Netherlands, it is mandatory to involve an independent
transport rather than increasing road capacity); EIA commission in the process.
• locational alternatives, either for the entire
proposal or for components (e.g. different routing One of the principal functions of scoping is to guide
options for a road or power transmission line; the development of appropriate terms of reference for
alternative locations for an industrial site); the EIA process. It also provides a key opportunity to
• process and design alternatives (e.g., use of waste- engage with different stakeholders interests (see
minimising or energy efficient technology, use of Chapter 3) to ensure their early involvement in the
different irrigation scheme designs); EIA process as a whole, and to make sure that
• scheduling alternatives (e.g. careful timing of different stakeholder needs and interests are addressed
water discharges); throughout the rest of the process. The scoping
• input alternatives (e.g. alternative fuel types for exercise normally indicates detailed information needs
power generation; use of pulp from recycled and can also be used to review alternative options for
sources, rather than from virgin fibre); and project design and siting. Baseline studies can be
• the ‘no project’ alternative - i.e. what would undertaken to determine the characteristics of the
happen if the project wasn’t implemented at all. environment and to provide guidelines against which
the severity of predicted impacts may be assessed.
Preliminary assessment
If the screening process suggests that further The environmental impact assessment
assessment is required, or if there is uncertainty about study
the nature of potential environmental impacts, the Each study should ensure that it attempts to answer
next stage is for the proponent to undertake a such questions as :
preliminary assessment. This may employ rapid
assessment techniques but should be detailed enough • what impacts will occur as a result of the project?
to: • what will be the extent, magnitude and duration of
the impacts ?
• identify key impacts on the local environment; • what will be the significance of these impacts within
• describe the magnitude and significance of the local, national and international contexts?
impacts; and • what can be done to mitigate, reduce or avoid
• evaluate the importance of the impacts for decision altogether the adverse impacts, or optimise positive
makers. impacts ?
Often a preliminary assessment will require the The following steps are undertaken as components of
proponent to undertake a number of components of most impact assessment procedures:
the impact assessment process (see below) at a
superficial level. If the screening process or the Identification
preliminary assessment indicates that an impact Screening, preliminary assessment and scoping all go
assessment is required, the first task of the study team some way to addressing the first question - what
should be to scope the impact assessment. impacts will occur as a result of the project ? Once
10 Introduction
Figure 2: Stages in The EIA Process (after UNEP, 1996)
Introduction 11
these steps are completed, the key impacts should they tend to rely on the availability of good scientific
have been identified, and the study focused on the data. More tangible considerations might include:
most important issues. The EIA can then proceed to
identify those impacts that should be investigated in • existing legislation, regulations or accepted
detail. A variety of methods may be used including standards;
checklists, questionnaires, matrices, overlays, • protected status of particular areas or ecosystems,
networks, models and simulations. One of the most landscapes, and species;
simple methods is to compile a list of key impacts • government policy objectives; and
that were identified in the impact assessments of • acceptability to potentially affected people and the
other similar projects and compare them to the general public.
proposed project.
There are numerous examples of guidelines and
Examination of alternatives standards throughout this directory which may
Consideration should include not only alternative provide a useful basis for countries where standards
sites for the project, where practicable, but also have not yet been developed. In the absence of the use
alternative designs and operating processes, and the of standards, the EIA study team will need to define
environmental implications of each. Even if the criteria based on professional expertise and
alternatives are rejected at this stage, they may be experience.
reconsidered should unexpected adverse impacts be
identified under the original proposal. Mitigation
If the evaluation process concludes that the impacts
Prediction are significant, the next stage of the EIA study is to
Predicting the extent and magnitude of the impacts is propose measures to prevent, reduce or rectify the
perhaps the most difficult part of the study. impact(s). Such measures should be identified or
Prediction attempts to determine the cause and effect negotiated as early as possible in the project cycle
of the impacts, although often these are not process, so that mitigation activities can be built into
well-understood. Prediction relies on data and project design. If none of these measures are
analysis from a variety of sources - physical, appropriate, then a fourth option is to provide
biological and sociological. The quality and compensation. These measures are ideally drawn
availability of data often imposes an important together into a coherent ‘environmental management
constraint on the accuracy and reliability of plan’ which itself should be costed into the economic
predictions. In many cases, good quality data are analysis of a particular project. Mitigation measures
simply not available. In such cases, other more can include the following:
qualitative techniques will need to be used. In some
situations, it may not be possible to establish • selection of alternative sites, processes, designs,
cause-and-effect relationships; and in others, raw materials, etc.;
unanticipated factors may also affect the context of • installation of pollution control or waste treatment
the project or the state of the local environment technologies;
during or after implementation. Prediction, therefore, • use of landscaping, architectural restrictions; and
has to recognise (and not conceal) the uncertainties • provision of monetary compensation, restoration,
inherent in the prediction process. In some cases, it is and off-site community programmes.
valuable to undertake a sensitivity analysis by testing
predictions against different future scenarios, Alternative measures can be compared and costed,
including those identified by risk assessment (see and a package proposed combining a number of
below). these. The implications of the different alternatives
should be made clear to assist decision-makers in
their choice of options.
Evaluation of significance
This phase of the EIA process should attempt to
determine the significance of impacts, a task that is
Documentation
often subjective and value-laden. For example, an The conclusions and recommendations of the EIA
impact at a national level might be regarded as process need to be communicated effectively to local
insignificant, but could be highly significant at a local people (particularly those that may be affected by a
level. The context of the evaluation must therefore be project), interest groups and decision-makers.
considered at each stage. Various quantitative Conventionally, this is achieved through the
approaches to assessing the significance of impacts compilation of an environmental impact statement
have been developed to assist in quantifying and (EIS), although it is becoming increasingly recognised
rating relative impacts (see Canter 1995). However, that it might be more appropriate to supplement the
EIS with alternative communication methods, such as
12 Introduction
local language video, presentations, local radio project design and implementation procedures.
programmes, meetings and workshops. Each of these Auditing also provides regulatory agencies with a
have particular importance in areas where literacy, framework for checking compliance with, and the
social or cultural barriers prevent local people performance of, an environmental management plan.
accessing the EIS. The EIS should be a key element of In most instances, the auditing process will depend
the decision-making process and the summary of the heavily on the existence of relevant and good quality
EIS should therefore focus on issues most relevant to monitoring data.
decision-making. The presentation of the statement is
of utmost importance and should be shaped for the
target audience. For example, summaries should be
prepared in local languages where these differ from Other Impact Assessment
that used in the main statement. It is vital to
remember that the EIS does not constitute the end of
approaches
the impact assessment process. Implementation of The authors of this volume believe that holistic
mitigation activities must still continue as should approaches to impact assessment are required. This
activities such as monitoring, evaluation and implies that less emphasis should be placed on
auditing. developing discipline-oriented approaches to impact
assessment, and more on ensuring that different
Review disciplines (such as the consideration of cumulative
effects, and impacts on human health, ecology and
The purpose of an EIA review process is to assess the
biodiversity resources etc.) are integrated into impact
adequacy of the assessment for decision-making and
assessment in general. Box 1 lists some related
to consider its implications for project
approaches, for which guidelines are included in the
implementation. A formal review procedure for EIA
directory where these exist.
can contribute considerably to the success of the
process. In some countries, such as the Netherlands,
an independent commission provides a review of each Box 1: Examples of impact assessment approaches
impact assessment. The Organisation for Economic
Co-operation and Development (OECD) includes Environmental health impact assessment (EHIA) - provides for
guidance for internal and external review in its ‘good a more comprehensive and rigorous approach, and is used to
identify, predict and appraise those environmental factors
practice guidelines’ (OECD, 1992), and defines the
which might affect human health (see Birley, 1995).
purpose of the (external) review process as “...to
obtain an impartial judgement of the particular, and Social impact assessment (SIA) is an integral component of
often conflicting, interests of various parties involved the Environmental Impact Statement (EIS) required under the
and to avoid unnecessary costs and delays”. US National Environmental Policy Act of 1969. It is used to
Guidelines to assist in the review of the quality of identify and quantify the impacts on human populations re-
EIA, and to provide a framework for coherence and sulting from changes to the natural environment (see Burdge
consistency of review quality, have now been and Vanclay, 1995)
prepared for a number of countries (eg. see Lee and
Colley, 1990). Risk assessment - the emphasis of the technique is on risks to
human health from industrial production, use and disposal of
hazardous chemicals (see Carpenter, 1995).
Monitoring
The purpose of monitoring is to assess the effect of Cumulative effects assessment - this technique is designed to
the project on the natural and cultural environment. assess the combined effects of multiple activities, rather than
To be effective, monitoring needs to collect data and the effects of specific development activities (see CEQ, 1997).
information that is usable, particularly in post-project
Biodiversity impact assessment - this emerging technique is
auditing. Inclusion of a framework for monitoring
based on the belief that ‘EIA is not matching its potential in
can significantly improve the effectiveness of EIA
addressing biodiversity issues (see Bagri, McNeely and Vorhies,
since it can provide a mechanism for ensuring 1998)’.
whether mitigation measures have been carried-out
and whether predictions were accurate. Ecological impact assessment - defined as a ...formal process
of defining, quantifying and evaluating the potential impacts
Post-project audit ... on ecosystems (see Treweek, 1995).
The inclusion of guidelines in most national EIA Technology assessment - defined as the systematic study of
frameworks for post-project (or post-development) the effects on society, that may occur when a technology is
audit is comparatively rare and yet, potentially, it is introduced, extended, or modified, with emphasis on the im-
an extremely useful component of the EIA process. pacts that are unintended, indirect, or delayed (Coates, 1976;
Auditing an EIA provides an opportunity and cited by Porter, 1995).
mechanism to learn from experience, and to refine
Introduction 13
References
Mercier, J.R. (1995). Environmental Assessment and
Bagri, A., McNeely, J. and Vorhies, F. (1998). Review in Sub-Saharan Africa. Post UNCED Series.
Biodiversity and Impact Assessment. Paper prepared Paper No. 7. Africa Technical Department,
for the International Association of Impact Environmentally Sustainable Development Division
Assessment ‘98. (AFTES), The World bank, Washington D.C.
September 1995.
Barbier, E.B. (1987). The Concept of Sustainable
Economic Development. Environmental OECD (1992). Good Practices for Environmental
Conservation. Vol: 14, No. 2; pp 101-110 Impact Assessment of Development Projects. OECD
Development Assistance Committee Guidelines on
Birley, M.H. (1995). The Health Impact Assessment Environment and Aid (1). Organisation for Economic
of Development Projects. HMSO, London. 241pp Cooperation and Development, Paris.
Burdge, R.J. and Vanclay, F. (1995). Social Impact Porter, A.L. (1995). Technology Assessment. In:
Assessment. In: Environmental and Social Impact Environmental and Social Impact Assessment. Edited
Assessment. Edited by: Vanclay, F. and Bronstein, by: Vanclay, F. and Bronstein, D.A. John Wiley and
D.A. John Wiley and Sons, Chichester. 325 pages. Sons, Chichester. 325 pages.
Canter, L and Sadler, B. (1997). A Tool Kit for Sadler, B. (1996). Environmental Assessment in a
Effective EIA Practice - Review of Methods and Changing World: Evaluating Practice to Improve
Perspectives on Their Application. A Supplementary Performance. International Study of the Effectiveness
Report of the International Study of the Effectiveness of Environmental Assessment. Final Report. June
of Environmental Assessment. International 1996. 248 pages.
Association for Impact Assessment. June, 1997.
Treweek, J. Ecological Impact Assessment. In:
Carpenter, R.A. (1995). Risk Assessment. In: Environmental and Social Impact Assessment. Edited
Environmental and Social Impact Assessment. Edited by: Vanclay, F. and Bronstein, D.A. John Wiley and
by: Vanclay, F. and Bronstein, D.A. John Wiley and Sons, Chichester. 325 pages.
Sons, Chichester. 325 pages.
UNEP (1996). Environmental Impact Assessment
Holmberg, J; Bass, S. and Timberlake, L. (1991). Training Resource Manual. Environment and
Defending the Future: A Guide to Sustainable Economics Unit, United Nation Environment
Development. IIED/Earthscan, London. Programme, Nairobi.
CEQ (1997). Considering Cumulative Effects Under Vanclay, F. and Bronstein, D.A. (eds.) (1997).
the National Environmental Policy Act. Council on Environmental and Social Impact Assessment. John
Environmental Quality, Executive Office of the Wiley and Sons, Chichester. 325 pages.
President, Washington D.C. (xii, 64, 2 appendices).
Wood, C. (1995). Environmental Impact Assessment.
Lee, N. and Colley, R. (1992). Reviewing the Quality A Comparative Review. Longman Scientific and
of Environmental Statements. Occasional Paper 24. Technical, New York. 337 pages.
University of Manchester, Manchester, England.
14 Introduction
Chapter 2of EIA Guidelines,
Review of the quality
their use and circumnavigation
by Bryan Spooner
Quality of Guidelines 15
These results raise a number of important questions Box 3: Some common expectations of the purpose of
for policy-makers. Firstly, is the substantial level of guidelines
expenditure in producing guidelines worthwhile,
given the apparent lack of interest in their use? • endowing quality control for legal and procedural
Secondly, do practitioners and process managers who adherence;
fail to use guidelines, or use them only occasionally, • clarifying reporting requirements;
have the competencies required to manage or • establishing benchmarks for minimum standards;
• providing technical guidance;
undertake effective impact assessment anyway; and if
• encouraging transparency in impact assessment practice;
they do, are they sufficiently aware of procedural
• promoting information flows between impact assessment
requirements? ‘stakeholders’;
• improving the formulation of terms of reference;
Perceptions of weaknesses • simplifying decision-making;
Guidelines were criticized during the review for the • filling gaps in existing regulations;
• providing a tool for training;
following reasons:
• improving awareness
16 Quality of Guidelines
during their design and formulation. Perhaps it is not Advocacy of ‘best practice’
surprising therefore that they were frequently There are serious questions over the extent to which
criticized for falling short of expectations. guidelines advocate ‘best practice’. Many appear to
have been drafted by authors with little or no
obvious practical experience of impact assessment
practice, and/or who do not appear to be aware of
Guideline Effectiveness leading edge techniques and approaches. Others
For the purposes of this review, guideline appeared to have been plagiarized from existing
effectiveness is defined as the ‘potential for guidelines guideline literature. Furthermore, guidance on some
to effect positive change in impact assessment of the most crucial issues facing impact assessment
practice’. The review suggests that, as in the case of professionals, such as dealing with confidentiality
utility, guideline effectiveness is constrained by issues clauses and their implications for practice, is often
that are deeply rooted in institutional management inadequate or lacking (Box 4).
and organizational culture. These issues are shaped
by changing commitments to environmental Box 4: Advocacy of best practice
management within the project cycle. Nonetheless,
there appears to be a growing realization that Of the guidelines reviewed:
guidelines have focused too much on technical issues,
• 30% failed to highlight the importance of initiating impact
whilst neglecting the potentially greater challenge of
assessment early in the planning process;
assisting the management of the impact assessment
• only 46% advocated the assessment of alternatives, and
process. As OECD/DAC (1994) pointed-out: 18% made no mention of assessing alternative project op-
tions;
‘.... As now practiced, the challenge of • 43% made no reference to addressing health impacts, and
managing the environmental assessment process only 41% addressed health impacts adequately;
is equally daunting as the technical complexity. • 70% made no reference to the need to make residual im-
Unfortunately, guidelines for those responsible pacts (i.e. those that will remain after mitigation measures
for managing the assessment process lag far have been applied) explicit;
behind the technical directions available to • 43% failed to provide guidance on the formulation of terms
of reference, and;
those who are responsible for undertaking the
• 40% made no reference to the need for environmental
assessment’.
management and monitoring plans.
Quality of Guidelines 17
Fig. 2 Reference to Espoo Convention on guidance set-out in guideline documents. This
Transboundary EIA important issue has yet to be addressed adequately in
the impact assessment literature, nor by debates
2%
7% 7% within the impact assessment ‘industry’, and this
13%
7% represents a significant challenge to the industry
15%
Good which professes notions of transparency and
assuming responsibility.
Adequate
Inadequate For various reasons, many bureaucrats and impact
Not recognised assessment professionals felt reluctant to share their
views on this sensitive issue, or to do so
84%
65% anonymously. Certainly, ineffective implementation
of guidelines is common in impact assessment
practice, at all stages of the process, and amongst a
range of ‘key players’. In some cases,
Guideline Quality circumnavigation appears to occur by default,
The review highlights a number of key deficiencies in perhaps because agencies fail to ‘track’ projects once
the quality of guidelines. As already noted and with funding or approval has been given, or simply
some notable exceptions, guidelines do not seem to through lack of interest or commitment. On donor
be keeping pace with changing ideas on best practice. performance in Tanzania, Mwalyosi and Hughes
There is also a tendency for many guidelines to be (1998) noted:
seen as static documents. Most tend not to be subject
to critical review and revision through regular ‘[Based on a review of 35 EIA processes] ... no
updating. Exceptions include the World Bank’s evidence [was found] that donor-supported EIA
sourcebook update series (World Bank 1991, 1993- processes led to more effective EIA, even
98) and the Manual of Environmental Appraisal though they often harnessed the skills of
prepared by the UK Department for International expensive international consultants, and used
Development (ODA, 1996). Furthermore, there are donor guidelines. This appeared to be because
some notable gaps in the guideline literature (Box 5). donor interest in the process generally
dissipated once the EIS had been prepared and
Box 5: Examples of gaps in the guideline literature internal agency needs had been fulfilled. The
study found no examples where donor agency
There are few guidelines oriented to: interest extended to ensuring that EIA
recommendations were adhered to during
... different EIA stakeholders implementation, post completion or audit
phases of the projects concerned. Hence, not
• for policy-makers and process managers only have expensive EIA processes failed to
• for local staff, untrained in impact assessment make much of a difference, but donor agencies
• for the general public - such as citizens user guides
have failed to learn from their own experience.
... specific contexts
This ‘institutionalized amnesia’ has meant that
desk officers and other in-country agency staff
• conflict and post-conflict contexts - e.g. for reconstruction could generally say little if anything about the
financing, refugee camps and resettlement performance of the EIA processes they had
• transboundary impacts commissioned.’
• small-scale/community projects
• ‘environmental’ projects, often, incorrectly, assumed not to In other cases, circumnavigation is undertaken with
require environmental assessment e.g. establishment of pro- deliberate intent. Box 6 lists the categories of
tected areas, sewage and sanitation projects techniques cited by respondents in the interview
survey.
... specific aspects of environmental assessment
18 Quality of Guidelines
from the outset. The executive summary
Box 6: Circumnavigation techniques cited by respond-
ents
concluded by recommending that the project be
‘...developed as planned’, thus suggesting that
• Editing (or ‘censoring’) of impact statements by there was no need to implement mitigation or
proponents, or their lead consultants; monitoring activities. More subtle techniques
• Manipulating the executive summaries of impact were also used throughout the document. For
statements in such a way that they obscure discussions example, impact issues were referred to as
of negative impacts and highlight positive effects; ‘allegations’, ‘assertions’ or ‘exaggerated
• Formulating terms of reference and managing contracts claims’. In most cases, these were presented as
such that they exclude analysis of sensitive issues, such arguments forwarded by ‘environmentalists’,
as transboundary impacts and cumulative effects, and
rather than by the local people and national
thus limit the degree to which practitioners can employ
best practice;
experts who had actually presented these views.
• Restricting the release of design information and data, This created the impression that environmental
or aggregating data to levels which prevent meaningful and social concerns were driven by hidden
analysis; agendas and were, for (unspecified) reasons,
• Using contractual arrangements to enhance confidenti- ‘anti-development’. The selection of
ality, and prevent critical information reaching planners, photographs in the report included an unusual
decision-makers and the public domain; proportion of ‘degraded’ or ‘denuded’
• Undermining the credibility of practitioners or the mangrove. No photographs were included of
techniques they use; the healthy stands of mangrove which cover
and in extreme cases:
much of the delta, or of people using these
• The use of intimidation.
resources.’
Quality of Guidelines 19
• what should their role be? References
• what should the process of formulating guidelines Brew, D. (1995). A Comparative Analysis of EIA
entail? (e.g. should all key stakeholders be Guidelines Issued by Major Donor Organisations for
involved in their preparation?); Use in Developing Countries. Unpublished MSc
• how can guidelines be tailored to meet the needs of Dissertation, Department of Planning and Landscape,
intended users; University of Manchester.
• how can guidelines be tailored to the highly
specific contexts in which they will be used? Geraghty, P., Brown, A. and Horton, F. (1996). The
Use of Guidance Materials for the Preparation of
The first step ought to be to survey the extensive Environmental Impact Assessments. International
literature already available - for duplication and re- Association for Impact Assessment. 16th Annual
invention is certainly a distinctive characteristic of General Meeting Paper. Portugal.
the existing literature.
Lawrence, D. (1997). EIA Guidelines - Are They
This chapter does not aim to serve a ‘guidelines for Doing the Job? Paper presented to the National
preparing guidelines’ role. Instead, it highlights some Association of Environmental Professionals Annual
key issues which will need to be addressed if Conference, Orlando, Florida, May 1997.
guidelines are to make a real difference, and fulfill
their potential role. Some of these issues can be ODA (1996). Manual of Environmental Appraisal.
addressed in a straightforward way (e.g. filling gaps Overseas Development Administration. Revised July
and improving guideline quality). In other cases, such 1996. 131pp.
as finding ways of minimizing the circumnavigation
of guidelines, a more considered approach is likely to OECD/DAC (1994). Towards Coherence in
be required. Environmental Assessment. Submitted by Canada to
the OECD/DAC Working Party on Development
For those given the task of developing guidelines Assistance and Environment, Paris, April 1994.
(whether government officials, agency employees or
consultants), this directory provides a source of Mwalyosi, R. and Hughes, R. (1998). The
already available materials. However, care will be performance of EIA in Tanzania: an assessment. IRA
necessary in using existing approaches or guidance Research Paper No. 41. IIED Environmental Planning
from elsewhere which is inappropriate to the Issues No. 14. International Institute for
situation or context concerned. The onus is on those Environment and Development. January 1998.
preparing guidelines clearly to think through the
need, content and role of the document(s) at the Sadler, B. (1996). Environmental Assessment in a
outset and , where necessary, to ensure and insist that Changing World: Evaluating Practice to Improve
the issues raised in this chapter are addressed. Performance. International Study of the Effectiveness
of Environmental Assessment. Final Report. June
In the long-term, however, many guidelines might be 1996. 248 pages.
considered as a ‘temporary tools’ for learning which
will become redundant as ‘environment’ and ‘impact World Bank (1991). Environmental Assessment
assessment’ is introduced into practice through Sourcebook, Volumes I-III. World Bank, Washington
mainstream education and professional training. D.C.
20 Quality of Guidelines
Chapter 3 Assessment
Environmental Impact
and Stakeholder Involvement
by Ross Hughes
There is a growing consensus that timely and broad- contrast, assessments that involve different
based stakeholder involvement is a vital ingredient stakeholder groups, including those in local
for effective environmental assessment, as it is for communities, have greater potential to access a wider
project planning, appraisal and development in information resource-base, and in some cases,
general. The World Bank has found that public generations of cumulative knowledge of their local
participation in EIA tends to improve project design, environment.
environmental soundness and social acceptability
(Mutemba, 1996). Mwalyosi and Hughes (1998) In its guidelines for EIA, the UK Department for
identified a similar experience in Tanzania. They International Development (formally the Overseas
found that EIAs that successfully involved a broad Development Administration) identifies some benefits
range of stakeholders tended to lead to more of stakeholder involvement (see Box 1).
influential environmental assessment processes and,
consequently, to development that delivered more But costs can also accrue as a result of not involving
environmental and social benefits. Conversely, EIAs stakeholders adequately (see Box 2). In northern
that failed to be inclusive tended to have less Tanzania for example, a commercial mining
influence over planning and implementation, and operation that failed to involve local, artisanal miners
consequently resulted in higher social and in design and benefit-sharing, was faced with years of
environmental costs. (often violent) conflict with neighbouring miners, and
high recurrent costs for security (Mwalyosi and
Placing sufficient emphasis on stakeholder Hughes, 1998).
involvement in the EIA process can also improve the
predictive quality of environmental assessments. This
is because the prediction of impacts using EIA often
requires multi-year information and good quality
baseline data. Yet one of the commonest problems
with ‘conventional’ environmental assessment is that Box 2: Some Potential Costs of Insufficient Public
time and financial limitations, and project cycle Involvement in the EIA Process
• Conflicts can emerge between levels of government, or
schedules, constrain the collection of such data.
between governmental agencies;
Hence predictions are often based on a ‘snapshot’
• Failure to garner local support;
picture which can be misleading or inaccurate. In • Risk of marginalising potentially valuable contributors to
the decision-making process;
Box 1: Benefits of Stakeholder Involvement in EIA • Failure to tailor projects to local needs and priorities;
• helps the EIA address relevant issues, including those per- • Lack of accountability which can lead to ineffective or in-
ceived as being important by other sectoral agencies, public efficient working practices and corruption;
bodies, local communities, affected groups, and others; • Failure to draw on local expertise and energy which repre-
• helps to harness traditional knowledge which conventional sents a potential lost opportunity for making a good project
approaches often overlook; even better;
• helps to improve information flows between proponents • Weak or failed communication which can create divisions
and different stakeholder groups, improving the understand- within local communities, and can breed resentment be-
ing and ‘ownership’ of a project; tween local communities and project proponents;
• enables project proponents to better respond to different • The overlooking or ignoring of important, and often lo-
stakeholders’ needs; helps identify important environmen- cally-specific, social, environmental and health impacts in
tal characteristics or mitigation opportunities that might be project design;
overlooked; • Reliance on interventions by outside experts, limiting the
• helps ensure that the magnitude and significance of im- learning of new possibilities by local stakeholders;
pacts has been properly assessed; and
• improves the acceptability and quality of mitigation and • Inability to prevent project benefits accruing to only a small
monitoring processes. number of influential beneficiaries.
Source: ODA (1996). Source: ODA (1996)
Stakeholder Involvement 21
Who are the EIA ‘stakeholders’? Consultation, participation and
Howlett and Nagu (1997) define stakeholders as ‘all stakeholder involvement
those people and institutions who have an interest in
There is great confusion in the use of the terms
the successful design, implementation and
‘stakeholder involvement’, ‘consultation’ and
sustainability of the project. This includes those
‘participation’ in the EIA guideline literature. Despite
positively and negatively affected by the project.
important differences in the meaning of these terms,
Stakeholder participation involves processes whereby
they are used interchangeably, or perceived and
all those with a stake in the outcome of a project can
applied in ways that vary between user groups.
actively participate in decisions on planning and
management. They share information and knowledge,
Here, we take stakeholder involvement to encompass
and may contribute to the project, so as to enhance
the full spectrum of interaction between stakeholders
the success of the project and hence ultimately their
(governmental, non-governmental, business/private
own interests’.
sector, service providers, the public etc.) and the
decision-making process. The term encompasses both
The Republic of Ireland’s guidelines provide a list of
consultation and participation. ‘Participation’ is used
over one hundred stakeholder groups that should be
in this chapter to define ‘a process by which
considered as contributors to the environmental
stakeholders influence decisions which affect them’1
assessment process. These include government
and is distinguished from ‘consultation’ by the degree
agencies, citizen’s groups, NGOs, recreational
to which stakeholders are allowed to influence, share
interest groups, expert groups, business affiliations
or control the decision-making process. Consultation
and academic organizations (Irish EPA, 1995).
implies a process with little share or control over the
Different types of stakeholders can contribute to the
process for consultees. Adnan et al. (1992)
EIA process in different ways and, in most cases,
formulated an extremely useful typology of
inputs from a broad variety of stakeholders will
participation that has since been widely cited and
complement the EIA process.
adapted by others (see Box 4).
Stakeholder interests exist at different levels. For
Confusion in the use of terminology often (and
example, at the local project level, they might include
sometimes deliberately) obscures key issues and
land or water access rights, pollution or market
misrepresents environmental assessment activities to
opportunities. At regional or country levels,
key decision-makers. In recent EIA literature, the
stakeholder involvement might focus more on issues
term ‘participation’ has more commonly been used to
concerning renewable versus non-renewable resource
describe information collection or PR exercises, than
use (e.g. hydropower versus coal-fired power
to describe interactive, empowering processes. Often
generation) or demand-side management (by setting
too, ‘participation’ is used to put a respectable veneer
energy prices to levels that discourage inefficient
on activities that could also be described as
energy use; or by adopting more resource-efficient
‘coercion’. For example, a draft EIA for an
technology). At the international level, stakeholder
aluminium smelter in Mozambique (O’Beirne, 1997)
interests may be more concerned with global climate
described the following activities as ‘participation’:
change, deforestation, biodiversity loss, etc. Box 3
provides some examples of different stakeholder
groups.
Organisations
• Co-ordination: Planning commissions and departments; government agencies at national, regional, district and village level;
• Advisory: Research institutes, universities, colleges;
• Regulatory: Government authorities at national, regional, district and village level;
• Implementation: Relevant ministries/departments at national, regional and district levels, training organisations, private compa-
nies, NGOs;
• Funding: Development assistance agencies, banks, entrepreneurs, taxpayers; and
• Conservation: Environment departments, museums, zoos, botanical gardens.
22 Stakeholder Involvement
Box 4: A Typology of Participation in EIA (adapted from Adnan et al., 1992)
1. Passive participation Consultant or extension worker appears in village and tells villagers that an
irrigation scheme will be constructed to ‘improve’ crop yields.
2. Participation in information giving Consultant or extension worker appears in village and asks for information
about their crops, and about seasonal water flows. Records their answers and
leaves.
3. Participation by consultation Consultant or extension worker explains that crop yields need to be improved,
and that the government intends to build an irrigation scheme. They seek the
views and responses of villagers (for example, how they feel it might increase
soil erosion), and then leave.
4. Functional participation Consultants or extension workers inform villagers that they intend to construct
an irrigation project. The consultants then facilitate the development of a vil
lage committee to discuss particular aspects of the project (such as minimising
soil erosion, downstream impacts on fisheries; or to agree on arrangement for
water management).
5. Interactive participation Local villagers identify their own needs, and external facilitators work with them
to assist in finding solutions to potential negative impacts - and improving posi
tive effects. In some cases, new institutions will develop at the local level, which
might then play a role in the management of their own project and its impacts.
Villagers then have a real stake in maintaining structures or practices.
6. Self-Mobilization Villagers plan and identify their own irrigation structures, perhaps learning from
experience in a nearby village. They may develop contacts with external institu
tions for resources and technical advice they need, but retain control over how
resources are used.
• [to] ‘identify and inform a broad range of I & APs imperatives to implement develop projects quickly,
[individuals and affected persons] about the and at least cost, that they present a formidable
proposed development ... ‘ challenge to EIA practice. In general, decision-
makers and practitioners have failed to rise to this
• [to] ‘obtain the buy-in of the I & APs for the EIA challenge (see Box 5)
process per se, so that they will accept the findings
of the EIA [emphasis added]. Box 5: Stakeholder involvement in practice: reviews of
experience so far
Adnan (1992) captured this confusion with some Mwalyosi and Hughes (1998) reviewed over 30 EIA processes
eloquence: in Tanzania. They found that only two incorporated a struc-
tured approach to public involvement as part of the EIA study
and, in both cases, the level of involvement was ‘consulta-
“... the meaning of the phrase [public tive’ rather than ‘participatory’. A further eight EIAs included
participation] has become even more elusive some component of interaction between the practitioners and
after its professed adoption by the most local people, but most of these interactions consisted of ad
unexpected quarters. It is often difficult to hoc discussions between practitioners and those local inhab-
understand whether those talking about itants that happened to be present when the EIA practitioners
people’s participation mean the same thing or visited the project area. The remainder included only a cur-
simply use the phrase as a kind of magical sory or highly unsatisfactory level of public involvement, or
incantation.” none at all.
Stakeholder Involvement 23
Constraints include: Cultural differences
These can be particularly acute where indigenous
Time and money groups are stakeholders in the EIA process.
Many stakeholders, whether local people, expert Communication difficulties may arise not simply
institutions or other government agencies, lack the because of language and education, but also because
time or financial resources to engage with EIA indigenous groups often hold entirely different belief
processes. Their involvement will generally incur an systems and ways of perceiving issues (Box 6).
immediate cost in terms of time and sometimes
money. Yet the benefits that their involvement might Box 6: Communication barriers between indigenous and
bring will rarely accrue for several months or years non-indigenous approaches
(if at all). These are particularly important Indigenous and non-indigenous people may have trouble com-
considerations where local stakeholders are poor. In municating because they have a vastly different fundamental
many cases, incentives or compensation will be understanding of the universe, and also different assumptions
required to secure their inputs. of what is and what is not fact. For example, some indigenous
people pay strict attention to their elders, who have intimate
knowledge of the truth. The elders usually speak in the form
Literacy, language and public of metaphors and parables. Story-telling is often the single
presentation most important aspect of transmitting information and under-
Non-literate groups are marginalised from EIA by the standing as well as the reiteration of cultural values. Most
anecdotes told by elders have many levels of meaning. The
use of written media to communicate information.
native listener understands this and uses the experience to
Unfortunately, EIA practitioners rarely use non-
become wiser. Often, instead of becoming more knowledge-
written means of communication, even in areas of able, the listener has been purposefully confused by specific
low literacy. The lack of key materials in local information and is driven to go and discover answers for him-
language versions is a further barrier to the self. The purpose of some of the anecdotes is to encourage
involvement of local stakeholders - the vast majority self-enlightenment, not simply to pass on information.
of impact statements are written in the language
familiar to the practitioners, who are foreigners to Non-indigenous listeners may become frustrated and even
the project area. Mass media, including local radio, angry when they try to get straightforward information from
television and newspapers, can help bridge such an indigenous person. Non-indigenous people have a long-
established practice of answering questions directly, and are
communication gaps, and have been used successfully
not accustomed to working their way through parables....
in some circumstances. These channels will almost
anger may arise because the listener feels he or she is being
always need to be supplemented by techniques that deceived or that some high degree of obfuscation is going on
do not assume that people have access to such media when it is not appropriate. Having no grounding in the sym-
(e.g. because of poverty, illiteracy or choice). Public bolism of indigenous people’s speech and thinking patterns, it
meetings are one of the most widely used ways of is often enough to frustrate a non-indigenous listener.
encouraging public involvement. Whilst they have Source: Centre for Traditional Knowledge (1997)
some advantages as public fora, they often lead to
selective and biased outcomes and tend to be Gender
dominated by influential and powerful groups. They
Insensitivity to gender issues, and particularly to the
are much favoured by practitioners working under
lower status accorded to women in decision-making
time and financial constraints, as they can be used to
in many parts of the world, is a common constraint
satisfy demands for ‘consultation’ and ‘public
to effective stakeholder involvement. It is here that
participation’ at minimal cost and effort.
major changes in attitude and conventional
approaches are required if impact assessment is to
Education make a real difference to people’s lives.
Low levels of education, and the ‘technical’ nature of
many development-related issues, can be a major Physical remoteness
barrier to effective participation in EIA. For example,
It is costly and time consuming for practitioners to
a villager in Bangladesh, when asked whether he had
reach small, diverse and scattered groups in remote
‘participated’ in the EIA process for a major flood
areas, and conversely, it is difficult for the inhabitants
control and irrigation project that would radically
of such areas to gain access to information relevant
alter his livelihood prospects, responded thus:
to development plans and to EIA.
‘If I were to be consulted what would I say? You see
I’m just an ordinary man. I don’t know anything. All Political and institutional culture of
I know is that one has to have meals every day’. decision-making
(cited in Adnan et al, 1992). In many countries and regions there is little or no
culture of ‘public’ involvement in decision-making. In
24 Stakeholder Involvement
some cases, public involvement is perceived as a Mistrust and elitism
threat to authority and is viewed defensively by many Mistrust often pervades the relationship between
government agencies and project proponents (in the project proponents and different stakeholder groups.
North and South alike). In other countries, such as In some cases, this derives from past experience or
those emerging from prolonged periods of conflict or conditioning. In other circumstances, proponents
political uncertainty, the institutional mechanisms to view EIA as a necessary evil and this attitude
involve governmental and non governmental generally manifests itself in limited or minimal efforts
stakeholder groups, especially at the local level, are to involve other stakeholders in the project design
yet to develop. and implementation processes. Elitism or patriarchal
approaches can also pose a constraint - many
Pressures imposed by the project cycle agencies and proponents adopt ‘we know better’
Additional time and money are required during approaches’, and do not accept that stakeholder
planning to achieve higher levels of stakeholder involvement can improve the quality of development
involvement. Both commodities are generally in short initiatives. These attitudes are often held by both
supply for environmental assessment. A recent survey proponents and development planners in respect of
of EIA professionals worldwide found that 81% of local people, or exist between different levels of
respondents believed time deadlines to be limiting, government.
and 61% believed that budget constraints were
generally very limiting (Sadler, 1996). Competitive Conflicting resource management rights
tendering processes and commercial confidentiality Disputes over land and water rights and, more
considerations encourage proponents to adopt quick, specifically, disputes over who has the right to
cheap and minimal approaches to keep bids as low as sanction developments, are common in some regions
possible. All too often, there are delays in the release of the world. Deep-rooted conflicts between
of information perceived as being commercially customary and national land tenure rights in northern
confidential. Tanzania, for example, have undermined several
attempts to involve local people in local planning and
Where public involvement, or participatory planning development (Lane, 1996). EIA guidelines rarely
exercises are used, decision-makers have sometimes provide pragmatic advice on how to address these
found that the results of participation can be difficult issues in EIA practice.
to integrate into formal, mechanistic project cycles. It
can create ‘information overload’ whereby it may
Timing
become difficult to determine the amount and
Involving different stakeholder interests in the project
diversity of public perceptions that should be
conception and development phase prior to the
presented for decision-making2 .
commencement of the EIA study (e.g. during
screening and scoping) is important if their
Inertia subsequent involvement within the EIA process is to
Institutional inertia usually works against change. be effective. If the EIA study is the first opportunity
The World Bank has acknowledged this as a key for stakeholder involvement, then most key decisions
constraint to encouraging a higher level of will already have been made. In these circumstances,
stakeholder involvement in Bank-supported projects there is a danger that stakeholder involvement
in Africa. Economic and technical disciplines aspects of EIA a perceived as fulfilling a reactive role
dominate staffing at the World Bank, and this is now - providing information on decisions that have
seen from within as a key constraint to the rapid already been taken, rather than providing
adoption of more interactive and learning-centred opportunities for constructive dialogue or
approaches to project implementation (Mutemba, opportunities to influence design and decision-
1995). Inertia is by no means limited to Bank making. Within this context, environmental
practice. Experience in other development agencies assessment may also have to assume the mantle of
shows that institutional organisation and behaviour resolving conflicts that have already escalated to high
constrain the adoption of participatory approaches levels.
advocated in guideline documents (see ERM, 1996
for an evaluation of the performance of EIA in EC
Ambiguity in legislation and guidelines
development programmes; and Mwalyosi and
Unclear wording in legislation and guidelines is an
Hughes, 1998 for an assessment of EIA performance
important constraint to managing and encouraging
in Tanzania).
more participatory environmental assessment
processes. This is a problem in both the North and
South (Box 7) (e.g. see Ebisemiju, 1993; WALHI,
1994).
2 Some useful and innovative ways of addressing this problem are presented in FEARO, 1988.
Stakeholder Involvement 25
“People have been subjected to so much social
Box 7: Minimal Approaches: The Experience of the US
The flexibility given to agencies under the requirements of the evaluation; people get fed-up. So people are not
1969 National Environmental Protection Act (NEPA) means that interested; they think that we are wasting their
extreme cases of nearly no public involvement can and do time and they have work to do...” (Mwalyosi,
occur. For example, an agency may simply request written cited by Guilanpour, 1994).
comments on its Notice of Intent (NOI) to prepare an EIA. It
would not be required to hear from the public again until the In some areas, local communities have been
comment period when the draft EIS is issued. The agency’s overburdened with officials, planners, social scientists
statutes might require it to hold a public hearing on the draft and researchers requiring their inputs. Often, perhaps
EIS, but these are sometimes considered to be a weak form of
usually, such communities have seen rather little in
public involvement in the USA. Hearings are quite formal, and
return for their inputs, and well justified skepticism
they do not make it easy for ordinary citizens to express their
views comfortably and effectively. Much of the communica- and reluctance to engage further has been the end
tion flows in one direction, from government officials to result. In such cases, the potential for future
citizens. In contrast, many agencies have gone beyond the stakeholder involvement is significantly constrained
minimum, formal requirements for public participation and and will require a prolonged phase of trust-building
have introduced a variety of non-required approaches, par- and commitment if these attitudes are to be replaced
ticularly in the context of scoping. by one of open commitment.
(Source: CEPA, 1994).
Project size
Poor presentation of EIA findings Achieving effective stakeholder involvement can be
A large, complex and highly technical EIS can make much more difficult for large projects. Adnan et al.
the results of an EIA inaccessible to stakeholder (1993) describe a wide array of issues raised by
groups (including decision-makers!). Often EIA massive proposals for flood control, drainage and
processes do not go to the trouble of presenting their irrigation projects in Bangladesh, many of which
draft findings in languages or forms relevant to the relate to the scale of the development plans involved,
stakeholders concerned. As one villager in central and consequently, the number of potentially affected
Bangladesh observed: people. However, experience shows that scale should
not always prevent fair, open and accessible
‘Oh yes, the bideshis [foreigners] were here one approaches to public involvement. The Mackenzie
day, last month. But they only went to the Valley Inquiry in Canada provides a good example
school and spoke in English. We are not (see Box 8).
shikkhito [educated]. We could not understand’
(cited by Adnan et al, 1992).
Box 8: The Mackenzie Valley Inquiry
The inquiry was directed to examine the regional social, envi-
‘Mystification techniques’ - the use of sophisticated ronmental and economic impacts of a project to transport
technical jargon to obscure potential or actual natural gas south from Prudhoe Bay, Alaska by pipeline down
impacts of development projects - are frequently used the Mackenzie Valley from the Mackenzie Delta in the North-
by project proponents to impose authority by project west Territories, Canada. A consortium of 27 Canadian and
proponents. Lane (1996) cites an example from a American companies stood ready to build a gas pipeline some
consultation process associated with a wildlife 3,860 kilometres in length. The inquiry was conducted by Mr.
conservation area in northern Tanzania: Justice Thomas Berger in the early 1970s, who described the
process as follows:
“We couldn’t interpret what was in the plan
At the formal hearings of the Inquiry in Yellowknife (the capi-
and ended up just mouthing the words in
tal of the Northwest Territories), I heard the evidence of some
Swahili. The language was hardly 300 experts on northern conditions, northern environment and
translatable...” (Metui Ailion, Albalbal Ward northern peoples. But, sitting in a hearing room in Yellowknife,
Councillor, northern Tanzania, commenting on it is easy to forget the real extent of the North. The Macken-
the ‘participation process’ of the Ngorongoro zie Valley and the Western Arctic is a vast land where people
Conservation Area General Management Plan). of four races live, speaking seven different languages. To hear
what they had to say, I took the Inquiry to 35 communities -
from Sachs harbour to Fort Smith, from Old Crow to Fort
Community burn-out Franklin - to every city and town, village and settlement in the
There is a tendency for development practitioners to Mackenzie Valley and the Western Arctic.
assume that people are only too willing to participate
in research and analysis as an activity in itself. The experience of the Inquiry proves that even a massive, seem-
Reflecting again on experience in Tanzania, one EIA ingly uncontrollable environmental assessment process can be
practitioner remarked: managed in a way that works in the interests of local commu-
nities.
Source: Pallen (1996)
26 Stakeholder Involvement
Stakeholder Involvement and EIA Box 9: Guidelines and EIA Under-Performance in
Guidelines Indonesia
In reviewing the EIA process in Indonesia, WALHI (1994) found
Guidelines vary enormously in their treatment of that ambiguity and lack of clarity in official guidance and leg-
stakeholder involvement and, on the whole, they do islation provided opportunities for abuse of the system by
not advocate the types and level of stakeholder government officials responsible for making EIA decisions, and
involvement that are likely to yield meaningful cited this problem as a key reason for the poor performance
results. In preparing this directory, we reviewed a of EIA in Indonesia. It is clear in the national EIA legislation
that Indonesia’s law-makers intended EIA to be applied as a
broad sample of guidelines. Of these:
‘public process’. Unfortunately, the wording of this legislation
has left ample scope for proponents to minimize such involve-
• 36% failed to mention participation altogether; ment. The existing guidelines do not specify, for example, that
• 12% advocated that practitioners should only public involvement should be sought at the earliest possible
‘inform’ stakeholders; stage of the environmental assessment process, only that some
• 38% advocated some form of ‘consultation’; and form of public inputs should be sought before the finalization
• only 13% advocated more interactive forms of of the EIS. Invariably, this means that public involvement does
stakeholder involvement. not take place until it is too late to be effective.
Source: WALHI (1994)
A number of common features appear to undermine
their value as guidance tools for process managers that external practitioners should ‘interview’, ‘consult
and practitioners: with’, and ‘take into account the views of...’ the
public and affected groups (see Box 10). An
• lack of clarity; exception is the guidelines of FINNIDA which hint
• confusing (and sometimes contradictory) use of at the concept of devolving responsibility and
terminology; influence over ‘decision-making’ (“ ...public
• a paucity of practical guidance; and participation should aim to effectively influence
• lack of proactive support for stakeholder decision making”) (FINNIDA 1989).
involvement in EIA.
Box 10: Excerpts from the guidelines literature
Guideline clarity • “The Bank requires the borrower to take the views of
affected groups and local non-governmental organizations
Guidelines should clearly explain why different
into account in the preparation of environmental assess-
stakeholders should become involved, at what stage ment reports” (AsDB 1993).
in the EIA process, and how their involvement can be • “ The key factor that distinguishes consultation from par-
made effective. Most national and state-level ticipation is the degree to which those involved are allowed
government agencies have compiled guidance to influence, share or control decision-making. The World
information on the environmental assessment Bank requires consultation with affected groups as part of
process, but these documents are often poorly the EA preparation process... “ (World Bank 1993).
presented, use technical and inaccessible terminology • “Consultations do not reduce the decision-making author-
and are not distributed widely. Guides for those ity of the borrower, but are a valuable way to improve
decision-making, to obtain feedback on the EA process
required to plan, manage, conduct, review and
and draft report, and to increase community co-operation
participate in environmental assessment processes can
in implementing the recommendations of the EA” (World
help such users to interpret legislation, clarify roles Bank 1991).
and identify opportunities for the involvement of • “... involve public consultation with interested parties and
different stakeholders. the affected population” The Commission of the European
Communities (CEC, 1993).
Ambiguity in the wording of guidelines often • “ In order to obtain valuable information about the project
provides scope for agencies and practitioners to avoid region, consultation with local target groups and NGOs is
or minimize the extent of stakeholder involvement essential to EIA” (DGIS, 1993).
(Box 9). Clearly, national, sectoral and agency
guidelines should provide clear and explicit guidance Paucity of practical guidance
on minimum standards and procedures for
A common complaint is that EIA guidelines fail to
stakeholder involvement.
provide adequate pragmatic guidance on stakeholder
involvement in EIA practice. EIA process managers
Confusing use of terminology need specific guidance on stakeholder involvement
Donor guidelines and international agencies use the when commissioning an environmental assessment.
term ‘participation’ extensively, but almost always in Staff responsible for ensuring that EIAs are
an inappropriate way. In reality, most agencies, undertaken to a sufficient standard require guidance
including the World Bank, advocate consultative or on how to ascertain that stakeholder involvement has
extractive forms of involvement, i.e. they advocate been addressed adequately during the EIA process.
Stakeholder Involvement 27
With some exceptions, existing guidance on national guidelines, e.g. the federal guidelines for
stakeholder involvement is not of an adequate Canada (see Box 12) and Australia.
standard to be useful to EIA practice.
Box 12: The Environmental Assessment and Review
Recent literature indicates that some of these Process inCanada
shortcomings are now recognized and are being Public participation in the federal assessment process is
addressed. For example, recent guidelines on the promoted through:
incorporation in EA of traditional environmental • providing opportunities for public involvement in project
screenings, comprehensive studies, mediation and panel re-
knowledge (TEC) of indigenous peoples (Centre for
views;
Traditional Knowledge, 1997) provide practical and • the establishment of a public registry for each project un-
innovative guidance for the way in which indigenous dergoing any type of environmental assessment. Members
peoples, corporate organizations and government can of the public wishing to take part in the process can obtain
interact and negotiate to address critical cultural, copies and review most documents relating to assessment;
environmental, social and economic issues (see Box and
11). Different types of guidance will be required to • a Participant Funding Program designed to provide limited
assist practitioners to engage with other stakeholder funding to interested individuals and groups both for and
groups, such as the private sector and business against a project to participate effectively at key stages of
interests, local government bodies, and other line mediations and panel reviews.
ministries. The acid test will, of course, be the extent
to which these are adopted and implemented within
relevant national guidelines, and those of
development assistance agencies. Conclusions
This chapter has argued that greater attention to
Box 11: Guidelines on Environmental Assessment and stakeholder involvement during the EIA process leads
Traditional Knowledge of Indigenous Peoples to better environmental assessment, and thus to the
These innovative and useful guidelines focus on the incorpo- formulation of projects that deliver more social
ration of indigenous peoples’ traditional knowledge into
benefits, fewer environmental costs and greater
environmental assessment practice. They provide clear and
practical guidance, not only for government (as regulators and
economic and financial benefits. Yet the language of
planners) and corporations (as private sector proponents), but stakeholder involvement is peculiar in the degree to
also to assist indigenous peoples to engage constructively and which it is abused - too often are ‘stakeholders’
effectively in EA processes for proposals that could impact on perceived synonomously with ‘local people’, and too
the environment and resources on which they depend. In real- often are highly extractive forms of interrogation
ity, the 29 guidance points presented in the document apply camouflaged under the cloak of ‘participation’. It is
equally well to broader-based stakeholder involvement, such one thing to be engaged in a two-way and
as the involvement of local communities and other stakeholders transparent dialogue, but quite another to be
that would not necessarily be regarded as strictly indigenous. accosted on a street by a clipboard-wielding foreign
consultant. Sadly, the latter remains the norm, and
The guidelines were developed by a team involving the Cana-
dian Centre for Traditional Knowledge, the World Council of
not the exception. Proponents and their consultants
Indigenous People, Environment Canada, and the Canadian continue to avoid engaging meaningfully with
International Development Agency. They draw attention to the different stakeholders, including government agencies
frequent inadequacy of conventional, scientific approaches to and the business community, other than at the most
EA such as the limitations of using short-term scientific proce- superficial level. Furthermore, they continue to
dures to collect reliable and adequate information on which engage with a very narrow range of possible
to base predictions and analysis. They also explore the difficul- stakeholder groups.
ties inherent in balancing the very different perceptions of
environment and development that are held by non-indigenous Do guidelines contribute to better practice, and do
and indigenous stakeholders.
guidelines help foster approaches that pay more
Source: Centre for Traditional Knowledge (1997)
attention to process and consensus-building between
stakeholders? There is little evidence to suggest they
Lack of proactive support for stakeholder do, and much to suggest they don’t. This analysis
involvement in EIA suggests that existing guideline literature mirrors the
Constructive stakeholder involvement in EIA will weaknesses that we observe in EIA practice, most
rarely occur spontaneously. A proactive approach notably the emphasis on consultancy-driven ‘outputs’
ideally should include incentives for involvement and and confusion in the use and understanding of key
will often be required, especially where significant terminology and concepts. Why is this the case? In
costs will be incurred for stakeholders to take part in most cases, guidelines appear to have been
dialogue processes. Incentives are now an integral formulated to support ‘one-shot’ consultancy
component of EIA frameworks in a number of exercises and, like many EIA studies, they simply fail
28 Stakeholder Involvement
to promote engagement with the different References
stakeholders that should be involved. A round-table
approach in 1998 to guideline formulation in the UK, Adnan, S., Barrett, A., Nurul Alam, S.M., Brustinow,
facilitated by the Institute of Environmental A. and others. (1992). People’s Participation, NGOs
Assessment, provides an interesting exception to this and the Flood Action Plan: An Independent Review.
pattern. Research & Advisory Services. Report commissioned
by Oxfam-Bangladesh. Dhaka. December 1992
Effective EIA guidance on stakeholder involvement
will only emerge from institutional learning processes AsDB (1993). Environmental Assessment
and critical reflections on past performance. These Requirements and Environmental Review Procedures
processes will themselves need to involve the of the Asian Development Bank. Asian Development
stakeholders that EIA is supposed to serve. Without Bank, Manila.
this change in direction, we can expect to see a
continuation in the expansion of EIA guidance CEC (1993). Environmental Procedures and
literature, but little change in institutional behaviour Methodology Governing Lome IV Development
and attitude. More process, and less product is what Cooperation Projects. Users Guide. Environment
is needed now. Manual. Commission of the European Communities,
Directorate General for Development, Brussels.
Stakeholder Involvement 29
report submitted in partial fulfilment of the Environment and Forestry Technology, CSIR.
requirements for the MSc. Centre for Environmental Pretoria, South Africa. March 997.
Technology, Imperial College of Science, Technology
and Medicine. University of London. ODA (1996). Manual of Environmental Appraisal.
Overseas Development Administration. Revised July
Howett, D.J.B. and Nagu, J. (1997). Agriculture 1996. 131pp.
Project Planning in Tanzania. Institute of
Development Management Mzumbe, Tanzania and Sadler, B. (1996). Environmental Assessment in a
Development Project Planning Centre, University of Changing World: Evaluating Practice to Improve
Bradford, United Kingdom. Performance. International Study of the Effectiveness
of Environmental Assessment. Final Report. June
FINNIDA (1989) Guidelines for Environmental 1996. 248 pages.
Impact Assessment in Development Assistance.
Finnish International Development Agency, Helsinki. Stephenson, D et aI. 1994. “Public Participation in
EIA: A Review of Experience in Europe and the UK”.
Lane, C. (1994). Ngorongoro Voices. Indigenous DRAFT. Centre for Environmental Management and
Maasai residents of the Ngorongoro Conservation Planning. Aberdeen University Research and
Area in Tanzania give their views on the proposed Industrial Services Ltd. April 1994
General Management Plan. Forest Trees and People
Programme. FAO. WALHI (1994). Strengthening EIA capacity in Asia:
A Case Study on the Indonesian EIA System.
Mwalyosi, R. and Hughes, R. (1998). The Prepared by Indonesian Forum for the Environment
performance of EIA in Tanzania: an assessment. IRA (Wahana Lingkungan Hidup Indonesia, WALHI),
Research Paper No. 41. IIED Environmental Planning Jakarta, Indonesia. Centre for International
Issues No. 14. International Institute for Development and Environment, World resources
Environment and Development. January 1998. Institute. Washington DC.
O’Beirne, S. (1997). Draft Executive Summary. World Bank (1991). A Common Vocabulary: Popular
Environmental Assessment on Alusaf’s Proposed Participation Learning Group. Unpublished Paper,
Mozal Smelter. Issued by: Division of water, External Relations Department, Washington D.C.
cited by Cook and Donnelly-Roark (1994).
30 Stakeholder Involvement
Chapter 4 Assessment:
Strategic Environmental
A Rapidly Evolving Approach
by Barry Dalal-Clayton and Barry Sadler
Guidelines 31
Whilst there is a dearth of practical guidance development programmes). With this scope of
available to those who would like to start applying coverage one problem becomes readily apparent. The
SEA, the literature base is growing rapidly and a methodologies to be applied at the opposite ends of
number of useful reviews of SEA experience provide the decision-making spectrum differ markedly.
perspectives and background on this evolving field However, the principles of EIA apply at all levels.
(see Box 1). These are both incomplete and Table 1 compares EIA and the evolving process(es) of
continually being updated by papers on SEA in SEA.
conference proceedings and journals. However, there
is also a considerable restatement and recycling of Table1: EIA and SEA Compared
basic premises and themes. Adapted from CSIR (1996)
EIA SEA
Box 1: Some Key Literature on SEA
• UNECE (1992) - report on principles and procedures that Is usually reactive to a Is pro-active and informs
were agreed amongst a range of participating countries. development proposal development proposals.
• Wood and Djeddour (1992), Therivel et al.(1992) - com-
pare similarities and differences between SEA and EIA, Assesses the effect Assesses the effect of a policy,
elaborate the potential scope of procedure and practice, of a proposed plan or programme on the
and discuss possible methodologies for undertaking SEA. development on the environment, or the effect of the
• Project Appraisal (Vol 7 (3), Sept 1992) - special issue which environment environment on development
examines the (then) status of SEA in the USA, Australia needs and opportunities
and New Zealand, and the Netherlands; and, in the UK, in
relation to land-use planning, the water environment and Addresses a specific Addresses areas, regions or sectors
transport sector. project of development
• Sadler and Verheem (1996) - critically evaluate the status
and effectiveness of SEA processes in leading countries Has a well-defined Is a continuing process aimed at
and international agencies (analysis based on a portfolio beginning and end providing information at the right
of 52 case studies and eight institutional profiles (see also time
de Boer and Sadler, 1996).
• Therivel and Partidario (1996) - review international SEA Assesses direct Assesses cumulative impacts and
guidance and regulations, discuss models and method- impacts and benefits identifies implications and issues
ologies, and provide 10 case studies - grouped under three for sustainable development
categories (sectoral SEAs, SEAs of land-use plans, and SEAs
of policies). Focuses on the Focuses on maintaining a chosen
• World Bank (1996) - case studies of World Bank ap- mitigation of impacts level of environmental quality
proaches. CSIR (1996, 1997) - primer on South Africa’s
approach to SEA and a draft Protocol on SEA. CIDA/DGIS Has a narrow Has a wide perspective and a low
(1997) - report of SEA provision and practice amongst perspective and a level of detail to provide a vision
OECD development cooperation agencies. high level of detail and overall framework
• Dalal-Clayton and Sadler (1998, in press) - provide an over-
view of the inter national status of SEA; examine Focuses on project- Creates a framework against
perspectives on its role and focus; discuss the rationale specific impacts which impacts and benefits can be
and benefits of the approach; describe experience (with measured
case examples) of applying SEA processes in developing
countries, in central and eastern Europe and other coun-
tries in transition; review the approach of development The inter-relationship between policies, plans and
assistance agencies; and also consider parallel processes programmes is frequently idealised as a hierarchical
that are closely aligned to and/or have relevance to emerg- or tiered process of decision making, as illustrated by
ing SEA techniques, e.g. environmental scenario planning, Figure 1 using energy development as an example. In
sustainable development strategy processes, etc. reality, however, policy-making does not necessarily
follow a logical sequence of discrete, technical steps.
Rather it is a more complex, iterative process in
which the range of choice is gradually narrowed and
most options are foreclosed by the project phase.
Scope of SEA This fact has a critical bearing on practical
Most practitioners view SEA as a decision-aiding applications of SEA (Sadler 1998).
rather than a decision-making process (like EIA) - a
tool for forward planning to be flexibly applied at In addition, terms such as policies, plans and
various stages of the policy-making cycle. Under this programmes (PPP or the 3 P’s) mean different things
broad perspective, SEA encompasses assessments of in different countries and their use is dependent on
both broad policy initiatives and more concrete the political and institutional context. But in general,
programmes and plans that have physical and spatial policies are taken to be broad statements of intent
references (e.g. town and regional plans, regional that reflect and focus the political agenda of a
32 Guidelines
Figure 1: Emerging Process of Tiered and Integrated Environmental Assessment
(Source: Sadler and Verheem, 1996)
government and initiate a decision cycle. They are Logically, the scope and form of SEA should
given substance and effect in plans and programmes - correspond broadly with the level of generality of
which involve identifying options to achieve policy decision-making and the type of environmental
objectives and setting out how, when and where effects that are identified (see Box 2). Direct effects,
specific actions will be carried out (Sadler and typically, can be correlated with projects and with
Verheem, 1996).
Box 2: A Pre-Screening Procedure for Determining SEA
However defined, policies and programmes Requirements
encompass a range of strategic decisions, many of The following questions can be used to make a quick judge-
which are likely to have environmental, social or ment about SEA requirements:
economic consequences. Box 2 outlines a simple • What is the actual content of the proposal?
“pre-screening” check for SEA to establish the - is it concerned only or primarily with broad general
direction(s) ?; or
proposals that are of concern. It can be adapted to
- does it address or specifically include operational meas-
different decision-making contexts and is undertaken
ures (projects, activities, etc.)?
by reference to: • What policy area or sector is targeted in the proposal?
- is it one known to have or likely to cause environmental
• the policy area or sector covered. In general, all effects (e.g. energy, transportation, housing, agriculture)?;
policy areas which concern or lead to changes in and/or
the use of land and natural resources, the - are there components which are likely to have cumula-
production of raw materials, chemicals and other tive or long-term consequences for the environment (e.g.
hazardous products and/or the generation of trade, industrial diversification, technology development)?
pollutants, wastes and residuals, are potential • What environmental considerations are raised by the pro-
posal? Does it appear likely to:
candidates for SEA.
- initiate actions that will have direct or evident environ-
mental impacts?;
• the type of environmental effects that can be - raise broad environmental implications and/or issues that
anticipated. When moving from the policy to the should be addressed ?; or
project stage of the decision cycle, environmental - have marginal or no environmental consequences?
considerations correspondingly shift from indirect Source: Sadler & Verheem (1996).
to direct effects.
Guidelines 33
plans and programmes that initiate and locate Strengthening project EIA and advancing
specific activities; indirect effects are associated more sustainability
with policies and with certain types of plans and EIA practice is constrained by certain limitations and
programmes, such as legislative and fiscal initiatives. weaknesses. These include structural weaknesses
Many of these are not easily separable into discrete centred on the relatively late stage at which EIA is
actions but that may have an environmental usually applied in decision-making. By this point,
dimension; for example, by influencing attitudes and high-order questions of whether, where and what
consumer behaviour toward transport or waste type of development should take place have been
recycling (Sadler and Verheem, 1996). These decided, often with little or no environmental
categories apply equally to developing as well as analysis. Project-by-project EIA is also an ineffective
industrial countries, although obviously the means of examining these issues. SEA or an
circumstances and considerations will differ. equivalent approach can be used as a complement to
project-level EIA to incorporate environmental
considerations and alternatives directly into policy,
plan and programme design. Thus, when applied
Rationale for SEA systematically in the “upstream” part of the decision
The benefits of introducing SEA and some constraints cycle and to the economic, fiscal and trade policies
are identified in Box 3. In broad terms, the rationale that guide the overall course of development, SEA
for SEA of policies, plans and programmes falls into can be a vector for a sustainability approach to
three main categories: strengthening project EIA; planning and decision-making - as called for by the
advancing the sustainability agenda; and addressing Brundtland Commission (WCED 1987) and by
cumulative and large-scale effects; (Jacobs & Sadler, Agenda 21 (UNCED 1992). This “upstream”
1989; Lee & Walsh, 1992; Sadler, 1994; Sadler & approach can also help to focus and streamline
Verheem, 1996). project EIAs, making them more consequential and
Other factors: In practice, the extent to which the benefits of SEA are achieved will also depend on a number of other important
factors:
• the provisions made for SEA, e.g. legal versus administrative;
• the prior record of implementation and acceptance by decision-makers;
• the degree to which overall strategies of sustainable development are in place;
• the scope and level(s) of process application; with the broadest range of benefits being gained from SEA systems that include
review of policies as well as plans and programmes.
Sources: Adapted from Dalal-Clayton & Sadler (1995) and Sadler and Baxter (1997)
34 Guidelines
reducing the time and effort involved in their Box 4: Some Examples of SEA and Proximate Approaches
preparation. SEA may yield significant other benefits; from Developing Countries
for example, by ruling out certain kinds of
development at the policy level, reducing the need for • CSIR (1997a): Preliminary SEA for the KwaZulu-Natal Trade
many project-level EIAs and thus relieving pressure and Industry Policy, South Africa.
where institutional and/or skills capacity is limited. • CSIR (1997b): SEA for the Proposed East London Industrial
Development Zone, South Africa.
• IUCN Nepal (1995): Bara Forest Management Plan, Nepal.
Addressing Cumulative and Large Scale • TANAPA (1993): General Management Plan for Kiliman-
Effects jaro National Park, Tanzania.
Arguably, SEA offers a better opportunity than • Thompson (1997): Ngorongoro Conservation Area General
project-level impact assessment to address cumulative Management Plan. Tanzania.
• Spenceley (1997): SEA of Tourism at Hwange National Park,
effects. Recently, considerable efforts have been made
Zimbabwe.
to extend EIA-based frameworks to encompass
• IUCN-ROSA(1996): SEA of Development Around Victoria
certain types of cumulative effects. These deal Falls.
reasonably well with the ancillary impacts of large- • World Bank (1996): Best Practice Regional EA: Argentina
scale projects (e.g. dams, transport infrastructure) Flood Protection Project (Proposed).
and the incremental effects of numerous, small-scale • Huntley et al. (1989) and Sunter (1992): Scenario-Planning
actions of a similar type (e.g. road realignment and in South Africa.
improvement). However, more pervasive cumulative • Dalal-Clayton (1997): Extreme Scenarios for Southern Af-
effects and large-scale environmental change (which rica.
are the end result of multiple actions and stresses that • Kessler (1998, pers comm): Strategic Environmental Analy-
sis (SEAn) methodology applied by the Netherlands
cut across policy and ecological boundaries) are
Development Organisation (SNV): in Benin to develop a stra-
difficult to address. In principle, these can be
tegic plan, and Nicaragua for integrating environmental care
addressed best by SEA of policies, plans and in council planning.
programmes; in practice, this has not proven to be • Naim (1997a, 1997b): SEA of Thermal Power Generation
the case. Policy, Pakistan.
Guidelines 35
Table 2: Institutional Arrangements for SEA in a Number of Northern Countries
Country/ Institution Provision Procedure Responsibility
Western Australia Environmental Protection Act 1986/93 No formal requirements The Environmental Protection
allows for the EA of programmes, plans for SEA procedure; ad Agency (EPA) determines form,
and policies. EIA has been applied to hoc determined by EPA. content, timing and procedure of
programmes and plans; more limited the assessment.
experience with respect to policies. No
structural SEA procedure to new
legislation, decisions of executive
government or State budgets.
Canada Cabinet Directive 1990 requires all No formal requirements Individual Ministers are
federal departments and agencies to for SEA procedure; responsible for assessment of
apply EA to policy and program guidelines only. the proposals generated in the
proposals submitted for Cabinet departments and agencies.
consideration.
Denmark Administrative Order 1993 requires No formal requirements Responsibility for SEA lies with
Bills and other proposals to for SEA procedure; the lead ministries;
Parliament to include an assessment guidelines only. guidance is provided by the
of the environmental impacts in the Ministry of the Environment.
documentation attached if they are
expected to have significant impacts
on the environment.
European Commission Internal communication of June 1993 No procedural or content Responsibility for the statement
requires screening and assessment of requirements are set to lies with the responsible
all future Commission actions (almost allow for maximum Directorate General.
always strategic in character) and flexibility
new legislative proposals if likely to
have a significant effect on the
environment.
Draft SEA Directive 1997 issued. Applies to plans & Binding on member states if
programmes only accepted.
Hong Kong October 1992 government initiative Limited guidance on the The proponent agency is
requires all policy papers submitted content of SEA reports. responsible for drafting an EIS
to the Executive Council to contain an and should consult the
environmental implications section. Environmental Protection Dept.
This is also required for Information at an early stage of the policy
Notes issued by the govovernment, formulation.
briefs recommending new legislation
and all papers seeking funding for
government works projects.
The Netherlands 1987 EIA Act requires an SEA of a For SEA the same Responsibility for SEA lies with
number of plans, programmes and (comprehensive) the lead agency.
sectoral policies. procedure applies as
Dutch Ministry of Foreign Affairs has required for projects.
decided to use SEA - where
appropriate - in its planning of
development assistance.
Since 1995, an environmental test is The environmental test The environmental test should
mandatory for draft legisaltion that has minimal procedural be carried out by the lead
might have significant environmental and content authority, with the mandatory
effects (not requiring a mandatory requirements to provide involvement of the Minister of
SEA under the EIA Act). for flexibility. the Environment.
36 Guidelines
New Zealand 1991 Resource Management Act Rather than establishing The consideration of
(RMA) requires the integration of a distinct SEA process, environmental issues is the
environmental considerations in all the RMA aims at the responsibility of the agencies
policy statements and plans at integration of responsible for the policy, plan
national, regional and district levels environmental issues in or programme (national,
prepared under the provisions of all stages of regional and district authorities).
the Act. decision-making.
USA The US National Environmental SEA procedures are the EAs should be prepared by the
Policy Act, 1969, requires EA for same as for project EIA agency at a point in the
major federal actions significantly planning process when
affecting the quality of the human it can highlight potential
environment, including programs, environment problems
policies, procedures and legislative and allow a wide range of
proposals. alternatives to be evaluated.
World Bank The system is policy-based, The Bank’s regional World Bank Divisions.
recommends use of sectoral and environment division
regional EA, e.g. where sector for Asia (ASTEN) has
investment projects and loans developed standard
through financial intermediaries procedures for
involve numerous sub-projects. sectoral EAs.
In some instances, sectoral EA is
also used as a planning tool in the
early stages of project preparation
without a formal link to sub-project
EA work.
Current SEA processes vary considerably. They may Few developing countries have these enabling
be formal or informal, comprehensive or more conditions in place. However, there are a number of
limited in scope, and closely linked with or unrelated supportive trends and developments. Notably various
to either policy or planning instruments. In general, international organisations have taken steps to
three broad approaches to SEA have been adopted to promote the transition:
date:
• In 1978, the US Council for Environmental
• it has been introduced as a relatively separate, Quality (CEQ) issued regulations for the National
distinct process - typically as an extension of EIA Environmental Policy Act (NEPA), which apply to
(e.g. in Canada); USAID and specify requirements for
“programmatic assessments”.
• it has been established as a two tier system (e.g. in
the Netherlands) with formal SEAs required for • In 1989, the World Bank adopted an internal
specific sectoral plans and programmes and an directive on EIA which allows for the preparation
environmental “test” applied to strategic policies; of sectoral or regional assessments.
or
• A section of the 1991 UNECE Convention on EIA
• it has been incorporated into policy appraisal (e.g. in a Transboundary Context promotes the
in the UK) and regional and land use planning application of EA for policies, plans and
(e.g. in Sweden). Recently, there has been growing programmes.
recognition of the importance of integrating EA
with other policy and planning instruments.
Guidelines 37
• In 1991, the OECD Development Assistance have also been introduced by multilateral and
Committee adopted a principle calling for specific bilateral donor agencies and by other international
arrangements for analysing and monitoring development organisations. As with EIA, these
environmental impacts of programme assistance, “conditionalities” are becoming an important part of
i.e. assistance not linked to project activities. SEA practice in developing countries and a vector for
their wider introduction and adaption for domestic
• In 1995, UNDP introduced the strategic overview applications. The World Bank is in a leading position
as a planning tool. in this regard. Increasingly, it is using sectoral EAs to
address sector-wide issues and programmatic loans
In most cases where SEA has been undertaken in covering numerous similar sub-projects, e.g. roads,
developing countries, the basic aim and approach has irrigation, etc; and is also undertaking regional EAs
mirrored that in the north – namely to identify the to take a spatial, area-wide approach to development
environmental consequences (and associated social planning.
and economic effects) of existing, new or revised
policies, plans and programmes. A notable and Other multilateral and bilateral donor agencies also
innovative exception is in South Africa where the have important SEA initiatives underway. UNDP, for
emphasis is on “assessing the effect of the example, has promoted the application of the
environment on development needs and Environmental Overview (EO) in the formulation
opportunities” with a strong focus on assessing stages of aid programmes (Brown 1997a, 1997b). It
cumulative impacts. asks a set of questions, similar to those asked by
conventional EIA, but with different emphasis. First
The countries of Central and Eastern Europe (CEE) it asks questions concerning the baseline conditions
are experiencing a period of great change with the for the project/programme, followed by questions
establishment of new administrative arrangements, concerning the impacts and opportunities and how
major infrastructural developments, and the the draft project/programme can be redrafted in an
privatisation of sectors and industries formerly under operational strategy to take these, and the baseline
national control. Although EIA was only introduced conditions into account. Additional questions focus
in the CEE countries in the mid-1980s, SEA is on modifications that should be made to the original
already an emerging area of interest (see Therivel, design. Answering these questions results in a brief
1997). A number of countries in the region have document, but it is the interactive process of
made some provision for this approach, e.g. as part assembling the EO that is the heart of the process.
of recent EIA legislative reforms. But the use of SEA
is still relatively limited in scope and varies among A related approach, also termed Strategic
CEE countries (Sadler et al., 1998). Environmental Analysis (but denoted by the acronym
SEAn), has been developed and tested by the Dutch
In the Newly Independent States (NIS), some group AIDEnvironment, in co-operation with SNV
countries make no distinction between EIA and SEA (Netherlands Development Organisation)
and their legislation requires that laws, programmes, (AIDEnvironment 1997; Kessler 1997a, 1997b). This
plans and projects are all subject to environmental experimental methodology is designed for use at the
assessment. In some of these countries, the former earliest possible stage of policy-making to allow the
Soviet system of State Environmental Expertise (SEE) relevant environmental issues and options to be fully
is still applied, sometimes under new legislation (e.g. integrated into policy, plan and programme design
Belarus, Georgia, Kazakhstan, Ukraine). In practise, and priority setting. The methodology is based on
however, other than in the Russian Federation, there experiences with EIA, environmental profiles, and
appears to be little or no development of SEA in NIS environmental planning, monitoring and evaluation
countries. within the project cycle, and comprises 10 steps (Box
6) “which are executed in a participatory manner,
Where SEA is undertaken, it is applied primarily to with systematic attention for the views and opinions
regional and local plans and to a lesser extent to of ‘insiders’ (local actors)” (Kessler 1997b).
sector programmes. This approach builds on the land
use planning systems which are well established in SEA practitioners are increasingly drawing from
the ex-socialist countries. Except for in Slovakia and experiences with other assessment and planning
the Czech Republic, there appear to be no examples approaches. For example, the construction of
yet of policy-level SEA. However, SEA is a priority of environmental scenarios (future forecasting) is a
the EIA programme for CEE and NIS countries potentially important approach for development
launched under the Sofia Initiative. planning and in policy-making, and is receiving
increasing attention as an important element of the
EIA requirements are now an established component SEA ‘tool box’. It is also recognised that policy-level
of development assistance. Recently, SEA approaches SEA has much to learn from the experiences and
38 Guidelines
Box 6: Strategic Environmental Analysis (SEAn): The AIDEnvironment Approach. The Main Steps
The strategic environmental analysis approach aims to be systematic, analytical and practical. 10 methodological steps create a
logical structure and provide guidance to participants in clarifying the complex issues involved.
Steps 9-10: Formulation of a sustainable development policy plan with action fields and follow-up strategy:
• synthesis of the key factors and actors realted to the environmental problems and opportunities;
• definition of environmental action fields;
• definition of sustainable development action fields by integrating priority issues from social and economic dimensions;
• formulation of a policy and coherent action plan for sustainable development based on the strengths and weaknesses of the
relevant institutions and existing development policies;
• formulation of a follow-up strategy, including definition of coordination responsibilities, establishment of a monitoring system
with relevant indicators, procedures for regular adjustments to policy using relevant strategic environmental analysis steps,
institutional strengthening and capacity-building.
processes of developing and implementing National • securing the political and institutional will so that
Sustainable Development Strategies (NSDSs) and SEA has a ‘seat at the policy table’, i.e., where
equivalent approaches such as national environmental decision-makers and policy-makers accept its
action plans, conservation strateghies, green plans, legitimacy and acknowledge that SEA has a key
etc. and constructive role to play; and
Guidelines 39
Box 7: Some Principles for SEA
40 Guidelines
Netherlands (DGIS) to the OECD/DAC Working Canadian Environmental Assessment Research
Party on Development Assistance and Environment, Council, Ottawa.
September 1997.
Kessler J.J. (1997a). An Introduction to Strategic
Council of the European Communities (1997). Environmental Analysis: A Framework for Planning
Proposal for a Council Directive on the Assessment and Integration of Environmental Care in
of the Effects of Certain Plans and Programmes on Development Policies and Interventions. Application
the Environment. 97/C 129/08. Official Journals of for SNV -Netherlands Development Cooperation.
the European Communities C 129/14-18, Brussels. AIDEnvironment, Amsterdam.
CSIR (1996). Strategic Environmental Assessment: A Kessler J.J. (1997b). An Introduction to Strategic
Primer. Council for Scientific and Industrial Environmental Analysis: A Framework for Planning
Research, Stellenbosch, South Africa. and Integration of Environmental Care in
Development Policies and Interventions. Application
CSIR (1997a). A Protocol for Strategic for SNV -Netherlands Development Cooperation.
Environmental Assessment in South Africa. Draft Reader with Theoretical Background and Application
Discussion Document, 21 August 1997. Council for Guidelines. AIDEnvironment, Amsterdam.
Scientific and Industrial Research, Stellenbosch,
South Africa. Koblar J. (1998). Strategic Environmental Impact
Assessment of Major Transport Routes in Slovenia.
CSIR (1997b). Feasibility Study. Strategic Paper presented to Sofia Initiative EIA Workshop,
Environmental Assessment for the Proposed East Prague.
London Industrial Development Zone. Draft 8
August 1997, Council for Scientific and Industrial Lee N. & Walsh F. (1992). Strategic Environmental
Research, Division of Water, Environment and Assessment: An Overview. Project Appraisal, 7 (3),
Forestry Technology, Durban, South Africa. 126-136.
Dalal-Clayton D.B. & Sadler B. (1995). Strategic Lee N. & Wood C. (1978): EIA - A European
Environmental Assessment. A Briefing Paper. IIED, Perspective. Built Environment, 4 (2), 101-110.
London.
Mwalyosi R and Hughes R (1997). The Performance
Dalal-Clayton D.B. & Sadler B. (1998, in press). The of EIA in Tanzania: An Assessment. Environmental
Application of Strategic Environemtnal Assessment in Planning Issues No.14, IIED, London.
Developing Countries: Recent Experience and Future
Prospects, including its Role in Sustainable Naim P. (1997b). Thermal power generation policy: a
Development Strategies. Environmental Planning strategic analysis. Lecture at the National Institute of
Issues No.18, IIED, London. Public Administration, Karachi. November 29, 1997.
IUCN-NIPA. IUCN Pakistan Office, Karachi.
de Boer J.J. & Sadler B. (eds) (1996). Strategic
Environmental Assessment 54: Environmental Partidario M.R. (1996). Strategic Environmental
Assessment of Policies: Briefing Papers on Experience Assessment: Key Issues Emerging from Recent
in Selected Countries. Ministry of Housing, Spatial Practice. Environmental Impact Assessment Review,
Planning and the Environment, The Netherlands, and 16, 31-55.
the International Study of Effectiveness of
Environmental Assessment. Project Appraisal (1992). Special issue on SEA.
Project Appraisal, Vol.7, No.3, Sept 1992.
IUCN Nepal (1995). EIA of the Bara Forest
Management Plan. World Conservation Union, Sadler B. (1994). Environmental Assessment and
Kathmandu, Nepal. Development Policymaking. In Goodland R. and
Edmundson V. (eds), Environmental Assessment and
IUCN-ROSA (1996). Strategic Environmental Development, pp 3-19, The World Bank, Washington
Assessment of Deevelopment Around Victoria Falls. DC.
World Conservation Union, Regional Office for
Southern Africa (IUCN-ROSA) Harare, Zimbabwe. Sadler B. (1996). Environmental Assessment in a
Changing World: Evaluating Practice to Improve
Jacobs P. and Sadler B. (eds) (1989): Sustainable Performance. International Study of the Effectiveness
Development and Environmental Assessment: of Environmental Assessment, Final Report.
Perspectives on Planning for a Common Future. Canadian Environmental Assessment Agency,
Canada.
Guidelines 41
Sadler B. (1998a). Recent Progress in Strategic Thompson D.M. (ed) (1997). Multiple Land-Use:
Environmental Assessment. Environmental Protection The Experience of the Ngorongoro Conservation
Bulletin, No.55, pp 1-10. Area, Tanzania. World Conservation Union (IUCN),
Gland, Switzerland and Cambridge, UK.
Sadler B (1998b). Institutional Requirements for
Strategic Environmental Assessment. Paper to Tonk R.A.M.N. & Verheem R.A.A. (1998).
Intergovernmental Forum, organised by the Ministry Integrating the Environment in Strategic Decision-
for the Environment, Christhcurch, New Zealand, making: One Concept, Multiple Forms. Paper
April 25, 1998. presented at the annual meeting of the International
Association for Impact Assessment (IAIA’98), 19-26
Sadler B. & Baxter M. (1997). Taking Stock of SEA. April 1998, Christchurch, New Zealand.
Environmental Assessment, Vol.5, Issue 3, pp 14-16,
September 1997 (special issue on SEA). UK Department of the Environment (1991). Policy
Appraisal and the Environment. Her Majesty’s
Sadler B., Dusik J. & Casey S. (1998). “Overview of Stationary Office, London.
Experience with SEA in Central and Eastern
Europe”, in Mikulic N. et.al. (eds) (1998). Strategic UK Department of the Environment (1993).
Environmental Assessment in Transitional Countries - Environmental Appraisal of Development Plans. A
Emerging Practices. Regional Environmental Centre Good Practice Guide. Her Majesty’s Stationery
for Central and Eastern Europe, Budapest. Office, London.
Sadler B. & Verheem R. (1996). Strategic UNCED (1992). Agenda 21. United Nations
Environmental Assessment: Status, Challenges and Conference on Environment and Development
Future Directions. Ministry of Housing, Spatial (UNCED), United Nations General Assembly, New
Planning and the Environment, The Netherlands, and York.
the International Study of Effectiveness of
Environmental Assessment. UNDP (1992). Handbook and Guidelines for
Environmental Management and Sustainable
Spenceley A. (1997). Strategic Environmental Development. United Nations Development
Assessment of Tourism at Hwange National Park, Programme, New York.
Zimbabwe, Incorporating Photographic Safari
Tourism and Cultural Tourism. MSc Thesis. Centre UNECE (1992). Application of Environmental
for Environmental Technology, Imperial College of Impact Assessment Principles to Policies, Plans and
Science, Technology and Medicine, University of Programmes. Environmental Series No.5, United
London. Nations Economic Commission for Europe, Geneva.
TANAPA (1993). Kilimanjaro National Park: Wathern P. (ed) (1988). Environmental Impact
General Management Plan. Planning Unit, Tanzania Assessment: Theory and Practice. Unwin Hyman,
National Parks, Arusha, Tanzania London.
Therivel R. (1993). Systems of Strategic WCED (1987). Our Common Future. Report of the
Environmental Assessment, Environmental Impact World Commission on Environment and
Assessment, Vol.13, No.3, pp 145-168. Development, Oxford University Press, Oxford, UK.
Therivel R. & Partidario M.R. (1996). The Practice World Bank (1993). Sectoral Environmental
of Strategic Environmental Assessment. Earthscan, Assessment. Environmental Assessment Sourcebook
London Update. Environment Department, October 1993.
Therivel R., Wilson E., Thompson S., Heaney D. and World Bank (1996). The Impact of Environmental
Pritchard D. (1992). Strategic Environmental Assessment: Second Environmental Assessment
Assessment. Earthscan, London. Review. Environment Department, The World Bank,
Washington D.C.
42 Guidelines
2
Part
THE GUIDELINES
The Guidelines
Matrix
Regional and National
Agency
Sectoral - Miscellaneous
Matrix of Sectoral Guidelines by Country and Agency (page numbers given in boxes)
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A q u eries/
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COUNTRIES & AGENCIES
COUNTRIES
AFRICA
R egional 165 166 54 165 165 165 53/165 53/4 165 165 165
Egypt 56 56 56 56 56 56 56 56 56 56 56
Gambia 57 57 57 57 57 57 57 57
Ghana 57/8
Kenya 58
Malawi 59 59
Mozambique 61
Niger 61
Nigeria 62
Seychelles 61 61 61 61 61 61 61 61 61 61
South Africa 63 64 63 64 64 64 65 64
Tanzania 66
Zimbabwe 68 68 68 68 68 68 68 68 68
Regional 69 70 71 61 70 70 69 71 70
Bangladesh 71 71 72
China 73
Hong Kong 74 74 74 74 74 74
Indonesia 79 80 80 79/80 80
Kuwait 82 82
Malaysia 84 84 84 84 84 84 84 84 84 84 84 84 84
Nepal 85 86 86 86 86 85
Oman 87 87
Pakistan 88 88 89 89 88 88/9 88 89
Philippines 90
Singapore 91
Sri Lanka 92 92
Thailand 94 94 94 94 94 94 94
Vanuatu 95 95 95
Vietnam 96 96
Yemen 97
AUSTRALASIA
Australia 98
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A q u eries/
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EUROPE
Regional 199 104 199 199 199 200 199 199 199 199 199 199 199
Austria 105
Belgium 106 106 106 107 106 106 106 106 106
Bulgaria
Denmark 109
Greece 115
Malta 118
Slovak Republic 123 123 123 123 123 123 122/3 123
United Kingdom 131-3 130 130 132 130 128-33 131/2 131 132
LATIN AMERICA
Belize 137 137 137 137 137 137 137 137 138
Chile 140 140 140 140 140 140 140-2 140 140
Costa Rica 143/4 144 144 144 143 143 143 144
Ecuador 144
NORTH AMERICA
Canada 151 152 154 153/4 153 154 153 152 153
United States of America 159 155/7 157/8 156 158 159 160 155 155/7
POLAR REGIONS
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AGENCIES
BANKS
AFDB 165 166 165 165 165 165 165 165 165
I-ADB 171
WB 175 173/4 171/3 175 175 175 175 171/3 171 176 174/5 174/6 171
AusAid 177
FINNIDA 180 180 180 180 180 180 183 182/3 180
JICA 183 183 183 183 182 183 183 183 182/3
NORAD 185 185 185 185 185 185 185 185 185 185 185
SDC 186
UNDP 188
UNDTCD 188
IGO’S
CDC 199
CS 199 199 199 199 199 199 199 199 199 199 199 199
EC 199 199 199 199 200 199 199 199 199 199 199 199 199 199
GESAMP 201
ITTO 202
OECS
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KEY TO ACRONYMS USED IN THE MATRIX
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UN United Nations Agencies
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Banks Multilateral Development Banks
UNDTCD United Nations Department of Technical Cooperation for
AFDB African Development Bank Devlopment
ASDB Asian Development Bank UNDP United Nations Development Programme
EBRD European Bank for Reconstruction and Development UNESCAP United Nations Economic & Social Commission for Asia and
I-ADB Inter-American Development Bank the Pacific
WB World Bank UNECE United Nations Economic Commission for Europe
UNESCO United Nations Educational, Scientific & Cultural Organisation
UNEP United Nations Environment Programme
Donors Bilateral Donor Agencies UNFAO United Nations Food and Agriculture Organisation
UNIDO United Nations Industrial Development Organisation
AusAid Australian Agency for International Development UNHCR United Nations High Commission for Refugees
[Austria] Austrian Ministry for Foreign Affairs UNIFAD United Nations International Fund for Agricultural
CIDA Canadian International Development Agency Development
DANIDA Danish International Development Agency WHO World Health Organisation
FINNIDA Finnish International Development Agency
BMZ/GTZ/ German Federal Ministry for Economic Development/German
KfW Foundation for International Development/German Credit IGOs Inter-Governmental Organisations
Institute for Reconstruction
JICA Japanese International Cooperation Agency CDC Commonwealth Development Corporation
NEDA /SNV Netherlands Development Assistance/Netherlands Development CS Commonwealth Secretariat
Organisation EC European Community
NORAD Norwegian Agency for International Development GESAMP (Joint) Group of Experts on The Scientific Aspects of Marine
SDC Swiss Development Corporation Environmental Protection
UK DFID UK Department for International Development IAEA International Atomic Energy Agency
USAID United States Agency for International Development ITTO International Tropical Timber Organisation
OECD Organisation for Economic Cooperation and Development
OAS Organisation of American States
OECS Organisation of Eastern Caribbean States
OECF Overseas Economic Cooperation Fund
SPREP South Pacific Regional Environment Programme
IUCN World Conservation Union
REGIONAL AND
NATIONAL GUIDELINES
Regional
and
National
Guidelines
52 The Guidelines
A F R I C A Africa
The Guidelines 53
AFRICA
The purpose of these guidelines is to promote World Bank (1991). Local Participation in
environmentally sound development activities that Environmental Assessments of Projects.
build on the principles of sustainable natural resource Environmental Assessment Working Paper; 2.
management. They represent a key element in the Environment Division, Africa Region, World Bank,
environmental management capacity-building strategy Washington, D.C. (11 p.)
of USAID’s Bureau for Africa, and are intended for use
The World Bank’s Environmental Assessment
by private voluntary organisations (PVOs), non-
Operational Directive (OD 4.00) calls for the
governmental organisations (NGOs) and other
involvement of affected groups and NGOs in project
recipients of USAID grants as a tool for activity design,
design and implementation, and particularly in the
implementation and monitoring. The document is a
preparation of EA reports. It is recognised, however,
follow-up to a limited set of provisional guidelines
that conditions for effective local participation vary
released in 1992. It synthesises materials produced by
significantly between regions of the developing world,
numerous organisations and individuals, especially
between countries within a region, and even between
over the last 10 years. They have been tested in draft
different parts of the same country. These guidelines
form and used by NGOs in the field and in training
are thus intended to promote the most effective local
courses and workshops.
participation possible in the context of the Africa
region.
Guidelines are presented for 18 diverse but interrelated
sectors. Individual sectors covered include: agriculture
The guidelines were prepared to assist regional staff,
(soil and water resources, including irrigation); timber
consultants, and borrower staff in planning for local
harvesting and production; livestock and range
participation in project environmental assessments.
management; fisheries management; ecotourism; small-
They are intended to complement the instructions
scale rural enterprises; small industry; rural roads and
given in Operational Directive 4.00, Annex A, and the
energy. Multisectoral guidelines are provided for:
more extensive guidance provided in Chapter 7 of the
agroforestry; integrated conservation and development
Bank’s Environmental Assessment Sourcebook (World
projects; agricultural pest management; water supply
Bank 1991). A short checklist for Task Managers
and sanitation; construction; waste management;
follows the guidelines, a more detailed version of which
environmental mitigation during refugee relief;
may be found in Chapter 7 of the Sourcebook.
resettlement activities and the environment; and food
Contact: World Bank, 1818 H Street NW, Washington DC 20433, USA.
aid, humanitarian relief, and the environment. For each
sector, key questions and suggested actions are
included.
54 The Guidelines
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The Guidelines 55
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56 The Guidelines
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in 1992. However there is still no formal EIA sectors: manufacturing and processing industries,
procedure and ad-hoc assessments are usually at the mining and on-site mineral processing, road
request of the funding agency. NEPA currently is infrastructure, solid waste disposal, large agricultural
preparing EIA guidelines which are expected to be projects, fisheries and aquaculture, and tourism
available in mid 1998. development projects. For each sector, the guidelines
have an identical content covering: description of the
project, description of the site and its environment,
identification and description of impacts, significance
The Gambia of impacts, mitigation measures, and monitoring and
evaluation.
EIA became a statutory requirement for certain public
Contact: National Environment Agency, 5 Fitzgerald Street, PMB 48,
and private projects with the enactment of the National Banjul, The Gambia.
Environmental Management Act 1988. Preparation of
Regulations to support the EIA provisions of the Act
(Part V) commenced in 1995 when the first draft
guidelines were developed. Since then, draft procedures Ghana
have been produced and the applicability of the fourth
(current) draft was tested in 1997 on a proposal to re- The 1985 Ghanaian Investment Code was the first
channel a stream. In addition, EIA guidelines for seven policy instrument to refer to EIA. The Environmental
sectors have been drafted. Following further testing in Protection Council introduced the EIA process for
September 1998, it is intended to develop the draft industrial developments. A Government
procedures and guidelines into EIA Regulations. The Administrative Directive made EIA a legal requirement
Act and procedures provide for public consultations in 1989, and the National Environmental Action Plan
and participation during the scoping, study and review was approved in 1991. Under the Environmental
stages. An EIA Working Group advises the National Protection Act, 1994, the Environmental Protection
Environmental Agency on EIA. Council was restructured to form the Environmental
Protection Agency (EPA). However, there is no separate
law for EIA. The EPA exists as district, municipal and
Government of The Gambia (1966). metropolitan assemblies and is responsible for
Environmental Impact Assessment: implementing the EIA process. The latter requires a
Procedures. Fourth Draft. National Environment “Preliminary Environmental Review” (PER) for all
Agency, Banjul. (vi, 24pp, 5 annexes, 3 projects with potential environmental impacts. This
appendices) may be followed by a full EIS if required. The
This draft document provides a detailed outline of the proponent must register the project and carry out the
procedures for conducting EIA in The Gambia, and is EIA study. Provision is made for public participation at
based on relevant EIA sections in the National scoping, during the preparation of the Environmental
Environmental Management Act (NEMA) 1994. It Impact Statement and during the review stages. Review
represents the EIA policy in the country but is not is carried out by the EPA and an expert committee. An
legally binding per se. There are four chapters: “Environmental Permit” may be granted by the EPA if
introduction; brief overview of the process and the EIS is approved. Currently, there are EIA guidelines
institutional framework; step-by-step procedures for the mining industry with other sectoral guidance in
(screening, formal EIA, conducting an environmental preparation.
impact study, review of draft EIS, environmental
clearance, and auditing compliance); and disputes, Ghana Minerals Commission & Environmental
appeals and penalties. There are five annexes including Protection Council (1995). Ghana’s Mining and
schedules of the NEMA on projects to be considered Environmental Guidelines. Prepared by the
for EIA and issues to be taken into account. Minerals Commission, Environmental Protection
Appendices provide a sample screening form,
Council, Accra. (36 p.)
classification criteria and a sample National
Environment Agency checklist, and EIA guidelines. These guidelines were prepared following consultations
between government agencies, mining companies,
NGOs, universities, research institutions and the
Government of The Gambia (1996). public. The document is presented in three parts:
Environmental Impact Assessment: Priority general guidelines for exploration, mining, mineral
Sectoral Guidelines. Fourth Draft. National processing and de-commissioning; detailed guidelines
Environment Agency, Banjul. (iii, 50 p.) for the preparation of an EIA for a new mining project;
This document provides draft sectoral guidelines which and detailed guidelines for the preparation of an
serve as a framework for consideration during the Environmental Action Plan for existing mines. The
scoping phase of the EIA process. They cover seven guidelines address mineral exploration by requiring
The Guidelines 57
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liaison, controlling access and activities and specifying develop an EIA system. The National Environmental
abandonment procedures. Impact Assessment Programme was set up in 1994
and draft guidelines and procedures were produced
,although no legal basis for EIA yet exists. EIA
Environmental Protection Council (1995).
guidelines are currently under preparation. The EIA
Environmental Impact Assessment: Sub-committee of the Inter-ministerial Committee on
Procedures. Environmental Protection Council, Environment, constituted under the Ministry of
Accra. (v, 13 p., 13 appendices) Environment and Natural Resources, has overall
Following an introduction on the need for responsibility for the EIA system in Kenya. The
environmental management, the EIA process in Ghana programme recommends public participation,
is described. Section 3 sets out the EIA procedures especially at the review and approval stages. Draft
(registration, screening, scoping, scoping report/terms legislation (the Environmental Management and Co-
of reference, environmental impact statement ordination Bill) proposes to set up an Environmental
preparation, EIS review, public hearing, environmental Protection Agency to develop and monitor procedures
permitting decisions, environmental impact statement, at national and district level. District Development
preliminary environmental report, validity of Committees will assume responsibility for managing
provisional environmental permit, and environmental EIA studies for district-level proposals and the
permit). Other sections deal with fees, environmental Investment Promotion Centre will manage studies for
management plans and annual environmental reports, national projects. The Provincial level uses district
penalties, determination of an application, appeal, procedures to direct the EIA studies at this level.
Technical Review Committee and public notices. There
are 13 appendices.
Ministry of Environment and Natural Resources
(1994). Kenya National Environmental Action
Environmental Protection Agency (1996). Plan: Chapter 11 Legal Instruments, Land Use,
Environmental Assessment in Ghana: A Guide. EIA and Institutional Framework. NEAP
Environmental Protection Agency, Accra. (vii, 51 Secretariat, Ministry of Environment and Natural
p., 8 appendices) Resources, Nairobi. (203 p.)
This guide was prepared to assist the headquarters and This report addresses the considerable impact that
regional offices of the Environmental Protection rapid changes have had on Kenya’s environment and
Agency in administering EIA procedures. It provides natural resource base, and details the country’s
the context of EIA within the broader fields of commitment to integrate environmental considerations
environmental planning and environmental into development programmes. The first part of the
management. There are 11 chapters: introduction, EIA plan deals with environmental policy objectives and
procedures and project registration, screening, scoping major strategies for their realisation, whilst the second
and consultation, the management of EIA, EIS review, part focuses on sectoral issues. Chapter 11 includes
monitoring, environmental audit, environmental information on the current status of and institutional
management plans, environmental reports, and framework for EIA. Annex 2 sets out proposed EIA
environmental management systems. In addition, there procedures for projects respectively at district,
are 8 appendices on: EIA procedures for project provincial and national levels, covering such issues as
registration and EIA; new undertakings requiring proposal concept, classification, screening, proposal
registration; environmentally critical projects (EIA development, EIA terms of reference, impact
mandatory); ecosystems of particular importance or assessment, EIA, review, record of decision, conditions
sensitivity; degradation processes and other of approval, implementation, monitoring, and
environmental issues; participatory learning and action auditing.
techniques; definitions; and an EPA publications list. Contact: NEAP Secretariat, Ministry of Environment and Natural
The document is well supported by tables, boxes and Resources, Uniafric House, PO Box 30126, Nairobi, Kenya.
figures.
Contact: Environmental Protection Agency, PO Box M326, Ministries
Post Office, Accra, Ghana.
Muhia, C.D.K (1997). Guidelines on
Environmental Impact Assessments of
Integrated Community Project Activities.
Kenya Energy and Environment Organisations
Kenya (KENGO), The British Council, Nairobi. (xiv, 51p.)
ISBN 9966-841-24-6
The Kenyan Government made a commitment to
introducing EIA procedures in the 1988-93 These guidelines have been developed “from intensive
Development Plan and the National Environment participatory social laboratory case studies and
Action Plan, 1993, also contained an objective to experiences, continuous action learning processes and
environmental impact literature review”. In the
58 The Guidelines
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The Guidelines 59
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The stated purpose of these guidelines is ”to facilitate public review. The Department of the Environment
compliance with Malawi’s EIA requirements by may attach mitigation and monitoring conditions to
government, project developers and the general the EIA licence.
public”. An introduction (Chapter 1) defines and Contact: Ministry of Environment and Quality of Life, Ken Lee Tower,
describes the objectives of EIA and the prerequisites Barracks Street, Port Louis, Mauritius
and statutory basis of EIA in Malawi, and indicates
how EIA is integrated into general project planning
processes. In Chapter 2, the EIA process, roles and
responsibilities in Malawi are discussed, with sections Morocco
on the EIA report, coordination among institutions, Formal EIA procedures were introduced under the
managing compliance with EIA results, follow-up to Environmental Protection Act, 1996. The National
the EIA process, and public consultation and access to Committee on EIA (Comite National des Etudes
information. An outline of the relationship of EIA to d’Impact sur l’Environnement- CNEIE) was formed
other project planning and approval processes in the to support the development of EIA legislation and
country, for both public- and private-sector projects, is regulations. The Committee is composed of
provided in Chapter 3. Appendices give supportive representatives from several sectoral ministries. It
information on a number of topics: EIA provisions of provides advise to the Environment Authority on the
the Environmental Management Act; list of prescribed approval/refusal of proposals. The Environment
projects (note that a separate and expanded list is Authority reviews EISs and recommends decisions to
available, dated May 1997); preparing EIA the sectoral body responsible for licensing particular
submissions; project screening criteria; scoping and projects. An EIA Unit (“Service des Etudes Generales
preparing EIA terms of reference; model EIA terms of et d’Impact”) was created in 1995 under the Ministry
reference; consulting the public; and evaluating the of the Environment. The 1996 Act uses inclusion/
adequacy of an EIA report. A list of sectoral legislation exemption lists for screening. Projects not listed must
with environmental and natural resources provisions is present a preliminary assessment. Draft sectoral
included as an annex. The document is supported by guidelines have been produced. The EIA process is
figures and contains a useful list of acronyms, and a initiated by the funding agency or local/regional
glossary of terms. authorities. Sectoral ministries also review EIA
Contact: Environmental Affairs Department, Ministry of Research and reports. We understand that Directives for EIA are
Environmental Affairs, PO Box 30745, Lilongwe 3, Malawi.
currently being prepared, but at the time of writing it
is unclear when these will be finalised and
implemented.
Contact: Royaume du Maroc, Secretariat d’Etat Charge de
Mali l’Environnement, Direction de l’Observation, des Etude et de la
Coordination, 75 Rue de Sebou, Rabat, Agdal, Morocco
There is no legal framework for EIA in Mali. But
there are regulations and guidelines for risk
assessment in respect of chemical and industrial
activities. The Ministry of Mining and Geology and
Ministry of Rural Development has some practical
Mozambique
experience of EIA. The “Draft National The Mozambique Investment Law 1993 (No. 3/93
Environmental Action Plan” and the “National article 26) requires EIA for major projects. The
Programme to Combat Desertification” include Centre for Promotion of Investments is a key
paragraphs recommending EIA procedures and institution in developing EIA and the Environmental
regulations. The Ministry of the Environment has Management Programme, 1988, is the guiding policy
only recently been instituted for its application. EIA is mandatory for all activities
Contact: Secretaire Permanent, PNAE/CID, Rue 146, Quartier de causing significant impacts. This applies to projects
Fleuve, BP 2357 Bamako, Mali and plans, programmes and policies. The competent
authority for EIA is the Environmental Impact
Assessment Department in the Ministry of Co-
ordination of Environmental Affairs (MICOA). This
Mauritius department has authority to request that an EIA be
Part 4 of the Environmental Protection Act, 1991, carried out, guides the process, and organises public
requires project proponents to submit an EIA which participation and reviews of EIA reports. General
is open to public review. Screening is carried out guidelines are to be published by MICOA and a sector-
using lists. Activities with less significant impacts based technical manual will be prepared by the sectoral
may require a mini-EIA. The proponent must apply authorities. A draft Environmental Framework Law
for an “EIA licence” by submitting the EIA document (which will will create a Department of Environmental
for review by the Department of the Environment. Inspection to monitor EIA) and a draft EIA regulation
There is also provision for inter-ministerial and (proposed in 1996) have yet to be approved.
60 The Guidelines
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Comissao Nacional do Meio Ambiente & United sectoral EIA guidelines. The World Bank is funding an
Nations Development Programme (UNDP) infrastructure rebuilding programme and Niger has
(Capacity Building of the National Environment adapted World Bank guidelines for EIAs conducted on
Commission) (1994). Plano Director do such projects.
Enquadramento Institucional e Legal da
Gestao dos Impactes Ambientais doe Projectos Agence Nigerieéne d’Exécution des Travaux
de Investimento. Volumes 1-3 (Institutional d’Intérêt Public (Niger Agency for Public Works)
and Legal Requirements for the Management (1997). Guide pour la Réalisation des Études
of the Environmental Impacts of Investment d’Impact Environnemental des Travaux
Projects) Comissao Nacional do Meio Ambiente, NIGETIP: Recommendations Techniques.
Maputo. (3 v.) Document Provisoire (Draft Guidelines for EIA
Contact: Comissao Nacional do Meio Ambiente, Av. Acordos de studies for the Public Works Agency of Niger:
Lusaka, 2115-C.P.2020, Maputo, Mozambique.
Technical Recommendations) Cabinet de
Premier Ministre, Niamey. (40 p.)
These guidelines are used for infrastructure
Namibia development projects. They are based on World Bank
guidelines, adapted to the needs of Niger.
“Environmental Assessment” policy in Namibia Contact: Projet de Réhabilitation des Infrastructures (PRI), Bureau
originates from the “Green Plan”, 1992, which National de Coordination (BNC), Cabinet de Premier Ministre, B.P.
stipulates that all policies, programmes and projects 12.989m Naimey, Niger.
(public and private) be subjected to the Environmental
Assessment (EA) process. This EA policy received
Cabinet approval in 1994 and was published in 1995.
It proposes screening lists, scoping, review, monitoring Nigeria
and audits. At present, there is no legal framework for The Federal Environmental Protection Agency (FEPA)
EIA, but an Environmental Assessment Act has been was created under Decree No. 58. in 1988. FEPA
proposed. Pending this, some ministries are currently established the National Policy on the Environment in
requesting EA on a case-by-case basis. The proposed the following year which initiated the creation of a
Act will establish an Environmental Commissioner – to voluntary EIA system. EIA Decree No. 86, 1992, then
be appointed by the Ministry of Environment – who established a statutory basis for EIA. Under the Decree,
will report to an Environment Board composed of FEPA carry out an Initial Environmental Examination
ministerial representatives and other EIA experts. The (IEE) and screen the proposals. FEPA also review
Board will be responsible for registration, consultation, documents submitted to them during the process.
screening, scoping, evaluation and review. Conducting Proponents must submit terms of reference to FEPA
EA studies and post-project monitoring are the and are responsible for writing the study reports.
responsibility of proponents. Three types of projects are identified in the Decree:
“mandatory study activities” which require a
Directorate of Environmental Affairs, Ministry of “Mandatory Study Report”; exclusions from EIA; and
Environment and Tourism (1995). Namibia’s projects which require only a screening report. The
National Technical Committee has prepared draft
Environmental Assessment Policy. Draft.
procedural and sectoral guidelines with aim of turning
Directorate of Environmental Affairs, Ministry of
them into regulations, covering: agriculture and rural
Environment and Tourism, Windhoek. (17 p.)
development, mining, manufacturing, and
This draft policy sets out the policy for environmental infrastructure. They were due for publication my mid
assessment in Namibia, covering its role as a key tool 1998.
in promoting sustainable development. Appendix A
provides an outline of the official procedures and
requirements for EA whilst Appendix B lists policies, Department of Petroleum Resources, Ministry of
programmes and projects requiring an EA. Petroleum and Mineral Resources (1991).
Contact: Directorate of Environmental Affairs, Ministry of Environment Environmental Guidelines and Standards for
and Tourism, Private Bag 13306, Windhoek, Namibia. the Petroleum Industry in Nigeria: Part VIII.
Standardization of Environmental Abatement
Procedures. Department of Petroleum Resources,
Ministry of Petroleum and Mineral Resources,
Niger Lagos. (pp. 91-98)
Ordonnance 97-001 provides a legislative frame for This part of the guidelines discusses two mandatory
EIA in Niger and a regulatory framework is currently enforcement tools used under the Petroleum Act 1969
being drafted. There are no domestic general or
The Guidelines 61
AFRICA
and subsequent regulations covering oil and gas Superieur pour l’Environnement et les resources
operations: the preparation of Environmental Naturelles (CONSERE) co-ordinates the institutes
Evaluation (post-impact) Report (EER); and an involved in the development of the EIA system. The
Environmental Impact Assessment Report (EIA). Centre de Suivui Ecologique and the Direction de
Background is provided on the applicable legislation l’Environnement are more directly involved in the EIA
and regulations and on the types of projects or process itself. The latter organisation will be the lead
activities requiring EIA reports. The formal EER and agency for EIA studies.
EIA processes are described, significant effects/impacts Contact: Direction de l’Environnement, 23 rue Calmette, BP 6557
are listed, the required contents of an EIA report is set Dakar- Etoile, Senegal
out, and criteria for environmental screening are given.
Contact: Department of Petroleum Resources, Ministry of Petroleum
and Mineral Resources, Lagos, Nigeria.
Seychelles
Government of Nigeria (1994). Guidelines for The Environmental Management Plan, 1990, provided
Environmental Impact Assessment (Decree 86, a foundation for EIA, and was followed by a series of
1992): Draft Sectoral Guidelines for Oil and sectoral guidelines. The Seychelles EIA system is based
Gas Industry Projects (Oil and Gas Exploration on World Bank guidelines. The Environmental
and Production – Offshore) Federal Protection Act, 1994, covers the statutory EIA
Environmental Protection Agency, Lagos. (24 p.) procedures and regulations will be issued to implement
the Act. The Department of Environment in the
Ministry for Foreign Affairs, Planning and the
Federal Environmental Protection Agency (1994). Environment is responsible for the overall management
Environmental Impact Assessment Procedure of the EIA Process. The EIA process is to be integrated
for Nigeria. Federal Environmental Protection with the planning system
Agency, Lagos. (16 p.)
This brief guideline sets out the steps to be followed Government of Seychelles (undated).
under the National EIA Procedure developed under Environmental Impact Assessments.
Nigerian EIA Decree No.86 (1992), from project Introduction to Guidelines. Department of the
conception to commissioning, and the actors in each Environment, Ministry for Foreign Affairs, Planning
stage. Routine steps to be carried out by the Federal and Environment, Mahé. (12 leaflets)
Environmental Protection Agency (FEPA) and project
These guidelines were produced in the frame of the
proponents are briefly described: notification to FEPA
1990 Environmental Management Plan for the
of a project proposal, screening (into categories I, II
Seychelles (EMPS-90) and prepared by a consultancy
or III), scoping, submitting a draft EIA report (FEPA
team in consultation with the Department of the
sectoral guidelines to assist the ‘preparer’ are listed),
Environment and interested parties. They draw from
the review process (in-house, panel and public reviews,
existing internationally recognised guidelines, notably
and mediation), and submission of a final EIA report.
World Bank sectoral guidelines, adapted to the local
Other very short sections cover: decision-making
situation. Each follows an identical structure: a
within FEPA, project implementation, mitigation
discussion of key issues and likely impacts – with
compliance monitoring, and environmental auditing.
background on relevant Seychelles information;
A flow chart of these procedures and a general format
followed by a section of recommendations covering
for EIA are provided Also included are a checklist for
project alternatives, management and training,
project categorization and a list of Category 1 projects
monitoring, mitigation measures, practical hints and
(subject to full-scale EIA).
tips, examples of good practices, and sources of
Contact: Federal Environmental Protection Agency, PMB 1260, Ikoye,
Lagos, Nigeria. additional information.
62 The Guidelines
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The Guidelines 63
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Department of Environment Affairs Pretoria & within which to interpret the information provided by
Environmental Evaluation Unit, University of Cape the proponent and indicate a number of checks
Town (1992). Guidelines for Scoping. Integrated incorporated into the IEM procedure which aim to
Environmental Management Guideline Series; 2. ensure adequacy. Guidance is given on how authority,
Department of Environment Affairs, Pretoria, South public and specialist reviews are undertaken in IEM.
Africa. (21 p.) Section 3 presents a number of tools which are
available to aid reviewers in this task. Section 4 gives a
One of a series of guidelines which aim to assist the
general framework for assessing the adequacy of
formalisation of the procedure of Integrated
documents. Section 5 highlights areas which are often
Environmental Management (IEM) in South Africa
problematic for Review. A list of additional reading
This document gives specific guidelines for scoping
and basic references and journals is included.
during the planning and assessment stage of the IEM
procedure. It defines, sets out the aims, and discusses
responsibility for scoping. Consideration is given to Department of Environmental Affairs (1992).
how authorities and interested and affected parties Checklist of Environmental Characteristics.
should be involved in the scoping procedure, and gives Integrated Environmental Management Guidelines
guidance on techniques for public involvement and Series; 5. Department of Environmental Affairs,
participation. Other sections deal with determining the Pretoria. (13 p.)
scope of impact assessment, preparation of an initial
One of a series of guidelines which aim to assist the
scoping report, and providing opportunities for
formalisation of the procedure of Integrated
objecting to the scoping procedure. A general checklist
Environmental Management (IEM) in South Africa.
of categories of interested and affected parties is
This document provides a checklist of environmental
provided.
characteristics which may be sensitive to development
actions, or which could place significant constraints
Department of Environment Affairs, Pretoria & on a proposed development. The checklist is intended
Environmental Evaluation Unit, University of Cape for use as a guide and is not meant to be an
Town (1992). Guidelines for Report exhaustive listing. Separate sections cover: physical
Requirements. Integrated Environmental and ecological characteristics of the site and its
Management Guideline Series; 3. Department of surroundings, current and potential land use and
Environment Affairs, Pretoria. (21 p.) landscape character, cultural resources, socio-
economic characteristics of the affected public,
One of a series of guidelines which aim to assist the
infrastructure services, social and community services
formalisation of the procedure of Integrated
and facilities, the nature and level of present and
Environmental Management (IEM) in South Africa.
future environmental pollution, risk and hazard,
This document provides guidelines on the format as
health and safety, cumulative and synergistic effects,
well as the aspects which should be covered in Initial
and enhancement of positive characteristics.
Assessment, Impact Assessment and Record of
Decision reports which are necessary in the planning
and assessment stage of the IEM procedure. It also Department of Environment Affairs, Pretoria &
deals with the content of management plans, Environmental Evaluation Unit, University of Cape
monitoring and environmental contracts. The Town (1992). Glossary of Terms Used in
guidelines consists of an extended and annotated list of Integrated Environmental Management.
requirements intended to assist those developers and Integrated Environmental Management Guideline
their consultants who have had little experience in the Series; 6. Department of Environment Affairs,
production of environmental reports. Pretoria, South Africa. (5 p.)
This is the sixth in a series of six outlining a procedure
Department of Environment Affairs, Pretoria & for Integrated Environmental Management (IEM). The
Environmental Evaluation Unit, University of Cape series is part of a process to formalise IEM as
Town (1992). Guidelines for Review. Integrated government policy in South Africa. IEM is designed to
Environmental Management Guideline Series; 4. ensure that the environmental implications of
Department of Environment Affairs, Pretoria, South development proposals are adequately considered in
Africa. (15 p.) the planning process of South Africa. This document
provides a glossary of terms used in IEM. There is also
Environmental Management (IEM) in South Africa.
an introductory document, and four further
This document gives specific guidelines for review
documents provide guidance on specific aspects of the
during all stages of the IEM procedure and aims to
procedure: Scoping, Report Requirements, Review,
establish consistency in the review process and to
Checklist of Environmental Characteristics.
clarify the role of reviewers. They provide a framework
Contact: Department of Environment Affairs, Private Bag X447,
Pretoria 0001, South Africa.
64 The Guidelines
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Council for Scientific and Industrial Research projects into three categories relating to their potential
(1996). Strategic Environmental Assessment environmental impact. The proponent is required to
(SEA): A Primer. Council for Scientific and draft terms of reference for an EIA and then to prepare
Industrial Research, Division of Water, Environment and submit an EIA report and “Comprehensive
and Forest Technology, Stellenbosch. (18 p.) Mitigation Plan”. An “Environmental Compliance
Certificate” may be granted with provision for
This primer aims to provide information of the nature
compliance monitoring. In 1997, the Swaziland
and role of strategic environmental assessment (SEA),
Environment Action Plan was approved. “Integrated
and to initiate and contribute to a wider process in
Environment Management” (as applied in South
which SEA methods appropriate to South Africa are
Africa) is a concept now under consideration in
developed and applied. The document reviews trends
Swaziland. The 1996 Regulations are currently being
in EA and planning and summarises the current status
revised, and should be issued in April 1998.
of SEA practice in South Africa. International and
South African perceptions on the need for SEA are
considered, the relationship between SEA and EIA Government of Swaziland (1996). Environmental
described, and opportunities and constraints to its Audit, Assessment and Review Regulations.
application are explored. A useful list of references to Legal Notice No.58, 1996. Ministry of Natural
work on SEA is included. Resources and Energy, Mbabane.
Contact: CSIR Environmentek, PO Box 320, Stellenbosch 7599, South
Africa. Issued under the Swaziland Environmental Authority
Act 1992, these regulations define a range of terms, set
out the responsibilities of the Swaziland Environmental
Authority for the environmental audit and review of
Sudan both existing and proposed projects, and provide
procedural guidance for operators. Issues covered
There is no legal basis for EIA in Sudan but ad-hoc include: the preparation of environmental audit
EIAs have been undertaken when required by reports for existing projects; project categories and
international funding agencies and donor countries, reports for proposed projects; obtaining an
and some sectoral EIAs are carried out on a environmental compliance certificate; project
voluntary basis. The Ministry of Environment and authorization and implementation; public reviews,
Tourism, established in 1995, has proposed EIA consultations and hearings; decisions and appeals;
legislation. Within this Ministry, the Higher Council permits or authorisations; and offences. An attached
of Environment and Natural Resources is responsible schedule provides an illustrative list of project types for
for development of EIA procedures and legislation.. assignment to categories for specific environmental and
The Ministry of Irrigation requires that EIA be review procedures (category 1: no significant impacts
undertaken as part of the consent requirements for all likely; 2: impacts likely – but well known – of which
major irrigation proposals. some may be significant unless mitigation actions are
Contact: Higher Council for Environment and Natural Resources, PO
Box 10448, Khartoum, Sudan
taken; category 3: significant impacts likely – but
scale and extent can’t be determined – and an in-
depth study is required). A second schedule details
the structure and content of reports required under
Swaziland this regulation. A final schedule provides examples of
environmentally sensitive areas to be taken into
The Environment Authority was established in 1992 account in categorising projects.
and formulated regulations for “Environmental Audit Contact: Ministry for Natural Resources and Energy, PO Box 57,
Assessment and Review” of projects in 1993. These Mbabane, Swaziland.
were issued in 1996 under Section 18 of the Principal
Act (Swaziland Environment Authority Act 1992)
Swaziland Environment Authority (1998).
which provides the statutory basis for EIA. These
Environmental Audit, Assessment and Review
provisions indicate that approval is given once an EIA
report and a mitigation plan are reviewed by the Guidelines. Draft (January 1998) Swaziland
Environment Authority. Screening is undertaken by Environment Authority, Mbabane. (17 p., annexes)
the authorising agency (for example, the City Council) These draft guidelines are presented in three chapters.
and EIA is usually requested if a consent or permit is The first is introductory and describes the
required. There is provision for public participation at environmental audit assessment and review
the review stage and for public hearings. National regulations, sets out the purpose of the guidelines and
guidelines were produced to assist in the gives flow charts for procedures. Chapter 2 deals with
implementation of the regulations, and replaced by the environmental audit of existing development
draft guidelines in 1998. The 1996 Regulations divide (covering: associated regulations, definitions, activities
The Guidelines 65
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subject to the regulations, requirements of the for and objectives of EIA. The second sets out a
regulations, and procedures for listed developments or recommended (conventional) EIA procedure covering
activities). Chapter 3 is concerned with the such issues as: registration, screening, scoping,
environmental assessment of proposed projects preliminary assessment, review, public hearing,
(covering: associated regulations, definitions, environmental permitting, monitoring, audits and
requirements of the regulations, assigning project decommissioning. The final section covers other
categories, procedures for each category, and other important considerations including: EIA fees, penalties,
authorisation procedures). There are eight annexes: time frame, public notices, appeals, technical review,
assigning project categories, preparing a scoping reports and environmental units. The are 11 appendices:
report, initial environmental evaluations, the EIA registration forms (for preliminary EA and full EA),
report, the comprehensive mitigation plan, the screening decisions, scoping notice, EIA notice, principles
environmental audit report, consultation and public for parties in EIA process, contents of EIS, list of
participation, and further reference material. projects requiring mandatory EIA, list of small-scale
Contact: Swaziland Environment Authority, Mbabane, Swaziland. activities and enterprises that may have environmental
effects, environmentally sensitive areas and ecosystems,
and a glossary (definitions).
66 The Guidelines
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of projects and monitoring of post-project impacts. This is a revised version of the first edition of EIA
Government Decree 91-362, 1991, is the principle EIA guidelines developed by NEMA under the Ugandan
regulation and provides two screening lists: for National Environment Statute, 1995, issued for
projects which require obligatory EIA; and for those technical and public review. They will be revised
projects for which an Initial Environmental Evaluation following subsequent experience. The guidelines are
must be submitted for review by the Agency. There is intended for use by the general public, developers, EIA
no provision for public participation, post-auditing, or practitioners, lead agency staff involved in reviewing
appeal against the decision of the Agency. The EISs, and by NEMA, and emphasise public
proponent must prepare the EIA documents with participation through the entire EIA process. The
NEPA-registered consultants. Compliance is document is in eight parts each of which caters for the
mandatory. needs of different user groups. Part 1 presents the
general EIA policies for Uganda and the essential
elements and goals of the EIA process, including the
Tunisian Agency for Environmental Protection
levels of EIA required for various projects. Part 2 is
(1995). Les Etudes d’Impact sur aimed at the public and describes the basic components
l’Environnement en Tunisie (Environmental of Uganda’s three-part EIA process (screening,
Impact Studies in Tunisia) Agence National de environmental impact study, and decision-making),
Protection de ‘l’Environnement, Tunis. (16 p.) providing basic guidance. Part 3 covers the obligations
Contents include a general introduction, strategies, of project proponents, from development and design
legal framework, evaluation procedure, steps to be stages to submission of a licence application or a
followed, terms of reference for EIA Committee, EIA project brief to NEMA and an appropriate lead agency.
evaluation guide, archiving and follow-up of EIA. The guidelines in Part 4 are for EIA practitioners
undertaking more detailed project EIAs. They set out
the basic contents required for both a draft and final
Tunisian Agency for Environmental Protection
EIS and provide a step-by-step description of the
(1995). Les Études d’Impact sur procedure for conducting an EIA study. Part 5
l’Environnement: Termes de Référence pour les emphasises procedures for public participation and
EIE & Guide d’Évaluation (Environmental Impact involvement in the overall EIA process. Part 6 gives
Studies: Terms of Reference and Evaluation guidelines for use by Lead Agencies and NEMA
Guide) Agence National de Protection de focusing mainly on the screening and review functions
‘l’Environnement, Ministère de l’Environnement et of these agencies, as well as their role in approving the
de l’Aménagement du Territoire, Tunis. (21 p.) environmental aspects of projects. Part 7 deals with
Contact: Agence National de Protection de ‘l’Environnement, Ministère monitoring compliance. Finally, Part 8 describes the
de l’Environnement et de l’Aménagement du Territoire, Tunis, Tunisie. procedure for implementation and modification of
the guidelines. There are ten annexes covering:
definitions; projects requiring/exempt from an EIA;
review and evaluation checklists; Certificate on the
Uganda Screening Decision, suggested formats for Findings of
The 1995 National Environment Statute provided a Fact, Certificate of Approval of the final EIA, and
legal basis for EIA in Uganda, introduced a formal Record of Decision.
system, and established the National Environment Contact: National Environmental Management Authority, Kampala,
Uganda.
Management Authority (NEMA) as the co-ordinating
body for EIA. Schedule 3 of the Statute lists projects
requiring EIA. A “Project Brief” must be submitted to
the “lead agency” (government department or
authority with legal responsibility for environment
Zambia
management). The agency and NEMA determines the The EIA system in Zambia was given statutory basis
level of assessment required and the proponent is by the Environmental Protection and Pollution
responsible for undertaking the assessment using Control Act No. 12, 1990. This Act was implemented
approved experts. Both NEMA and the lead agencies by Environmental Protection and Pollution Control
are decentralised so that EIA can operate at provincial, Regulations, 1997. Regulation 3(2) in the First
district and local levels. The regulations and guidelines Schedule requires a “project brief” (the first stage of
to implement the 1995 laws are still being finalised. the EIA process) to be submitted for specified projects.
Regulation 7 (2) in the Second Schedule lists the
activities for which EIA is mandatory. In Regulation 9
National Environmental Management Authority (3) in the Fifth Schedule, the “Guidelines for
(1977). Guidelines for Environmental Impact Developers in Conducting EIA” are provided. The
Assessment: Draft. National Environmental Environment Council of Zambia is the competent
Management Authority, Kampala. (vii, 35 p., 9
annexes)
The Guidelines 67
AFRICA
authority for issuing regulations and procedures. The Volumes 2 – 10 are sectoral guidelines and cover:
proponent must appoint a co-ordinator to assemble a mining and quarrying, forestry, agriculture, transport,
team of experts to carry out scoping (in consultation energy, water, urban infrastructure, tourism, and waste
with the Environment Council) and to complete the management. Each of these has the same structure with
EIA report. The consideration of alternatives is an an introduction on its purpose, a background to the
important feature of this system. Once the report has sector, checklists of major activities, major issues,
been submitted to the Council, the Council makes a typical impacts analysis actions and tools, management
recommendation to the licensing authority. and mitigation steps, sample terms of reference,
Contact: Ministry of Environment & Natural Resources, PO Box 34011, sources of information, additional references, and
Mulungushi House, Independence Avenue, Lusaka, Zambia appendices.
Contact: Environmental Assessment Unit, Department of Natural
Resources, Block 1, Makombe Complex, Harare Street/Herbert
Chitepo Ave, PO Box CY 385, Causeway, Harare, Zimbabwe.
Zimbabwe
Prior to 1996, EIA had been undertaken on an ad-hoc
basis for nearly 20 years. An “Interim Environmental
Impact Assessment Policy” was produced in 1994 and
subsequently applied on a voluntary basis. EIA
principles are also embodied in 18 legislative
instruments including the Natural Resources Act,
1981. Under the Interim Policy, the licensing
authorities direct proposals to the Ministry of
Environment and Tourism for screening. The
Ministry decides upon the type of assessment
required (preliminary or detailed EIA) based upon the
“prospectus” that has been submitted. The terms of
reference are agreed upon by the Ministry of
Environment and Tourism and the proponent. The
Ministry also reviews the EIA report. Technical
support is provided from the Department of Natural
Resources. Public participation and consultation is
provided under the Policy. The future of Zimbabwe’s
EIA policy lies in efforts to strengthen existing
legislation on the environment prior to introducing
new legislation specifically on EIA. Strategic
Environmental Assessment is also being investigated.
The Ministry of Environment and Tourism is planning
to sponsor the development of Environmental
Operating Guidelines for sectoral developments.
68 The Guidelines
ASIA/PACIFIC/MIDDLE
Asia/Pacific/Middle East EAST
Economic and Social Commission for Asia and the Economic and Social Commission for Asia and the
Pacific (ESCAP) (1990). Environmental Impact Pacific (ESCAP) (1990). Environmental Impact
Assessment Guidelines for Agricultural Assessment Guidelines for Transport
Development. ESCAP Environment and Development. ESCAP Environment and
Development Series. United Nations Economic and Development Series. United Nations Economic and
Social Commission for Asia and the Pacific, Social Commission for Asia and the Pacific,
Bangkok. (viii, 51p.) Bangkok. (viii, 99 p.)
These guidelines were written to assist government These guidelines aim to assist government agencies
agencies concerned with environmental protection in concerned with environmental protection in developing
developing countries (specifically the Asia-Pacific countries in the planning and execution of EIAs for
region) in the planning and execution of EIAs for transport development projects. Like other ESCAP
agricultural development projects, in particular land guidelines, these guidelines summarise existing
clearance projects. A brief overview is given of the EIA methodologies. The impacts and management
process, as well as its application to agricultural requirements of the transport sector are discussed with
development projects. Summaries of current EIA reference to port and harbour projects, highways and
The Guidelines 69
ASIA/PACIFIC/MIDDLE EAST
roads, and airports. Annexes give sample terms of the impacts of future development activities on the
reference for these types of projects. This document is coastal environment is suggested. Annexes to this
one of a series of four. The other three volumes cover chapter provide EIA guidelines (from the Sri Lanka
water resources, agriculture and industrial Coast Conservation Department), a listing of cross-
development. sectoral interactions and impacts associated with
coastal zone projects, and planning and management
guidelines for managing coastal habitats without
Economic and Social Commission for Asia and the
degradation.
Pacific (ESCAP) (1990). Environmental Impact
Assessment Guidelines for Water Resource
Development. ESCAP Environment and Economic and Social Commission for Asia and the
Development Series. United Nations Economic and Pacific, United Nations (ESCAP) (1995).
Social Commission for Asia and the Pacific, Guidelines on Environmentally Sound
Bangkok. (viii, 119 p.) Development of Coastal Tourism. United
These guidelines aim to assist government agencies Nations, New York. (vii, 124 p.)
concerned with environmental protection in developing These guidelines attempt to identify the cause-effect
countries in the planning and execution of EIAs for relationship between tourism and the environment in
water resource development projects. They summarise coastal locations, and to illustrate remedial and
general EIA methodologies, and discuss typical impacts preventive measures that can be adopted to promote
related to water resources including rivers, lakes and the environmentally sound and sustainable
estuarine areas. Marine waters per se are not development of coastal tourism. They focus mainly on
considered. The document is one in a series of four. tools and methodologies, but also bring together the
The other volumes cover agriculture, transport, and experience of selected countries in promoting
industrial development. sustainable tourism development in coastal areas of the
Asia and Pacific region. Two chapters are of particular
interest in the context of EIA. Chapter II discusses the
Economic and Social Commission for Asia and the environmental impacts of coastal tourism
Pacific (ESCAP) (1992). Assessment of the development, covering impact types and their extent,
Environmental Impact of Port Development: A and the impacts of components of coastal
Guidebook for EIA of Port Development. development. Chapter IV deals with management
United Nations Economic and Social Commission through EIA with an introduction on measures to
for Asia and the Pacific, New York. (iv, 73 p., promote EIA in the region, and sections on: costs and
appendices) benefits; the project cycle; the EIA process covering
This guidebook provides port planners with basic screening, initial environmental examination, and full-
information on EIA of port development. It comprises scale EIA; methodologies; presentation of the EIA;
five sections: requirements for EIA, environmental management and evaluation; constraints in EIA
impacts of port development, environmental indicators implementation and recommendations to overcome
and criteria, methods for survey and impact prediction these. Annexes include EIA guidelines for existing
(water pollution, coastal hydrology, marine and coastal beach resort hotels, coastal water quality and effluent
ecology, air quality, noise, odour and visual pollution), standards in Thailand, and noise emission and air
and methods for pollution-less dredging and quality standards in Thailand and Malaysia.
reclamation. There are 13 appendices including Contact: United Nations Economic and Social Commission for Asia and
the Pacific (UNESCAP), UN Building, Rajdamnern Avenue, Bangkok
checklists of potential adverse effects of port 10200, Thailand.
development and operation.
70 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
Pacific Regional Environment Programme (SPREP), proposals have been tabled by the Bangladesh
Apia, Western Samoa. (51 p.) Environment Agency. There are some sectoral EIA
regulations such as those for the Water Management
Programme of the Ministry of Water Resources, but,
South Pacific Regional Environment Programme to date, sectoral EIA guidelines have only been
(SPREP) (undated). Environmental Impact prepared for industries. The present system does not
Assessment Guidelines for Mine Development require post-project monitoring or public
and Tailings Disposal at Tropical Coastal participation. The National Environmental
Mines. South Pacific Regional Environment Management Action Plan (NEMAP) - soon to become
Programme,Honolulu. operational - will provide a means of EIA co-
ordination. The Department of Environment will
have overall responsibility for the EIA system. EIAs
South Pacific Regional Environment Programme are to be carried out by the relevant government
(SPREP) (undated). Environmental guidelines ministry with approval the responsibility of the
for fish processing plant discharges into the Ministry of Environment and Forestry. Proposals were
sea. South Pacific Regional Environment made in 1997 for additional legislation to extend the
Programme, Honolulu. coverage of EIA.
Contact: South Pacific Regional Environment Programme, Environment
and Policy Institute, East-West Center, 1777 East-West Road,
Honolulu, Hawaii 96848. Department of Environment (1997). EIA
Guidelines for Industries. Department of the
Environment, Ministry of Environment and Forest,
Dhaka. (88 p)
Bahrain These guidelines are the product of a project “to
Bahrain has developed an EIA system relatively develop and apply sectorwise industrial guidelines and
recently. Articles 20-22 of the Environment Act, 1996, standards and to monitor compliance” launched in
provide for a procedure of project approval from an 1995. They also meet the requirements of the
environmental body through the issue of a permit. The Environment Conservation Rules 1997, under the
approval is to be based upon information relating to Environment Conservation Act 1995. The document is
the project and its potential adverse impacts. presented in five sections. The first is an introduction
Compliance with the Act is mandatory. Article 24 to EIA covering procedures, screening industrial
instructs the owners of existing establishments to projects, environmental clearance, review of EIA
submit an impact assessment report stating the reports and methodology for the EIA process. Section
mitigation measures that are proposed to be used. 2 deals with criteria for locating industrial plants.
Screening by the Environmental Protection Committee Section 3 is concerned with Initial Environmental
(EPC) may result in either a “No Objection Certificate” Examination: conducting IEE (baseline information,
(i.e. the project is exempt from EIA), a requirement for significant issues, impact assessment methods, checklist
an initial environmental evaluation or a requirement and matrix methods), mitigative measures, resolution
for a full EIA. Screening and decision-making is the of issues, environmental management plan, structure
responsibility of the EPC. The proponent is of IEE report, and review of report. Section 4 focuses
responsible for submitting information to the EPC for on EIA (baselines studies, impact identification and
an Initial Environmental Evaluation; and must also prediction, evaluation, mitigation, environmental
carry out a full EIA, when required, according to management plan, special studies, documentation and
guidelines from EPC. Monitoring programs are communication, public participation and structure of
implemented by the EPC. EIA regulations and EIA report). The final section describes the EIA report
guidelines currently are being finalised. review process (purpose, key aspects, specific issues to
Contact: Ministry of Housing, Municipalities and Environment, PO Box be looked into).
26909, Manama, State of Bahrain
There are annexes providing: lists of industries by
category – depending on their pollution loads and
likely adverse impact (Green, Amber-A, Amber-B and
Bangladesh Red); checklists of environmentally and otherwise
The Environment Law 1992 made EIA mandatory of sensitive areas, of activities for some projects, of
all new industries. It required EIA to be applied to the environmental components, and of environmental
planning and operational stages of projects. Under the parameters for a fertilizer project; and information on
Environmental Protection Act, 1995, projects specified impacts and mitigative measures for projects concerned
in a “green list” are not subject to an EIA. As yet, with cement manufacturing, fertilizer, and pulp,
there is no separate EIA legislation although draft paper and timber processing.
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ASIA/PACIFIC/MIDDLE EAST
Department of Environment (1997). Guidelines for bibliography, a useful glossary of terms and local
Obtaining Environmental Clearance. Department words, and a list of acronyms.
of Environment, Ministry of Environment and Forest, Contact: ISPAN Technical Support Center, Suite 300, 1611 North Kent
Street, Arlington, Virginia 22209-2111, USA.
Dhaka. (4 p.)
This leaflet briefly describes categories of industrial
projects – depending on their pollution loads and likely
adverse impacts – for according environmental Bhutan
clearance. The leaflet sets out conditions which
entrepreneurs must fulfil for each category: Green, The National Environmental Protection Act
Amber-A, Amber-B, and Red. established the National Environment Commission to
Contact: Department of Environment, Ministry of Environment and implement EIA in Bhutan under EIA guidelines
Forest, E-16, Agargaon, Sher-e-Banglanagar, Dhaka -1207, produced in 1993. The guidelines instruct that
Bangladesh. projects are entered into the Five Year plan and that
authorisation will take place once funding is secured.
Irrigation Support Project for Asia and the Near The proposal must undergo screening, scoping, report
East (ISPAN) & United States Agency for formulation, review by the National Environment
International Development (USAID) (1992). Commission and post-project monitoring (although
there is no system yet to implement monitoring
Bangladesh Action Plan for Flood Control:
programmes). Sector-based EIA is yet to be developed
Guidelines for Environmental Impact
and strengthening of the system may take place to
Assessment. Irrigation Support Project for Asia
increase environmental awareness and develop codes
and the Near East, Ministry of Irrigation, Water
of practice. Legislation was proposed in 1996 with
Development and Flood Control, Dhaka. (75 p.)
provisions for EIA. The proponent carries out the
These guidelines were compiled for use in ongoing and EIA in consultation with the National Environment
future flood control, drainage and irrigation projects Commission. The 1993 guidelines are being revised
in Bangladesh. The guidelines include a very general and will be replaced by two documents which are
discussion of the impacts of the Bangladesh Flood currently in draft form.
Action Plan (FAP). Subsequent sections address the
role of EIA in planning and project appraisal;
procedural steps in EIA; a general discussion of Royal Government of Bhutan (1993).
people’s participation; and EIA review procedures. The Environmental Impact Assessment Guidelines
document also provides a sectoral checklist of potential for Bhutan. National Environment Commission,
environmental impacts of the Flood Action Plan, and Thimpu. (40 p.)
outlines a suggested table of contents for a typical EIA This report is a comprehensive review of EIA in the
report. The guidelines are designed to accompany the Kingdom of Bhutan. The first part provides
Manual for Environmental Impact Assessment background information on environmental problems
(ISPAN). in Bhutan and the existing environmental policies.
The Paro Resolution, which resulted from a
workshop on Environment and Development in
Irrigation Support Project for Asia and the Near
1990, stressed the importance of EIA. These
East (ISPAN) (1995). Bangladesh Flood Action
guidelines are the first step in integrating EIA in a
Plan: Manual for Environmental Assessment.
systematic manner into the planning and
Ministry of Water Resources, Flood Plan
implementation of development programmmes in
Coordination Organization (FPCO), Dhaka. (xx, Bhutan. The National Environment Commission
98 p.) (NEC) is the body charged with responsibility for
These guidelines replace a version released in March EIA, and the guidelines are intended for use by NEC
1992. They provides specific guidance for flood staff, government departments, the Planning
control, drainage and irrigation planning in Commission Secretariat, consultants, planners and
Bangladesh. It provides a step-by-step practical guide project proponents.
to EIA with 14 chapters covering: EIA initiation, steps
in EIA, impact assessment methodologies, The manual first provides an introduction to EIA, its
environmental management plans, EIA report and purpose, and its application in Bhutan. Subsequent
review process, people’s participation, water resources chapters describe the various steps in the EIA process,
(climate, surface- and ground-water, water quality, form screening through to monitoring and review. An
water transportation), land resources, biological annex sets out the required format for the EIA report.
resources, human resources, maps and mapping, and Contact: National Environment Commission (NEC), PO Box 466,
policy and legislation. There is an extensive Thimphu, Bhutan.
72 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
The Guidelines 73
ASIA/PACIFIC/MIDDLE EAST
been established. The Environmental Impact definition of Action and Limit levels, establishment
Assessment Ordinance No. 9, 1997, provides the of event and action plans, requirements of reviewing
legal basis of EIA in Hong Kong. The Secretary of pollution sources and working procedures required in
Planning, Environment and Lands has overall the event of non-compliance of environmental criteria,
responsibility for the EIA system. The Environmental and requirements for presenting EM&A data and
Protection Department, formed from other appropriate reporting procedures.
government departments in 1986, is responsible for
managing the EIA system and for producing
Hong Kong Government (1997). Technical
procedures, regulations and guidance. Project
proponents must prepare an EIA report if the Memorandum on Environmental Impact
proposal is a designated project (i.e. requires EIA). Assessment Process. Hong Kong Government,
The content of the report must comply with the Hong Kong. (83 p.)
guidelines issued in the Technical Memorandum This technical memorandum was issued under section
provided for under section 16 of the Ordinance, 16 of the Environmental Impact Assessment
approved in June 1997. Provisions for SEA date back Ordinance. It sets out the principles, procedures,
to 1988 but, in practice, SEA has been undertaken in guidelines, requirements and criteria for the EIA
connection with the Territorial Development Strategy process in Hong Kong. There are 12 sections dealing
in 1996. Although Hong Kong recently became the with such matters as the project profile, the EIA study
Special Administrative Region of the People’s brief and report, environmental permits, monitoring
Republic of China, the pre-1997 EIA system is still in and audit requirements, advice from relevant
place. However, since the approval of the 1997 authorities, resolving conflicts, use of previously
Ordinance, many of the earlier guidance documents approved EIA reports, and hazard assessment.
are being updated or are replaced by the Ordinance Twenty-two annexes cover project profiles, contents of
and the Technical Memorandum. EIA reports and environmental monitoring and audit
reports, evaluation criteria and guidelines for assessing
various factors (air quality, noise, water pollution,
Government of Hong Kong (1991). Environmental waste management, ecological aspects, fisheries,
Guidelines for Planning in Hong Kong. landscape and visual impact) and for reviewing an EIA
Environmental Protection Department, Planning report, and relevant authorities for hazard assessment.
Department, Hong Kong. (66 p.) Contact: Environmental Protection Department, Hong Kong
Government, 27/F, Southorn Centre, 130 Hennessy Road, Wanchai,
Hong Kong.
Environmental Protection Department (1993).
Standardized Environmental Impact Sanvicens, G.D.E. (1996). Environmental
Assessment (EIA) Study Brief. Environmental Monitoring and Audit of the Airport Core
Assessment and Planning Group Operation Programme Projects in Hong Kong. Report No.
Manual. Environmental Protection Department, EPD/TR1/96. Assessment and Audit Group,
Planning Department, Hong Kong. (66 p.) Environmental Assessment Division, Environmental
This is currently under revision and a new version is Protection Department, Hong Kong Government,
expected in 1998. Hong Kong. (17 p., plus figures & appendices)
This report presents the environmental monitoring
Hong Kong Government (1996). Generic and audit system, as used in Hong Kong for the
Environmental Monitoring and Audit Manual. airport core programme and other major development
Environmental Protection Department, Hong Kong. projects. It also documents the approach,
(ii, 34 p.) methodology, findings, and case illustrations of an
environmental audit conducted on ten major airport
This manual is intended for use by consultants who
core programme projects constructed since 1992.
are required to prepare an environmental monitoring
and audit (EM&A) manual as part of a project EIA
study report, and to guide the establishment of an
EM&A programme. The document covers the
following environmental aspects, typically important in
India
project construction: air quality, noise, water quality EIAs have been carried out since the late 1970s as a
and waste management. Other sections deal with site requirement of foreign donor agencies. The legal basis
environmental audit, reporting and operation phase for EIA lies under the Notification under the
EM&A. The manual contains duties of the Environment (Protection) Act, 1986, which requires
Environmental Team, information on project certain projects to have environmental clearance from
organisation and programming of construction the Ministry of Environment and Forests. This
activities, requirements for construction schedules, Ministry is responsible for planning, promotion and
74 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
The Guidelines 75
ASIA/PACIFIC/MIDDLE EAST
This document is concerned with river valley and lines, and radar installations. They apply to new
projects, e.g. irrigation, hydropower, multipurpose. It projects and those involving substantial changes to
comprises four sections. The document first reviews existing facilities (e.g. capacity expansion).
the relevance of environmental considerations to river Background is provided on the objectives and
valley projects. It discusses development priorities, processes of EIA, with information on the required
the economics of incorporating environmental structure and content of the environmental impact
considerations, and ecological issues in planning statements and environmental management plans.
development projects. The second section details the The guidelines include general considerations, and
data that should be collected for impact assessment of aspects that need to be considered during site
river valley projects, indicating data sources and those selection, construction, alignment of overhead lines
departments/agencies whose opinions should be together with safety matters. Specific guidelines for
sought and incorporated within the project report. A electrical transmission lines and telephone cables are
questionnaire on ecological aspects of hydro-electric summarised in a separate section. Interaction with
projects is provided as an annex. The third section is a local authorities and the dissemination of
schematic diagram illustrating the impact assessment information to the public are discussed. Finally, a
procedure. The final section presents a case study of questionnaire for environmental appraisal is
the Heran Reservoir (Lalpur Dam) project. provided.
76 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
governments. A proforma for environmental susceptible to species loss; linking two or more
appraisal is given in an annex. protected ecosystems; with aquifers and water
recharge areas of mountain springs; and those with
active geological faults and seismic hazards. The
Government of India (1989). Environmental
parameters are outlined in sections on various
Guidelines for Ports and Harbour Projects. ecosystems: deserts, Himalayas, glaciated areas,
Environmental Impact Appraisal Series; EIAS-4-89 seismic zones, landslide zones, and watersheds. A list
IA-III. Ministry of Environment and Forests, New of some of the ecologically fragile and sensitive areas
Delhi. (42 p.) in India is given in an annex.
These guidelines outline the format and content Contact: Ministry of Environment and Forests, Paryavaran Bhavan,
required for an environmental impact statement and CGO Complex Phase II, Lodi Road, New Delhi 110 003, India.
environmental management plan, and identify the main
impacts of port and harbour projects on physical and Indian Roads Congress (1989). Guidelines for
ecological resources, human use values and quality of Environmental Impact Assessment of Highway
life values. Mitigation measures are discussed for a Projects. Indian Roads Congress, New Delhi.
range of adverse impacts: aquatic, atmospheric, noise, (28 p.)
land and other resources, visual, solid waste
management, accidental, socio-economic and public These guidelines supplement the Indian Roads
health impacts. Some general recommendations for Council’s “Manual for Survey, Investigation and
mitigation measures are included. A detailed Preparation of Roads Projects” (document SP:19).
questionnaire for project environmental appraisal is They set out procedures for EIAs of road projects (new
provided. roads and major improvements to existing roads) to
assist engineers. Section 5 provides formats for
recording baseline data, evaluation of alternatives, and
Government of India (1989). Environmental assessment of the environmental impact of the chosen
Guidelines for Airport Projects. Environmental alternatives. Section 6 outlines an approach to data
Impact Appraisal Series: EIAS-2-89 IA-III. Ministry collection and evaluation for preparing the EIA. Key
of Environment and Forests, New Delhi. (30 p.) elements include a reconnaissance survey/study of
These guidelines apply to new projects and those different road alignments (desk studies and field work)
involving substantial changes to existing facilities. followed by more detailed investigations of the most
Background is provided on the objectives and appropriate route. The issues that need to be covered
processes of EIA, with information on the required in investigations are discussed in respect of existing
structure and content of the environmental impact roads, roads in hilly areas, pollution control (in
statements and environmental management plans. general), air pollution, and pollution during
Guidance is provided on the identification of construction operations. Measures for mitigating
environmental effects commonly associated with adverse impacts are considered, particularly soil
airport projects: impacts on physical resources (soil erosion and land degradation in hilly areas, for which
and geology, water demand and waste water discharge, a checklist of points is included.
Contact: Indian Roads Congress (IRC), Jamnagar House, Shahjahan
air quality, and noise); ecological impacts associated
Road, New Delhi 110 011, India.
with site development, and facility operation; and
socio-economic impacts. Measures for mitigation are
also discussed. A brief summary is given of a possible Inland Waterways Authority of India (1994).
environmental management and monitoring Guidelines on Environmental Issues Related to
programme is given, and a questionnaire for Inland Water Transport. Netherlands Ministry of
environmental appraisal is included. Foreign Affairs, The Hague & Inland Waterways
Authority of India, New Delhi. (44 p., annexes)
Government of India (1990). Parameters for Contact: Ministry of Foreign Affairs, PO Box 20061, 2500 EB The
Hague, The Netherlands.
Determining Ecological Fragility. Ministry of
Environment and Forests, New Delhi. (29 p.)
The parameters set out in this report are to assist in Singh, H. & Duraisamy, A. & Subramaniam, U. & De,
the identification of specific areas in different regions D. (1994). Handbook of Environmental
of India which could be categorised as ecologically Procedures and Guidelines. Ministry of
fragile or sensitive. They aim to help in ensuring that Environment and Forests, New Delhi. (98 p.)
they are not subjected to environmentally
The introduction outlines the federal legislative
unacceptable activities. Some fragile or sensitive
measures for EIA in India and the responsibilities of
ecosystems are listed. They include ecosystems: with
government bodies at national, State and Union
unique properties; with intrinsically low resilience;
Territory levels. Part I is concerned with
with high species richness and biological diversity;
The Guidelines 77
ASIA/PACIFIC/MIDDLE EAST
environmental clearance, by the Ministry of Berwick, S., Soewardi, B., Pertanian, D., USAID &
Environment and Forests, of 29 different identified Winrock International (1987). Guidelines for
polluting or degrading development activities, Applying the Environmental Impact
through the EIA Notification procedure introduced in Assessment Process to Resource Development
1994. Sections describe those projects which require in Indonesia. Department of Agriculture, Jakarta,
clearance, required documentation, the Indonesia. (192 p., annexes)
environmental appraisal procedure, the issue of a
clearance/rejection letter, and post-project
This document is intended for use by all Offices within
monitoring. Part II focuses on the prevention and
the Department of Agriculture (DOA) and other
control of pollution and provides explanatory notes
agencies, contractors and consultants participating in
for pollution control legislation. Sections deal with
the EIA process of the DOA as well as project
hazardous wastes and micro-organisms, public
proponents outside the DOA including the private
liability and fiscal incentives to control/prevent
sector and donor agencies. It describes the regulatory
pollution. Part III discusses the conservation of
structure within which the guidelines are set and
natural resources, particularly forest lands and
provides methods for planning, management and
coastal zones. Flow charts illustrate various
analysis related to the EIA process. Although the
procedures described in the guidelines. A series of
guidelines have been prepared for projects encountered
annexes cover: EIA notification; industries requiring
by the DOA, the approach depends upon an
licensing; siting guidelines for industries; questionnaire
interdisciplinary project evaluation early in the EIA
for industrial projects; list of State Pollution control
process. Such an approach may well transcend sectoral
Boards/Committees; publications; polluting industries;
ministries.
city populations exceeding 1 million; and coastal
Contact: Bureau of Planning, Department of Agriculture, Jl Harsona
regulation zone notification. RM No 3 Ragunan, Jakarta Selatan, Indonesia.
Contact: Ministry of Environment and Forests, Paryavaran Bhavan,
CGO Complex Phase II, Lodi Road, New Delhi 110 003, India.
Environmental Assessment Management Agency
(BAPEDAL) (undated). Panduan Evaluasi
Dokumen Andal (Guidelines for evaluating EIS
Indonesia documents) Environmental Assessment
Indonesia has developed a comprehensive EIA process Management Agency, Jakarta. (14 p.)
referred to as “AMDAL” (Analisis Mnegenai Dampak
Lingkungan) which is applied to both public and
private projects. AMDAL began in 1986 under the Environmental Assessment Management Agency
Regulation PP29/1986 and by Ministerial Directives (BAPEDAL) (1991). Panduan Pelingkupan Untuk
from the State Minister for Population and Penysunan Kerangka Acuan Andal (Scoping
Environment in 1987. Several shortcomings of Guidelines). Environmental Assessment
AMDAL forced revisions in 1993 and PP51/1993 Management Agency, Jakarta. (19 p.)
moved responsibility of AMDAL to sectoral agencies
and streamlined the process. Each central-level sectoral
authority has to have an AMDAL commission. The Environmental Assessment Management Agency
Ministry of the Environment and the Environmental (BAPEDAL) (1992). A Guide to Environmental
Impact Management Agency (Badan Pengendalian Assessment in Indonesia (Penuntun Analisis
Dampak Lingkungan- BAPEDAL) have overall Mengenai Lingkungan de Indonesia).
responsibility for AMDAL. Proponents must submit Environmental Assessment Management Agency,
their terms of reference for the EIA study (Kernangka Environmental Management Development in
Acuan), the EIS itself (Analisis Menganai Dampak Indonesia (EMDI), Jakarta. (22 p.) Also available in
Lingkungan), an Environmental Management Plan Indonesian.
(Rencana Pengelolaan Lingkungan) and This guide is intended to assist project proponents,
Environmental Monitoring plan (Rencana consultants and the public in their understanding of
Pemantauan Lingkungan). Subsequent formal the AMDAL process (AMDAL - Analysis Mengenai
guidelines were issued by the Ministry of the Dampak Lingkungan, or Analysis of Environmental
Environment in 1994 as Kep-10/MENLH/311994 to Impacts) - an integrated review process established in
Kep-15/MENLH/311994 and Keputsan Kepala Kep- 1986 to coordinate the planning and review of
056/1994. New regulations in 1996 (KEP-39/ proposed development activities, particularly their
MENLH/8/1996) stipulate the types of businesses or ecological, socio-economic and cultural components.
activities that require EIA as part of the screening The AMDAL process has been coordinated since 1990
stage. The regulations also provide for monitoring and by the Environmental Impact Management Agency
public participation at the EIA Study preparation and (BAPEDAL). Projects underway before 1987, but not
review stages.
78 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
by then subject to an EIA, were dealt with under a This official announcement sets out guidance for the
parallel process, SEMDAL, which ended in 1992. Environmental Management Effort (UKL) and an
Environmental Monitoring Effort (UPL) required for
The guide sets out the responsibilities of BAPEDAL for any plan for a business or activity which has no
AMDAL, the goal of the process, and the EA significant impact and/or whose significant impact can
documents/reports required. It describes AMDAL be technologically managed. The UKL and UPL are not
procedures with the aid of a flow chart. Established part of an EIA (AMDAL) in Indonesia and, therefore,
environmental standards and those under not assessed by the AMDAL Commission. The
development are indicated and information on the guidance discusses the function and objective of both
provision of permits and licences is given. AMDAL UKL and UPL, their scope and what they cover.
training courses are also listed. Appendices provide
definitions of AMDAL documents, describe
Government of Indonesia (1994). General
government agency responsibilities, and list available
AMDAL guidelines. Guidelines for the Preparation of
Environmental Impact Assessment. Decree No.
KEP-42/MENLH/31/94. Minister of State for
Government of Indonesia (1994). The Guidance on Environment, Jakarta.
the Extent of Significant Impact. Decision of the
Chairman of the Environmental Impact
Management Board No: KEP-056 of 1994, Government of Indonesia (1994). The
March 1994. CAFI No. 65/4-6-1994 and CAFI 71 Establishment of the Commission for
18-6-1994. Government of Indonesia, Jakarta. Integrated Environmental Impact Assessment.
(8 p.) Decree of the State Minister of Environment
These two consecutive official announcements define No. KEP-15/MENLH/3/1994. March 19. CAFI 70/
what is meant as ‘significant impact’ and the factors 16-6-1994. Environmental Assessment
determining it, explain the use of this guidance in Management Agency (BAPEDAL), Jakarta. (5 p.)
decision-making about planned businesses and This official Decree establishes the composition
activities, and describe background assumptions. (officers, permanent and non-permanent members) of
Issues such as numbers of people affected, spread, the Commission for Integrated Environmental
duration and intensity of impact, secondary impacts, Assessment, and describes the responsibilities of the
cumulative effects, and reversibility/non-reversibility of Commission in drawing up technical guidance,
impacts are discussed. appraising EIAs and environmental management
plans, and helping decision-making regarding these.
Government of Indonesia (1994). General
Guidance for Drawing up the Analysis of Government of Indonesia (1996). The Types of
Impact on the Environment. Decree of the Businesses or Activities Which Shall, By Way
State Minister for Environment No.: KEP-14/ of Obligation, Be Completed with an Analysis
MENLH/1994, March 19. CAFI 86/23-7-1994 (14 on Environmental Impacts. Decree of the State
p.), CAFI 88/28-7-1994 (16 p.), CAFI 90/2-8-1994 Minister of Environmental Affairs No. KEP-39/
(16p.), Government of Indonesia, Jakarta, MENLH/8/1996, August 26. BN.5959/5960/15-1-
Indonesia. (14 p., 16 p., 16 p.) 1997. Government of Indonesia, Jakarta. (9 p.)
These three consecutive official announcements This official Decree defines which businesses and
provide a framework for EIA in Indonesia. Four activities require an EIA, including those directly
attachments provide general guidance for: drawing up bordering on or which might affect protected areas.
a (technical) frame of reference for EIA (Ka-Andal);
EIA report structure and content; environmental
Government of Indonesia (1996). Technical
management plans (RKL), and environmental
monitoring plans (RPL). Guidance for Definition of the Social Aspects
for Drawing up the Analysis of Impact on the
Environment (AMDAL). Decision No.KEP-299 of
Government of Indonesia (1994). General 1996. Environmental Assessment Management
Guidance for Environmental Management and Agency (BAPEDAL), Jakarta.
Monitoring Efforts. Decree of the State Contact: Environmental Assessment Management Agency (BAPEDAL),
Minister of Environment No.: KEP-12/MENLH/ Gedung Arthaloka Lantai 11, Jl. Jendral Sudirman 2, Jakarta,
3/1994, March 19, 1994. CAFI 63/31-5-1994. Indonesia.
Environmental Assessment Management Agency
(BAPEDAL), Jakarta. (7 p.)
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80 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
Indonesia and may be useful to other organisations Contact: Environment Agency EIA Division, Environment Agency, 1-2-2
Kasumigaseki, Chiyoda-ku, Tokyo 100, Japan
seeking to establish EA systems.
Contact: EMDI Project, School for Resource & Environmental Studies,
Dalhousie University, 1312 Robie Street, Halifax, N.S. Canada, B3H
3E2, & EMDI Project, Kantor Menteri Negara Kependudukan dan
Lingkungan Hidup, J1 Medan Merdan Merdeka Barat 15, Jakarta
10110, Indonesia.
Jordan
Article 15 of the Environmental Protection Act, 1995,
provides for the preparation of national EIA
procedures and guidelines, but this has yet to be done.
Israel There is no specific EIA law, and no generally
applicable guidelines. A draft Operation Directive for
Environmental Impact Statements have been used in
EIA in the Aqaba region was prepared in 1995 by the
Israel since the mid 1970s to take environmental effects
Aqaba Region Authority.
into account in decision-making. The Environmental
Contact: EIA Unit and Implementation of Ramsar Convention, General
Protection Service was created in 1973 and one of its Cooperation for Environmental Protection, PO Box 1408, Amman
responsibilities was to develop an EIA system. EIA was 11941, Jordan
legislated under the Planning and Building Regulations
(Environmental Impact Statements), 1982 and EIA
Regulations 1993. The Ministry of the Environment is
responsible for the EIA system and the system is Kazakhstan
delivered by planning authorities at the national,
Prior to 1991, the laws providing for State Ecological
district, and local levels. Under these regulations,
Expertise (SEE- based upon Russian Law,
screening lists are used but the planning authorities are
ekologicheskaya ekspertiza, and also known as State
flexible and allow for the discretionary request for EIA
Environmental Review) was under Soviet control
to be carried out by the proponent. The “Licensing of
(under the Law of Environmental Protection). In 1991,
Business” law allows environmental data to be
Kazak law further defined it for use in the new
included in business licenses. The preparation of EIA
republic. SER is mandatory for all projects and some
documents must be in accordance with guidelines from
development plans. Projects on the screening list (very
the Environmental Advisor (the Director of the
similar to the one of the Espoo convention) must be
Ministry of the Environment), issued by the local
subjected to an OVOS (Assessment of Environmental
planning authority. Review of the EIS is carried out by
Impacts) procedure regulated by the Soviet OVOS
the local planning authority with the Ministry.
Guidelines of 1990 (amended in 1992). SEE is a
Contact: Ministry of the Environment, Planning Division, PO Box
34022, Jerusalem 95464, State of Israel
procedure which combines (a) decision-making
(issuing a mandatory SEE Resolution, and an
integrated environmental permit), (b) environmental
assessment (i.e. assessing environmental acceptability
Japan of the proposed development, particularly its
compliance with environmental norms and standards),
Administrative guidance (with voluntary status) were and (c) quality control of environmental assessment
issued in 1984 and stipulated that EIA procedures conducted by the developer (i.e. OVOS) . A draft Law
should be undertaken for large-scale national on Environmental Protection, 1997, includes chapters
developments. Impact assessments were subsequently on EIA and SEE. The Law of the Republic of
carried out under the Public Water Reclamation Law Kazakstan on Environmental Review, 1997, makes
and following sectoral guidelines from the Ministry of SEE mandatory for all proposals including new
Trade and Industry. EIA was also carried out under legislation and regulations and for all national,
both local and sector-level systems. The proponent is territorial and sectoral projects. The EIA system starts
usually responsible for EIS preparation and usually with baseline studies and submission of a draft OVOS.
submit sit to the Prefectural Governor. The system was The Ministry of Ecology and Bioresources has overall
managed by the Environment Agency, established in responsibility for SEE and ensuring that OVOS is
1971. The Basic Environmental Law of 1993 carried out. The actual execution of OVOS is the
supported the use of EIA and envisaged future responsibility of the proponent. To apply for SEE, an
legislation to elaborate the system. In March 1997, a EIA (OVOS) must be carried out and culminate in
Bill was submitted to the “National Diet” on the production of a “Statement on Environmental
Environmental Impact Assessment Law. The Bill Consequences”. Provision is made under the 1997
proposed EIA procedures including screening (using Law for Public participation at the SEE stage.
thresholds) and public participation during scoping
and report preparation. The Bill was passed in June
1997 and will become law in 1999 to finally give Republic of Kazakhstan (1993). Temporary
mandatory status to EIA in Japan. Instruction on Procedure for EIA of Planned
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Lao PDR
Kuwait There are no formal EIA procedures, but increasingly
The legislative and institutional background for a it is recognised that the capacity to effectively assess
general environmental protection system exists, but the environmental implications of development is an
there is no specific EIA legislation. Law 62/1980 allows important part of environmental management. To
the Environmental Protection Council to require an date, decisions on whether or not to require EIA of
environmental study at the project level. new projects have been taken on a case-by-case basis
by each ministry. EIAs have been conducted for
82 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
selected major development. The Science, Technology 1996, the Environmental Quality (Amendment) Act
and Environment Organisation (STENO) has prepared increased the penalty for non-compliance and issued
a new Environmental Law which was to be submitted provisions for request for environmental audit reports.
to the National Assembly in February 1998. Once the Sixteen sets of sectoral guidelines have been produced.
new law is enacted, it is planned to develop new
guidelines and methodologies. The Department of
Government of Malaysia (1987). A Handbook of
Geology and Mining in the Ministry of Industry and
Handicrafts has developed draft guidelines for EIA of Environmental Impact Assessment Guidelines.
mining proposals. This process will involve the initial (3rd ed.) Department of the Environment, Kuala
screening of all proposals and mandatory EIA for Lumpur. (116 p.)
major projects. But these guidelines will be submitted Malaysia’s EIA policy is derived from a government
for approval only after a new Decree on Mining has initiative which was outlined in Chapter XI of the
been adopted by the National Assembly. Third Malaysia Plan 1976-1980. These guidelines are
Contact: Science, Technology and Environment Office (STENO), PO drawn from the Fifth Malaysia Plan 1980-1986. The
Box 2279, Vientiane, Lao Peoples Democratic Republic handbook first outlines the relevant legislation (the
Environmental Control Act of 1985) and gives a
Vroegop, J. (1994). Guidelines for Reducing the general introduction to EIA. Chapter Two is a guide to
Environmental Effects of Road Projects in Lao procedural steps for preliminary assessment in
People’s Democratic Republic. Report Ref: Malaysia. The text uses set matrices which the
93807G2. Government of Lao Peoples Democratic developer must follow during the initial stages of the
assessment. Public participation is discussed, and an
Republic, World Bank (13 p., appendices)
outline of a preliminary report is included. Chapter
These guidelines were prepared as part of World Bank Three discusses the procedural steps for a detailed
environmental input into the Louang Namtha assessment. Terms of reference, methodologies, data
Provincial Development Project in the north of Lao. collection, public participation, and mandatory
They comprise three sections: introduction; environmental standards are all covered. The review
environmental procedures (screening, institutional process is presented in Chapter Four, while Chapters
aspects, staffing and technical assistance); and Five and Six provide guidelines to preparing
environmental effects and mitigation measures. preliminary and final assessment reports.
Additional information on the latter is provided in
appendices together with sample environmental clauses
for contract documents. Government of Malaysia (1992). Environmental
Contact: The World Bank, (ENVLW), 1818 H Street NW, Washington Impact Assessment (EIA) Procedure and
D.C. 20433, USA. Requirements in Malaysia. Department of
Environment, Kuala Lumpur. (28 p.)
This document describes the EIA procedure in
Malaysia. It discusses preliminary and detailed
Malaysia assessment and review of EIA reports, indicates the
EIA was undertaken on a voluntary basis under approving authorities for particular types of project,
administrative procedures from 1979-1985 until describes the organisational structure for the EIA
amendments to the 1974 Environment Quality Act process in Malaysia, and provides a classification of
awarded the procedures mandatory status in 1988 projects and relates this to the timing of submission of
(Environmental Quality (prescribed Activities) EIA reports. Activities subject to EIA are set out in
(Environmental Impact Assessment) Order 1987). The checklists. Appendices provide extracts concerning EIA
main features of the Malaysian system include the from the Environmental Quality Act 1974, and
preliminary assessment of impacts followed by detailed addresses for offices of the Department of
assessment of significant residual impacts. Review is Environment. This document was revised in 1994.
the responsibility of the Department of the
Environment for preliminary assessments and ad-hoc
review of detailed assessment reports by a Review Government of Malaysia (1992). Notification
Panel. Recommendations are passed to the competent Specifying Procedures, Rules, Methods and
authority (either a Federal- or State-government body, Guidelines for the Preparation of
depending on the type of project) for the approval of Environmental Impact Assessment Reports.
the project. In 1993, implementation of EIA was Ministry of Science, Technology and Environment,
decentralised to five State offices of the Department of Kuala Lumpur. (4 p.)
Environment in order to better integrate EIA into the A formal ministerial notification under the
decision-making process. Following capacity-building Enhancement and Conservation of National
in all States, decentralisation was completed in 1995. In Environmental Quality Act setting out additional steps
The Guidelines 83
ASIA/PACIFIC/MIDDLE EAST
to be taken in order to file EIA reports for a range of environment information. Detailed EIA may be
project types and activities. requested after such initial EIA documents have been
evaluated. Monitoring is a local government agency
responsibility. Review must be carried out internally
Government of Malaysia (1994;1995). EIA
by the proponent and also by the Ministry. The
Guidelines Series. Department of the proponent must only use licensed (to the Ministry)
Environment, Ministry of Science Technology and organisations to assist in the EIA process.
Environment, Kuala Lumpur, Kuala Lumpur.
This is a series of guidelines covering the following
sectors: Government of Mongolia (1994). Environmental
Coastal Resort Development Projects EG5/94, Impact Assessment Guidance for Mongolia.
Petrochemical Industries EG6/94, Ministry of Environment, Ulaanbaatar.
Industrial Estate Development EG7/94, Contact: Ministry for Nature and Environment, Government Building
Golf Course Development EG8/94, No.3, Baga Toiruu-44, Ulaanbaatar, Mongolia.
84 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
proposed projects, and provide for the monitoring of Government of Nepal (1994). Environmental
impacts. Environment Protection Rules (EPR) issued Impact Assessment Guidelines for the Road
under the Environment Conservation Act, 1997 also Sector. Prepared under the National
set out schedules of project types for which a project Conservation Strategy Implementation Project.
proposer must undertake either a preliminary National Planning Commission, Ministry of Works
environmental test or an evaluation of the and Transport, & The World Conservation Union
environmental impact of the proposal. These Rules (IUCN ), Kathmandu. (v, 34 p.,- 5 annexes)
oblige proponents to: make public the contents of a
These guidelines, derived from two road sector
proposal twice to enable comments and suggestions
workshops, contain 13 chapters covering:
by different stakeholders; include all relevant
introduction; screening of project proposals; initial
environmental issues in the scoping report before
environmental examination; scoping for EIA; terms of
submission for approval; and make the draft EIA
reference for EIA studies; EIA report; identification of
report public before its finalisation. They also give
significant environmental impacts (including methods),
formal procedures for submitting EIA reports; and
mitigation measures; review of draft EIA report; impact
describe the approval process. EIA has been integrated
monitoring; EIA evaluation; impact auditing; and
into other legislation: the Water Resource Act 1992
public involvement. Annexes provide additional
(Section 8), the Electricity Act 1992 (Section 4), the
information on: project cycle; screening process;
Forestry Act (1994) and the Agriculture Act (1996).
sensitive areas; and IEE report format. A glossary of
terms is included.
National Planning Commission (1993). National
Impact Assessment Guidelines. National
Government of Nepal (1995). Environmental
Planning Commission, & The World Conservation
Impact Assessment Guidelines for the Forestry
Union (IUCN), Kathmandu. (vi, 31p.)
Sector. Prepared under the National
These guidelines replace the 1992 guidelines of the Conservation Strategy Implementation
same name. They are intended for use by project Project. National Planning Commission. Ministry
proponents, government officials, consultants, project of Forestry, National Planning Commission, & The
implementors and the general public. They outline the World Conservation Union (IUCN), Kathmandu. (x,
steps of the EIA process from screening to monitoring 23 p.)
and evaluation, and also include a section on
environmental impact auditing which addresses These guidelines aim to facilitate the sustainable use of
community participation. A number of schedules detail forest resources for socioeconomic development and
the projects requiring EIA, set out terms of reference, for meeting basic needs of communities for forest
and describe the EIA report format. products; to make proposals socially and culturally
acceptable, economically feasible and environmentally
benign; and to facilitate the identification of positive
Government of Nepal (1994). Environmental and negative impacts of programmes implemented in
Impact Assessment Guidelines for the Water forest areas. The guidelines run though the various
Resources Sector (Power and Irrigation) stages of the EIA process from screening to monitoring
Prepared under the National Conservation and evaluation. They also consider development
Strategy Implementation Project. National proposals that do not originate from the forestry
Planning Commission, Ministry of Water sector but which affect forest areas.
Resources, & The World Conservation Union
(IUCN), Kathmandu. ((vii, 82 p., 21 annexes) Government of Nepal (1995). Environmental
The first part comprises 11 chapters describing the EIA Impact Assessment Guidelines for the Water
process in Nepal, covering: water resources sector and Supply Sector. Prepared under the National
the environment, environmental impact and Conservation Strategy Implementation
management requirements, screening criteria and initial Project. National Planning Commission,
environmental examination, scoping, terms of Department of Water Supply and Sewerage, &
reference and EIA report format, identification of The World Conservation Union (IUCN ),
environmental impacts, mitigation methods, review of Kathmandu. (vii, 37 p.)
EIA reports (draft), impact monitoring and evaluation,
environmental impact auditing, and references. The The introduction to these guidelines provides
second part contains 21 annexes covering, for background information on water supply projects and
example: project cycle, EA process, terms of reference, the environment, environmental policies in Nepal and
methodological examples for particular (actual and EIA in Nepal. There are 13 chapters covering: EIA
hypothetical) projects, checklist of impacts, standards, guidelines for the water supply sector; proposal
etc. screening; IEE; scoping; terms of reference; EIA report;
impact identification, prediction and comparison;
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ASIA/PACIFIC/MIDDLE EAST
impact mitigation measures; review of EIA report; identification, prediction and comparison of
environmental monitoring; EIA evaluation; environmental impacts; impact mitigation measures;
environmental impact auditing; and community review of EIA report; environmental monitoring; EIA
participation. Schedules are included which provide evaluation; environmental impact auditing; and
formats for terms of reference and for an EIA report community participation. Schedules are included which
and annexes. provide a checklist for environmental examination of
potential landfill sites; formats for IEE report, terms of
reference, EIA report and annexes; routes to exposure
Government of Nepal (1995). Environmental
to hazards caused by uncontrolled dumping; overall
Impact Assessment Guidelines for the Industry EIA process and screening procedure for sanitary
Sector. Prepared under the National landfills.
Conservation Strategy Implementation
Project. National Planning Commission, Ministry
Government of Nepal (1996). Environmental
of Industry, & The World Conservation Union
Impact Assessment Guidelines for Human
(IUCN), Kathmandu. (vii, 34 p., 6 annexes) Settlement and Urban Development Sector.
This document has an introduction on the economy First Draft. Department of Housing and Urban
and the environment and existing industries, and 13 Development, National Planning Commission, &
short chapters covering: definitions; objectives; The World Conservation Union (IUCN),
screening; scoping; terms of reference; EIA report; Kathmandu. (33p., annex)
identification of impacts - types of impact, methods
(checklist, matrix, network), impact prediction and This document comprises 13 chapters covering:
ranking; mitigation; review of draft EIA report; impact introduction; overview of human settlement and urban
monitoring; evaluation of impact studies; auditing; and development sector in Nepal; environmental problems
community participation. There are 6 annexes: due to human settlement development process;
industries requiring permission; projects requiring EIA; screening process and criteria; IEE; scoping for EIA;
environmentally sensitive areas; format of IEE report; terms of reference for EIA; EIA report; identification of
format of terms of reference and of EIA report. impacts; mitigation measures; review of draft EIA
report; environmental impact evaluation and
monitoring; and community participation. Annexes list
Government of Nepal (1995). Environmental human settlement and urban development activities
Impact Assessment Guidelines for the Mining requiring an IEE or a full EIA, and provide a checklist
Sector. Department of Mines and Geology, of environmental problems due to such activities.
Ministry of Industry, National Planning Contact: Environment Section, Ministry of Industry, Singha Durbar,
Kathmandu, Nepal
Commission, & The World Conservation Union
(IUCN), Kathmandu. (v, 37p., 7 annexes)
This document is the outcome of intensive and Khadka, R.B.(ed.) (1996). EIA Training Manual
extensive inter-sectoral and multi-disciplinary for Professionals and Managers. Asian Regional
workshop discussions. It comprises 11 chapters Environmental Assessment Programme, The World
covering: introduction; screening; IEE; scoping; terms Conservation Union (IUCN), Kathmandu. (xii, 187
of reference for EIA; EIA report; impact identification p.) ISBN 92-9144-016-7
and prediction; impact mitigation measures; EIA report This training manual builds on experience in EA in
review; monitoring and evaluation; and community Nepal and particularly on a range of sectoral EA
participation. Seven annexes provide additional guidelines, and draws from many published and
information on: classification for industry locations; unpublished works. In effect, it represents generic EA
screening categories for mines (based on commodities guidelines for professionals and administrators in that
and daily output); mineral classifications – based on country. However, the manual will also be useful to a
type, and value; environmental parameters checklist for much wider audience. The document is well presented
mining and mineral processing projects; and a glossary. in simple language and presents organisational
structures and technical aspects; key skills and
Government of Nepal (1996). Environmental knowledge; cultural factors; and social, political and
Impact Assessment Guidelines for Sanitary industrial parameters, reflecting the realities in the
Landfill Sites. National Planning Commission, country and region. There are 15 chapters which
Ministry of Local Government, & The World loosely follow the project cycle. The first five are of a
Conservation Union (IUCN), Kathmandu. (vi, 44p.) background nature and cover: introduction; EIA
This document provides EIA guidelines for municipal principles and process; the project cycle and project
sanitary landfill sites and comprises 12 chapters management; screening and initial environmental
covering: site selection; proposal screening and IEE; examination; and scoping and preparation of terms
scoping for EIA; terms of reference; EIA report; of reference. The next four chapters deal with
86 The Guidelines
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88 The Guidelines
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impacts and mitigation measures, and management EIA, the legal requirement for EIA in Pakistan, a
and monitoring. A checklist of environmental perspective on the Pakistan energy sector and the
parameters for major roads is provided in an sensitivity of Pakistan’s environment to disturbance
appendix. by development projects.
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ASIA/PACIFIC/MIDDLE EAST
organisation, the Environmental Management Bureau institutionalise EHIA into the existing EIA process. It
reviews EISs and issues the ECCs. starts by reviewing the EIA system in the Philippines,
and then sets a general framework and guidelines for
EHIA. Within this framework, it sets out guidelines for
Department of Environment and Natural Resources
EHIA of proposed development projects, and also
(1997). Procedural Manual (Environmental provides guidance for the assessment of existing
Impact Statement System). Draft. Department environmental situations with a potential health
of Environment and Natural Resources, Manila. (v, impact, and the assessment of the development of
128 p., 19 annexes) environmental policies and programmes. These areas
Whilst still a draft (February 1997), this manual is are not currently covered by the EIA system.
now officially in use. It aims to provide a reference for Contact: Environmental Health Service, Department of Health, San
EIA practitioners and others in the implementation of Lazaro Compound, Rizal Avenue, Sta. Cruz, Manila, Philippines.
the revised EIS system, and details the required steps
and procedures. The emphasis is more on processes
than on technical aspects of EIA. The document is
presented in 12 chapters. Chapter 1 introduces the Qatar
Philippine EIS system, whilst its scope is dealt with in The Draft Law for the Protection of the Environment
Chapter 2 - covering environmentally critical projects contains several provisions to deliver an EIA system.
(ECPs) and others located in environmentally critical Article 5(2) will require that any proposal with
areas (ECAs), environmental compliance certificates potential negative impacts be subjected to an EIA.
(ECCs), project screening, etc. Chapter 3 is concerned Articles 21-23 will require an EIA study be taken into
with eligible preparers of an EIS and IEE, particularly account during decision-making for granting licences.
qualification and accreditation procedures. Preparing The Draft Policy for Environmental Impact Assessment
an EIS for ECPs, and initial environmental 1997 states that the proponent must contact the
examination (IEE) of projects in ECAs, are discussed in Environment Department initially and screening
Chapters 4 and 5, respectively. Chapter 6 sets out the consultations will follow. Review and evaluation of the
requirements for public participation and consultation, EIA report (written by the proponent) will be
conflict resolution, and determining social acceptability undertaken by a multi-disciplinary expert committee
of projects, even at the IEE stage. Environmental from the Environment Department.
compliance monitoring is the subject of Chapter 7,
whilst environmental monitoring funds (to cover the
activities of multi-partite monitoring teams) and Qatar Environment Department (1997).
environmental guarantee funds (for rehabilitation, Environmental Impact Assessment: Policy and
compensation, funding community projects, and clean Procedure. Environment Department, Doha. (16
up) are covered in Chapter 8. p.)
This document sets out the draft policy for EIA in
The remaining chapters are concerned with Qatar (1997), provides some definitions of terms, and
administrative appeals; roles and responsibilities; fees describes the formal EIA procedures. Schedule I gives
and additional costs for IEE/EIS processing and review; the composition of the expert committee which
and fines, penalties and sanctions. There are 19 examines EIA reports whilst Schedule II lists specific
annexes comprising official forms, a scoping matrix, projects requiring an EIA report in order to obtain
screening and review criteria, an official circular on clearance. An application form for initial
ECPs and ECAs, and categories of protected areas. environmental authorisation is also included.
The document is supported by various tables and Contact: Environment Department, Doha, Qatar.
figures.
Contact: Environmental Management Bureau, Department of
Environment and Natural Resources, 3rd Floor Topaz Building, 99-101
Kamias Road, Quezon City, Philippines 1102.
Saudi Arabia
The Meteorology and Environmental Protection
Environmental Health Service (1997). Philippine
Administration has drafted a guideline/directive for
National Framework and Guidelines for environmental assessments and this is awaiting
Environmental Health Impact Assessment. ministerial approval (July 1998).
Environmental Health Service, Department of
Health, Manila. (xi, 56 p.) ISBN 971 91620 0 7
This document discusses the inadequacies in the
environmental health impact assessment (EHIA) Singapore
component of the current environmental impact
Requirements for EIA were introduced in the 1970s
assessment process in the Philippines, and how to
under pollution control legislation (Clean Air Act
90 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
1971, Water Pollution Control and Drainage Act Developers. Environment and Conservation
1975), and has been undertaken formally since 1989. Division, Ministry of Forestry, Environment and
Industrial developers must carry out pollution impact Conservation, Honaria. (15 p.)
and quantitative risk assessments to support their These guidelines provide a background to EIA in the
applications. A Code of Practice on pollution control Solomon Islands context, and consider the
provides advice on submission requirements. Whilst responsibilities of the various interested parties. The
there is no specific legislation concerning EIA, steps in the EIA process are then described.
individual government departments have ad-hoc in- Contact: Environment and Conservation Division, Ministry of Forestry,
house arrangements for assessment. The “Green Environment and Conservation, PO Box G24, Honiara, Solomon
Plan”, 1992, and the Singapore report to the UNCED, Islands.
1992, both recommend the use of EIA. The current
EIA planning system allows for EIA to be required for
major developments when considered necessary. There
are no provisions for public participation. Sri Lanka
The National Environment Act No 47, 1980, provides
Government of Singapore (1993). Environmental the legal and institutional basis for the environmental
Audit Handbook. Ministry of the Environment, protection system in Sri Lanka. This Act established
the Central Environment Agency which has legal
National Council on the Environment, Singapore.
responsibility to enforce screening procedures and to
(66 p.)
manage and monitor the EIA system. Amendments
were introduced by Act No. 56, 1988, which required
Government of Singapore (undated). Code of (under section 23Z) EIA to be applied to “prescribed
Practice on Pollution Control. Ministry of the projects” determined by the “Minister in charge of the
Environment, Singapore. (62pp) subject of Environment” (Gazette Extra-ordinary No
772/22 1993) and the EIA process to be implemented
This Code of Practice is used instead of EIA guidelines. by “project approving Agencies (PAAs)”. Regulations
It provides guidelines to architects, professional have been passed and procedures are co-ordinated
engineers, developers and the public on pollution through the EIA-PAA Inter-Agency Committee. The
control requirements for the submission of PAAs decide on the terms of reference for the EIA
development proposals and building plans. The study and must obtain information from the
document contains guidance on environmental proponent before deciding if an initial environmental
planning and building plan requirements; and evaluation or a full EIA is required. Detailed guidelines
application for permissions, licences and permits. have been prepared by the Central Environmental
There are numerous useful appendices, e.g. toxic Authority to assist the PAAs which, in turn, must
industrial wastes, allowable limits for trade effluent develop their own guidance and criteria based upon
discharge, storage of hazardous substances, emission the national and donor agency guidelines. Guidelines
standards for air pollutants. were published in 1995 to assist scoping. The Coastal
Contact: Ministry of Environment, 40 Scotts Road, Singapore 0922.
Conservation Act No. 57, 1981, and the Fauna and
Flora (amendment) Act No. 49, 1993, also contain
provisions for EIA. The Coastal Management Plan
(revised in 1996) supplements the EIA procedures
Solomon Islands contained in the Coastal Conservation Act.
Legislation has been proposed to introduce an EIA
system in the Solomon Islands. This system will include
screening and scoping by consultation, requirements Central Environmental Authority (1995). A Guide
for a draft Public Environmental Report (EIS), review for Implementing the EIA Process. No.1: A
by the consenting authority and the Environment General Guide for Project Approving Agencies.
Conservation Division (in the Ministry of Natural (second) Central Environmental Authority,
Resources). Procedures will also be established for Colombo. (57 p.)
the monitoring of impacts after project completion. At the time these guidelines were revised, 18 state
The ”consent authorities” can be any national/ agencies had been specified as Project Approving
provincial government agency with consent Agencies (PAA) by the Ministry of Environment
responsibility. under the National Environment Act of 1980. These
guidelines define the responsibilities of the PAAs
under the broad framework of the Act. Procedures
Environment and Conservation Division (1996).
are described for compliance with EIA regulations.
Solomon Islands Environmental Impact Further sections cover the commenting process,
Assessment Guidelines for Planners and implementing the decision, and terminology.
The Guidelines 91
ASIA/PACIFIC/MIDDLE EAST
Appendices include guidance on preparing terms of in the National Environmental Act (NEA); those not
reference for initial environmental examination, a so prescribed but likely to have significant impacts;
content and format for EIA reports, a range of official and categorical exclusions (CE) - those expected to
forms concerned with the EIA process, a schedule of have no significant adverse environmental impacts.
projects and undertakings requiring Environment Section 3 contains a broad overview of the probable
Ministry approval, regulations governing project impacts of the activities discussed in Section 2, and
approval, and project approving agencies. the mitigation measures available. Section 4 gives an
overview of the purpose, and guidance on the
preparation and submission of, documents to the
Central Environmental Authority (1995). Guidance
project approving agency (preliminary information,
for Implementing the Environmental Impact initial environmental examination, and EIA report).
Assessment (EIA) Process. No.2: A General A general framework for the evaluation of
Guide for Conducting Environmental Scoping. environmental impacts is presented in Section 5, to
Central Environmental Authority, Ministry of assist decision-makers and project proponents
Transport, Environment and Women’s Affairs, compare alternative projects proposals. Section 6 is
Colombo. (33 pp) concerned with monitoring the mitigation of
The EIA system in Sri Lanka is introduced and the environmental impacts. There are three appendices
procedure for conducting an initial environmental providing: references, format and contents of EIA
examination and EIA is described. The role of scoping report cover sheet, and gazetted project approving
is defined and procedures for its conduct laid out in agencies.
detail. Sections cover the role and format of both
formal and informal scoping meetings. For formal This document is the first in a series of environmental
meetings, there are sub-sections on identifying affected guidelines to be published by the Central Environment
or concerned institutions and individuals, working Authority for various sectors. Other manuals due to
with the press and public information groups, be published shortly include the Mining and Mineral
provision of materials, defining the affected Industrial Sector Manuals, Energy Manual, Irrigation
environment, recommendation of issues to be Manual and Fisheries/Aquaculture Manual. It is
investigated in an EIA, identification of possible project thought that manuals will follow for Agriculture,
alternatives, and EIA content. For informal meetings, Tourism and Industry, plus administrative manuals/
the issues covered include: preparing for interviews and guidelines for EIA Methodologies, Social Impact
field investigations, collation and analysis of Assessment and Public Participation.
information, pitfalls, and follow-up. Annex I provides Contact: Natural Resources Management, Central Environmental
a schedule of projects and undertakings for which Authority, Parisara Mawatha, Maligawatte New Town, Colombo 10,
Sri Lanka.
Environment Ministry approval is required. Annex II
lists project approving agencies whilst Annex III defines
terminology. World Conservation Union (IUCN) (1993). Manual
on Environmental Assessment for Sustainable
Forest Development. Environmental
Central Environmental Authority (1997).
Management in Forestry Development: A
Environmental Guidelines for Road and Rail
Project of the Forest Department in the
Development in Sri Lanka. Central
Ministry of Lands, Irrigation and Mahaweli
Environmental Authority, Colombo. (ix, 56 p.,
Development, Sri Lanka. IUCN-The World
appendices)
Conservation Union, Gland. (65 p.)
This document is the first in a new series to be
This manual was prepared for the United Nations
published by the Central Environmental Authority for
Food and Agriculture Programme as part of the
various sectors. Others in preparation cover: mining
Environmental Management in Forestry Development
and minerals, energy, irrigation and fisheries/
Project - a project of the Forestry Department,
aquaculture.
Ministry of Lands, Irrigation and Mahaweli
Development, Sri Lanka. It sets out guidelines for
These guidelines are for the use of project proponents
environmental impact assessment applicable to natural
and approving agencies and other parties participating
forests and forest plantations in Sri Lanka. Part I
in the development of road and rail projects.
describes the legal and administrative framework for
Guidance is provided on documenting and assessing
EIA in Sri Lanka and introduces the process of
environmental impacts, and on avoiding and
environmental assessment. Part II examines the ways in
mitigating significant adverse impacts. Section 1
which this might affect work within the forest sector. It
provides an overview of the policies and regulations
introduces procedures to be adopted in the Forest
governing road and railway development. Section 2
Department to deal with the formal requirements of
groups projects into three categories: those prescribed
EIA, and to ensure that environmental considerations
92 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
are taken into account at all levels - in the coordination, monitoring and follow-up. The bulk of
formulation of policy, in planning and in field this document comprises the six appendices. These
operations. include: a permit application form, draft EIA Decree,
Contact: IUCN-The World Conservation Union, Forest Conservation addresses of useful institutes, the legal and policy
Programmme, Rue Mauverney 28, CH 1196 Gland, Switzerland. framework (existing and under preparation),
prediction rate of the fate of pollution after discharge,
and possible evaluation criteria for acceptable levels of
impact.
Surinam
There is no EIA legislation or procedures. Donor
DHV Consultants BV & Alfa Group (1995).
agencies may request EIA as a precondition for
Establishment of an Environmental Impact
funding.
Assessment Unit (Syria): Procedures and
Organisation. Report to Ministry of State for
the Environment and General Commission for
Syrian Arab Republic Environmental Affairs, Syria. Syrian Arab
Republic, Damascus. (23 p., appendix)
A draft Environmental Protection Act and draft EIA
Section 1 sets out administrative procedures for the
Decree both awaiting consideration by the People’s
Syrian central EIA Unit, whilst section 2 details
Assembly. The draft legislation includes: provisions to
organisation arrangements. The information is much
use screening lists similar to EC Directive 85/337/EEC;
the same (but with some minor modifications) as that
scoping by the proponent; review of EIA documents by
given in the “General Environmental Impact
the Commission; and public participation and
Assessment Guideline” ( DHV, March 1995). In
consultation at the screening, scoping and review
addition, internal office guidelines of the EIA Unit are
stages. The draft Act also provides for the SEA of
set out concerning such matters as the management of
plans and programmes. Responsibility for carrying out
EIAs, environmental auditing and permit revision,
an EIA study will lie with the proponent. The EIA Unit
monitoring and enforcement, decentralised EIA Units,
in the General Commission for Environmental Affairs
pilot EIAs, and information flow. An appendix
within the Ministry of State for the Environment has
summarises achievements of the Unit in 1994 and the
responsibility for implementing the EIA system
action plan for 1995, and includes environmental
(including evaluation of the EIA reports) and for
policies for the Syrian General Commission for
producing guidelines. The EIA system is integrated
Environmental Affairs.
with other licensing procedures and the approval/
Contact: Ministry of State for the Environment, Damascus, Syrian
refusal of the proposal is carried out by the licensing Arab Republic.
authority, taking into account the recommendations
from the EIA Unit. The EIA Unit is currently
decentralising to the seven water basins and will exist
as “Decentralised Environmental Directorates”. Eight Taiwan
sector-based Operational Manuals are in preparation.
The Environmental Impact Assessment Act, 1994,
introduced EIA to Taiwan. Article 4 (2) summarises the
DHV Consultants BV & Alfa Group (1995). process which includes prediction, analyses and
Establishment of an Environmental Impact evaluation procedures. The process involves phase I
Assessment Unit (Syria): General (preliminary report) and phase II (detailed EIA report),
Environmental Impact Assessment Guideline, review of documents and post-project monitoring.
including Draft EIA Decree. Report to Ministry Implementation Rules for the 1994 Act have been
of State for the Environment and General published to allow the system to take place effectively.
Commission for Environmental Affairs, Syria. EIA reports are reviewed by the EIA Review
Syrian Arab Republic, Damascus. (28 p., 6 Committees. Public participation is recommended to
appendices) take place at several stages starting early in the whole
process. The Environmental Protection
The introduction defines EIA, its purpose and nature.
Administration of Taiwan (TEPA), under the
Administrative procedures are described in chapter 2
Executive Yuan at central government level, has
covering: permits, screening, scoping, EIA report,
overall responsible for the process. The
review, decision statement, appeal, monitoring,
Environmental Protection Department of the
enforcement, modification of permit conditions and
provincial governments or the appropriate county/
environmental auditing, transboundary issues and test
city government handle EIA at these levels. Each level
period. Chapter 3 deals with organisational issues and
establishes an EIA Review Committee for the purpose
the role of the central EIA Unit, other involved agencies
of reviewing EIA reports.
and stakeholders, and the system of communication,
The Guidelines 93
ASIA/PACIFIC/MIDDLE EAST
94 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
The Guidelines 95
ASIA/PACIFIC/MIDDLE EAST
system. The Environmental Technology and EIA report when applying for an investment licence, and
Appraisal Division of NEA deals with the set out the required contents of a report on
development of guidelines and procedures. The NEA influential environmental factors and the EIA report,
appraises the EIS and also is involved in producing
guidelines for foreign investment projects. Large Thirdly, MOSTE guidance No. 1420/QD-MTg
development projects must submit an EIS to the provides Instruction for Guiding Environmental
NEA. It is planned that full review procedures and Impact Assessment to the Operating Units. It
monitoring arrangements will be strengthened in the discusses the classification of operating units (i.e.
future. Sectoral guidelines (cement manufacturing types of development), and describes requirements
and mining operations, thermal power and power for the quality and appraisal of EIA reports.
transmission lines, highway and road projects, and Appendices set out a required inventory of (polluting)
industrial park development projects) were prepared activities that impact the environment (in terms of
with assistance from the Asian Development Bank in proportion), and give the required content for an EIA
1996, and await government approval to be used as report.
national guidelines. Guidelines for seven other sectors
currently are being prepared with support from the Fourthly, MOSTE guidance 1807/QD-MTg sets out
Canadian government (those for hydroelectric are Regulations and Organization of the Appraisal
almost complete, work has begun on those for Council on EIA: Report and Issuing of Environmental
textiles). Licence.
Contact: National Environment Agency, Hanoi, Socialist Republic of
Vietnam.
Vietnamese National Environment Agency (1995).
Documents of Setting up a Report on
Environmental Impact Assessment: Guidelines Yemen
for the Direct Foreign Investment Project. The Environmental Protection Law 26/1995 (Articles
Vietnamese National Environment Agency, Hanoi. 35-42) is the statutory basis for EIA in Yemen.
(66 p.) Between 1990 and 1995, 24 other laws and decrees
This booklet is an English translation of several were approved or amended to contain provisions
government documents. Firstly, Government Decree relating to EIA. An EIA Policy document was drafted
(No. 175/CP) on Providing Guidance for the in 1996. The Environmental Protection Council
Implementation of the Law on Environmental (EPC) is responsible for implementing screening
Protection. Chapters cover: general provisions; procedures, assisting in scoping, evaluation and
responsibility of organizations and individuals for approval of the EIS. The “competent agencies” that
environmental protection; assessment of give permits are co-operating agencies in EIA and, in
environmental impact; preventing, resisting and this way, EIA is integrated into other existing consent
overcoming environmental deterioration, pollution procedures. The “Licensing Agency” gives the final
and incidents; financial sources for environmental permission for the proposal. Regulations to
protection; inspection of environmental protection; implement the laws are still in draft. The Yemen EIA
and provisions for implementation. Appendices set process features the requirement for a preliminary
out the required contents of preliminary and detailed report, report review, use of guidelines from the EPC
EIA reports, and of EIA reports to operating units or others to determine the terms of reference, EIS
(i.e. offices and/or organisations responsible for a preparation and review, and post-project monitoring.
particular development). Other appendices list the The proponent has responsibility to undertake the
type of operating enterprises dealt with by the EIA, but the report may be prepared by the
Ministry of Science, Technology and Environment proponent or the competent authority or both. The
(MOSTE), and those by its branch offices; list development of sectoral guidelines is planned for the
‘precious’ (important) forest plants and animals; and near future.
give emission, vibration and noise standards for
vehicles.
Euroconsult in association with BMB and IHE,
Arnhem (1996). Environmental Impact
Secondly, MOSTE guidance No. 715/QD-MTg
Assessment Policy for the Republic of Yemen.
concerns “Setting Up and Appraising the Report of
Doc. No. EPC/96/089. Report to the
Environmental Impact Assessment to the Direct
Foreign Investment Project”. The main elements Environment Protection Council, Republic of
covered are the implementation stages (application Yemen. Republic of Yemen, Sana’a & DGIS, Ministry
for an investment licence, design and construction; of Foreign Affairs, The Hague. (50 p., 3 annexes)
and construction completion) and the appraisal This report presents the EIA policy of the Yemen,
process. Appendices list projects not listed for an EIA formulated by the Environmental Protection Council
96 The Guidelines
ASIA/PACIFIC/MIDDLE EAST
The Guidelines 97
AUSTRALASIA
Australasia
98 The Guidelines
AUSTRALASIA
set out in the 1992 Australian Strategy for Ecologically released). Finally the issue of costs in following best
Sustainable Development. practice environmental management is considered.
The Guidelines 99
AUSTRALASIA
environmental manual, operational and emergency Government of New Zealand (1992). Scoping of
procedures, responsibilities and reporting structure, Environmental Effects. Resource Management.
training, environmental impact and compliance audits, Ministry for the Environment, Wellington. (31 p.)
and emission performance monitoring. Appendix 2 This guide is intended to assist those parties who will
discusses published environmental management need to carry out environmental evaluations of their
systems and certification. Appendix 3 includes a proposals as part of the consent process under the
summary guide and work sheets. Resource Management Act 1991. It discusses
Contact: Office of the Supervising Scientist, Environment Protection
Group, Environment Australia, PO Box E 305, Kingston ACT 2604,
environmental impact assessment methods for use by
Australia. those involved in environmental decision making. It
discusses scoping, which focuses on the identification
of issues and strategies for dealing with issues. It
Environment Australia (1997). Commonwealth contains information about methods of public
EIA: An Outline of the Commonwealth EIA consultation used in scoping, and about ways of
Process. Environment Australia, Canberra. (10 p.) dealing with difficult scientific issues in both the
This leaflet outlines the Commonwealth environmental scoping and later stages of assessment.
assessment process in the context of the Environmental
Protection (impact of proposals) Act 1974 and The guide also discusses the steps of conflict resolution
includes a flow chart of the process. and impact assessment that usually follow scoping in
Contact: Environment Assessment Branch, Environment Protection
the form of negotiation practices and public review
Group, Environment Australia, 40 Blackall Street, Barton ACT 2600, processes. Finally, brief reference is made to the
Australia documentation required to support the different stages
of assessment.
and reforms; standards, guidelines and codes of and interested members of the public. The guide is
practice; and examples of environmental and health intended to be a source of ideas to be considered in
effects. relation to particular situations, rather than as a set of
Contact: Public Health Commission, PO Box 5013, 133 Molesworth rigidly-defined procedures. The main emphasis of the
Street, Wellington, New Zealand. guide is on adaptive approaches to EIA. Part I
provides background information on the theory and
Government of New Zealand (1995). Risk concepts of EIA, while Part II goes on to consider the
Assessment: A “User Friendly” Guide. Public practical aspects of EIA including a case study,
Health Commission, Ministry of Health, bibliography and annexes detailing information
Wellington. (22 p.) sources, EIA techniques and, finally, a classification
This guide is the second in a series relating to health of New Zealand EIAs.
impact assessment (HIA) and is complementary to the Contact: Environmental Policy and Management Research Centre,
Guide to Health Impact Assessment (PHC 1995). It University of Otago, PO Box 56, Dunedin, New Zealand.
This checklist was developed as a method for reviewing procedure - prior to 1994, it was necessary to submit
environmental information submitted by developers to several applications to various authorities. The
the competent authorities as part of an EIA procedure. requirements of the 1994 Act go beyond the minimum
Its purpose is to assist reviewers in evaluating the requirements of the EC Directive 85/337/EEC. The
completeness and suitability of this information from a extra provisions include scoping procedures, expert
technical and decision-making standpoint. The review review, additional public participation stages and post-
criteria are organised in eight review areas, within project monitoring. The “Environmental Impact
which are questions that identify the items of Expertise” is a summary of the EIS designed to cover
information which may need to be provided by the the impacts in an overall and comprehensive manner.
developer to the competent authority. The Ministry of the Environment is responsible at the
Contact: Office for Official Publications of the European Communities, national policy level while the Federal Environment
L-2985 Luxembourg Sustainable Development and Natural Resources Agency holds records of EISs and monitoring data and
Unit, Directorate General for Development, European Commission,
Rue de la Loi 200, B-1049, Brussels, Belgium. directs the process. An “Ombudsman for the
Environment” has been appointed to settle disputes
and handle complaints. There is no explicit
Kristoffersen, H. & Tesli, A. (Eds) (1996). requirement for strategic environmental assessment
Environmental Impact Assessment in the but, in practice, there is increasing consideration of
Baltic Countries and Poland: Screening and environmental issues in plans and programmes.
Quality Control. Report from a Nordic-Baltic- Compliance with the Act is mandatory. Formal
Polish cooperation project. Nord Environment, requirements for SEA are being planned. Other
Copenhagen. (17 p.) ISBN 92 9120 862 0 ISSN planned changes include extending the coverage of EIA
0903 7004 to more projects and bilateral agreements to implement
Contact: Nordic Council of Ministers, Store Strandstraede 18, DK- the ECE Convention on Transboundary Impacts.
1255 Copenhagen K, Denmark.
Austria Belarus
Prior to 1994, formal provisions for EIA were
The Soviet system of SER introduced in 1989 was in
contained within Austrian sectoral administrative laws
place in Belarus until superceded by national
and applied only to projects specified in Annex I of the
legislation: the Law on Environmental Protection
EC Directive 85/337/EEC. EIA became mandatory
(1992) and the Law on State Ecological Expertise
through the Federal Act on Environmental Impact
(1993). The provisions of the latter were further
Assessment and Public Participation (Environmental
refined in 1995 by the Ministry of Environment in the
Impact Assessment Act, Federal Law Gazette No. 697/
Instruction on the Order of Conducting State
1993), 1994. The Act also introduced a single licensing
Ecological Expertise. SER (State Environmental Review
provides for expert review (by experts registered with environmental technology, and outlining the Program
the Ministry of the Environment ), public participation, of Environmental Care). Chapter 5 lists international
consideration of transboundary impacts (the country agreements to which the country is a signatory.
is a signatory to the ECE Espoo Convention) and SEA Chapter 6 gives basic information on the structure of
of developmental concepts, programmes and territorial the European Community environmental policy and
plans. EIA is not fully integrated into the planning standards, and the final chapter provides information
system and monitoring can only be required through on contributors to the handbook.
the planning consent system. Contact: Trizonia Publishing House, Archaeologicka 2256, 155 00,
Prague 5 - Luziny, Czech Republic.
Ministry of Environment and Energy (1995). Ministry of Environment and Energy (1996).
Environmental Impact Assessment in Vejledning om tilvejebringelse af
Denmark. Ministry of Environment and Energy, regionplantillæg med VVM for svine – og
Copenhagen. (16 p.) fjerkræfarme (Guide on Provision of Regional
This brochure sets out the rules for EIA in Denmark Plan Addendums with Environmental
which were established by three separate ministerial Assessment for Pig and Poultry Farms. Ministry
orders issued in September 1994. The rules cover only of Environment and Energy, Copenhagen. (27 p.,
projects likely to affect the environment significantly. appendices)
EIA procedures follow the provisions of the Planning This guide (available only in Danish) provides specific
Act (as amended in 1994) on supplements to regional guidelines for EIA for pig and poultry farms.
plans, and the regional authorities. The document Contact: Spatial Planning Department, Ministry of Environment and
briefly describes the benefits of EIA to developers and Energy, Højbro Plads 4, DK 1200 Copenhagen K, Denmark.
the public. It then outlines types of projects definitely
requiring an EIA, and others (new projects only) which
may require an EIA if they fail to fulfil all of a set of
five criteria. Annexes provide lists of projects falling Estonia
into these categories. Other sections discuss the A government regulation on Environmental Impact
preparation of an EIS and public consultation. Assessment, 1992, established the framework and
principles for carrying out EIA. This was strengthened
Ministry of Environment and Energy (1995). by a regulation issued by the Minister of the
Strategic Environmental Assessment of Bills Environment in 1994 specifying those projects
requiring EIA and providing guidance to proponents
and Other Government Proposals. Examples
on the content of environmental statements. Draft
and Experience. Ministry of Environment and
legislation on EIA is under preparation. The current
Energy, Copenhagen. (38 p., annexes)
Estonian EIA system uses licensed experts (registered
This document aims to facilitate environmental with the Ministry of the Environment), three screening
assessment for Danish government ministries following lists (two lists of state projects and one of regional
the issue by the Prime Minister’s Office ( Jan 1993) of projects). Plans, programmes and policies are all
an Administrative Order regarding Bills and other subject to EIA at state and regional levels, and
government proposals, requiring the preparation of a compliance is mandatory. For State proposals, the
statement on their environmental consequences if they Ministry of the Environment is responsible for
are likely to have significant environmental effects. The ensuring that the EIA is carried out. Regional
first two sections of the document give guidance on proposals are the responsibility of the regional
strategic environmental assessment (SEA), introducing environmental authorities. These regional centres
the concept and describing the ideal content and initiate the EIA process and carry out the study at the
features of an SEA process. Section 3 provides expense of the proponent. The proposed legislation
examples and experience related to SEA of Danish will transfer the responsibility for carrying out EIA to
government Bills/proposals from the 1993/94 session the developer.
of Parliament. There are three annexes: a checklist for
determning the need for SEA of a government Bill/
proposal; an outline of Denmark’s most important Ecological Studies Institute Estonia (1993).
national action plans that target improving the Environmental Assessment Legislation and
environment; and a bibliography of useful readings. Policy in Central and Eastern Europe: Republic
An index is also provided. of Estonia. European Bank for Reconstruction and
Development, London.
Contact: European Bank for Reconstruction and Development (EBRD),
Ministry of Environment and Energy (1996). 1 Exchange Square, London EC2A 2EH, UK.
Vejledning om Planloven (Guide to the Act of
Physical Planning) Ministry of Environment and
Energy, Copenhagen. (224 p., appendices) Ministry of Environment & The World Bank (1995).
This guide (available only in Danish) contains all
Environmental Impact Assessment: Manual for
guidelines concerning the Planning Act (1992, Estonian Banks. Ministry for the Environment,
amended 1994) which sets out the provisions for EIA Tallin. (30 p.)
in Denmark. Also available on the internet. Contact: Estonian Ministry for Environment, Tallinn, Estonia.
of the process while the Ministry of the Environment Table) Ministère de l’Environnment, Ministère de la
takes overall responsibility for the system delivered by Recherche et de l’Industrie, Paris. (48 p.)
the local authorities. EIA in France is likely to change
in accordance with the implementation of the EC
Directive 97/11/EC which will introduce scoping, Government of France (1982). Étude d’Impact des
improve public participation and consultation, and Aménagement de Cours d’Eau (Impact
there is also likely to be an increased emphasis on EIA Assessment of Diverting Water Courses).
training. Ministère de l’Environnement, Ministère de la
Recherche et de l’Industrie, Paris. (103 p.)
Government of France (1980). Guide pour
l’Élaboration des Études d’Impact sur Government of France (1983). Étude d’Impact
l’Environnment del Lotissements (Guidelines sur l’Environnement Carrière de Roches
for the Conduct of an Environmental Impact Massives Hors Nappe (Impact Assessment of
Assessment of Housing Sites) Ministère de Quarries Above the Water Table) Ministère de
l’Environnement, Neuilly. (56 p.) l’Environnment, Ministère de la Recherche et de
l’Industrie, Paris, France. (36 p.)
Government of France (1980). Étude d’Impact
sur l’Environnement Carrière de Roches Government of France (1983). Aspects
Massives a Flanc de Coteau, (Impact Radiologiques à Prendre en Compte dans les
Assessment of Hillside Quarries) Ministère de Études d’Impact d’Ouverture de Travaux
l’Environnement, Ministère de la Recherche et de Miniers pour l’Uranium (Radiation Factors in
l’Industrie, Paris. (29 p.) the Impact Studies of Uranium Mining Works)
Ministère de l’Industrie et de la Recherche,
Ministère de l’Environnement, Paris, France.
Government of France (1980). Étude d’Impact
(29 p.)
sur l’Environnement Carrière de Roches
Massives en Fosse (Impact Assessment for
Deep Quarries) Ministère de l’Environnement, Government of France (1984). Étude d’Impact
Ministère de la Recherche et de l’Industrie, Paris. pour l’Ouverture de Travaux d’Éxploitation de
(30 p.) Gisements d’Hydrocarbures en Mer (Impact
Assessment for Drilling of Hydrocarbon
Government of France (1980). Études d’Impact Deposits at Sea) Ministère de l’Environnement,
des Stations d’Épuration Urbaines: Odeurs et Ministère du Redéploiement Industriel et du
Bruits (Impact Assessment for Urban Commerce Exterieur, Paris. (40 p.)
Sanitation Stations: Smells and Noise)
Ministère de l’Environnement, Paris. (70 p.)
Government of France (1985). Étude d’Impact
pour l’Ouverture de Travaux d’Exploitation de
Government of France (1980). Étude d’Impact Gisements d’Hydrocarbures à Terre (Impact
des Stations d’Épuration Urbaines: 1: Assessment for Drilling of Terrestrial
Méthodologie (Impact Assessment for Urban Hydrocarbon Deposits) Ministère de
Sanitation Stations: 1: Methodology), Paris. l’Environnement, Ministère du Redéploiement
(61 p.) Industriel et du Commerce Exterieur, Paris. (81 p.)
Government of France (1982). Étude d’Impact Government of France (1988). Étude d’Impact
sur l’Environnement Carrière de Roches des Ports de Plaisance (Impact Assessment for
Alluvionnaires Hors Nappe, (Impact Marinas) Ministère de l’Environnement, Paris.
Assessment of Gravel Pits Above the Water (112 p.)
Government of France (1989). Étude d’Impact resources in Georgia, an also activities required for
sur l’Environnement des Installations major reconstruction and technological renovation of
Hydrauliques de Production d’Électricité existing enterprises.
(Environmental Impact Assessment for
Hydroelectric Plants) Ministère de Government of Georgia (1996). Law of Georgia
l’Environnement, Paris. (83 p.) on Environmental Permit. Ministry of
Environment, Tbilisi.
Government of France (1990). Guide pour A law on EIA and draft guidelines are being prepared.
l’Élaboration de l’Étude d’Impact sur In the meantime, the Law on Environmental Permit
l’Environnement d’une Décharge Contrôlee provides the legal foundation for the participation of
(Guidance for Environmental Impact the public and for public information in the course of
Assessment of a Controlled Discharge) the issuance of an environmental permit for the
Ministère de l’Environnement, Paris. (50 p.) performance of an activity in Georgia, in the process of
state ecological examination and EIA in the issuance of
Contact: Ministry of Environment, 20 Avenue de Segue, 75302 Paris 7
SP, France.
a permit and in decision-making on the issuance of a
permit.
Contact: Department of Environmental Permit and State Ecological
Expertise, Ministry of Environment, Paliashvili Stereet 87, 380062,
Tbilisi, Georgia.
Georgia
After independence in 1992, the Republic of Georgia
passed the Temporary Order for “State Ecological
Expertise” (SEE), but did not grant it legal status. The Germany
aim of SEE is to account for the likely environmental EIA was made mandatory in 1990 by the
effects at the decision-making stage in order to secure Environmental Impact Assessment Act ,1990, which
ecological equilibrium, rational use of resources and to implemented EC Directive 85/337/EEC. Some
ensure sustainable development. The requirement for individual States (Landers) have implemented the 1990
SEE of a proposal is noted in the 1992 Order (SEE law; others have used statutory ordinances to deal with
takes place after the project design is decided upon). project EIA. The 1990 Act was followed by other
The State Ecological Expertise Boards at local, regional legislation and amendments relating to land-use
and national level are responsible for overall planning, mining and emissions in order to integrate
management and for carrying out the SEE process EIA into other consent procedures. Responsibility for
although it is financed by the developer. The SEE the EIA process for a project is under the jurisdiction
system requires that initial design features (including of the relevant authority with responsibility for the
environmental information) be submitted to the Board approval of that specific project. The proponent must
of Ecological Expertise at the Ministry of submit information to this authority. The process
Environmental Protection. SEE then involves the involves the use of screening lists to determine if EIA is
identification of impacts and project review followed necessary by means of threshold values, followed by
by a pre-decision made by the Ministry of the non-mandatory scoping prior to report preparation.
Environment. The final approval is manifested as an The contents of the report are laid down in Section 6
“ecological passport”. There is no requirement for of the federal EIA Act and in individual State
monitoring. A draft Environmental Protection Law legislation. Reports are reviewed through an internal
proposes an EIA system similar to the western style process carried out by the authority responsible for the
(approved in 1996). proposal, while there is provision for public
participation at the scoping and review stages. A new
planning act entered into force in January 1998 (Bau-
Government of Georgia (1996). Law of Georgia
und Raumordnungsgesetz). The changes to the EIA
on State Environmental Assessment. Ministry
system will take account of the EC Directive 97/11/EC.
of Environment, Tbilisi.
The use of SEA is still being debated.
A law on EIA and draft guidelines are being prepared.
In the meantime, the Law on State Environmental Federal guidelines cover the screening and scoping
Assessment regulates EA to be carried out in the course stages and there are technical guidelines relating to the
of decision-making on the issue of environmental various development sectors. In addition the German
licences for the bodies performing business, industrial EIA Association (UVP-Gesellschaft e.V.) has produced
and other types of activities, drafting and development a number of guidelines (two have been published, the
of plans, projects for exploitation and use of waters, rest are in draft form). Several States have also
forests, mineral wealth, land and other natural published guidelines (e.g. Northrhine-Westfalia,
Government of Iceland (1993). Law and Department of the Environment (1988). Notes for
Regulations on Environmental Impact Road Authorities on the European
Assessment in Iceland: Law No.63/1993 on Communities (Environmental Impact
Environmental Impact Assessment, Law No. Assessment) (Motorways) Department of the
100/1993 amending Law No.63/1993, Environment, Dublin. (4 p.)
Regulations on Environmental Impact Contact: Road Policy Section, Department of the Environment,
Assessment. Government of Iceland, Reykjavik. O’Connell Bridge House, Dublin 2, Ireland.
(18 p.)
Department of the Environment (1990).
Hreggviösdóttir, H., Þoroddsson, Þ.F., Implementation of EC Directive 85/337/EEC on
Theodörsdóttir, A.H. & Jónsdóttir, S. (1995). Environmental Impact Assessment – Planning
Leiöbeiningar viö mat á umhverfisáhrifum Applications and Appeals. Stationery Office,
Dublin. (50 p.)
(Guidelines for EIA) Skipulag rískisns (National
Physical Planning Agency), Reykjavík. Contact: Stationery Office, Dublin, Ireland.
established a national EIA framework which could be Seglins, V. (undated). Investors Guidelines for
adopted and implemented at the regional level - a Performing Environmental Due Diligence in
system similar to that in the EC Directive. The Latvia. Ministry of Finance, World Bank, Riga.
Decree has been supplemented by regional EIA laws (28 p.)
in eight regions. Compliance is mandatory. Future The goal of environmental due diligence is to identify
changes to the Italian EIA system are likely to and assess the environmental consequences of
include: a focus on training demands; regional law economic activity, to determine the environmental
changes to account for the EC Directive 97/11/EC situation in a particular area, and to develop proposals
and the draft SEA directive. The Ministry of the to improve environmental quality. In Latvia, this is a
Environment has overall responsible for the process, necessary requirement prior to the financing or
but the evaluation of the EIS is carried out by the EIA realisation of any economic activity. These guidelines
Commission. The proponent supplies the EIS. explain the mandatory minimum requirements an
investor must fulfill, and the EIA process conducted by
Colombo, G.C. (ed) & Malcevschi, S. (ed) (1996/97). regional and/or national environmental authorities.
Guidelines of Environmental Indicators for EIA. Contact: Technical Unit, Ministry of Finance, Smilsu Str.1/4, Riga,
Latvia LV 1050.
1. Indicators for Water; 2. Indicators for
Vegetation and Flora; 3. Indicators for
Ecosystems; 4. Indicators for Agricultural and
Forest Systems. Association of Environmental Lithuania
Analysts (AAA), Federation of Scientific and
Technical Associations (FAST), Italian EIA Centre, The Lithuanian Ministry of Environmental Protection
Milan. (4 volumes) assumed legal responsibility for EIA under the 1996
EIA law. Before that, the Soviet system of SEE (State
Contact: Italian EIA Centre, c/o Fast, P.le Morandi, 2 - 20121 Milan,
Italy.
Ecological Expertise) was in use.
Contact: Environmental Protection Ministry, A.Juozapaviciaus 9, 2600
Vilnius, Republic of Lithuania
Latvia
In Latvia, EIA is called “Ecological Expertise”. It was Luxembourg
formally introduced following independence under the The EIA system in Luxembourg was established in
Law on State Environmental Impact Assessments 1990 under a law concerning the control of
(LSEIA), 1990, which develops further the former dangerous, dirty and noxious installations, known as
Soviet “State Ecological Expertise” system. The process the “commodo” procedure. The EC Directive 85/337/
is integrated with the environmental and construction EEC was implemented by the Grand-Ducal Regulation
consent scheme. EIA involves a preliminary stage of 4 March 1994. Other regulations integrate EIA
similar to scoping, a principal stage (preparation of the practice into consents for projects in “green zones”
EIA report or “Technical/Economic Calculations” by and road projects. The Ministry of the Environment
the proponent) and decision-making by the relevant has overall responsibility for the EIA system but the
authority. There are two tiers of control. The EIA of proponent is responsible for carrying out the process
projects of regional importance is managed by the itself, assisted by a licensed expert. The Grand-Ducal
Regional Environmental Protection Committee. EIA of Regulation of 31 October 1995 determines the content
national level developments are managed by the of the EIS and makes EIA mandatory for road projects
Ministry of Environmental Protection and the (a preliminary EIA or a “notice d’impact” is required).
Regional Development’s State EIA board. There is Screening is carried out using lists, criteria and case-by-
provision for public participation after the EIA case consideration of the proposal. Review of the EIA
documentation is prepared. The Latvian National report takes place internally. There is provision for the
Environmental Policy Plan was approved in 1995. A monitoring of impacts. Future changes are likely to
draft law on EIA based upon the EC Directive 85/337/ take place through EIA training, development of
EEC should come into force in mid-1998. The system monitoring programmes and the treatment of
is being set up by Ministry of Environmental cumulative effects in EIA.
Protection with the Ministry of Environment, in Contact: Ministry of Environment, L-2918 Luxembourg, Grand Duchy
collaboration with the with the Finnish Environmental of Luxembourg
Institute. The new EIA law will also establish an EIA
institution for licensed experts to carry out EIAs. At
present, the proponent initiates the EIA process and
experts at the EIA board perform the State assessment.
foundation called the ‘Commission for EIA’) advises code 6186/112. Ministry of Housing, Spatial
the competent authority on terms of references for the Planning and the Environment, Ministry of
EIS and reviews its quality after the EIS has been Agriculture, Nature Management and Fisheries,
prepared. EIA was made mandatory by the The Hague. (39 p.)
Environmental Management Act, 1987. Provisions for Contact: Distributiecentrum VROM, P.O. Box 351, 2700 AJ Zoetermeer,
the application of EIA are laid down in the Starting Netherlands.
Note Regulation (Staatscourant 229 of 29 November
1993) and the EIA Decree (last modification:
Staatsblad 540 of 26 July 1994). No major changes Government of the Netherlands ( 1994). Besluiten
are envisaged or planned. Currently research is voor een leefbaar Nederland: Handleiding
underway to understand how to further improve the m.e.r. (General Manual on EIA in The
effectiveness of the EIA process in Dutch project and Netherlands) Koninklijke Vermande b.v. Lelystad,
strategic decision-making. Except for the above The Hague. ISBN 90-5458-155-7
mentioned provisions, no national or general ‘formal’
guidelines for the preparation of individual
environmental impact statements have been issued. For Government of the Netherlands (1995).
each individual plan or project, specific guidelines are Handleiding Evaluatie M.E.R.
prepared by the competent authority on the basis of afvalstortplaatsen (Manual on the
public comments and mandatory advice from an environmental evaluation of land fills) VROM
independent expert committee. In addition to these 95182/h/4/-95; distribution code 6191/112.
guidelines, many technical guidance manuals exist that Ministry of Housing, Spatial Planning and the
may be helpful in the preparation of environmental Environment, Delft.
impact statements.
Government of the Netherlands (1997). GIS voor figures, There are six appendices: tools for SEAn,
planstudies - Handreiking voor het (laten) environmental monitoring (guidelines, tools, list of
toepassen van GIS in trajectstudie en indicators), checklist for environmental context
milieueffectrapportage (Manual for the analysis, proposed table of contents of a SEA report,
application of geographic information systems criteria for evaluation on environmental issues, and
in infrastructure EIA) MDGISMER-9707. Ministry list of references.
of Transport and Water, Delft. Contact: AIDEnvironment, Donker Curtiusstraat 7 - 523, 1051 JL
Amsterdam, The Netherlands.
Contact: Ministerie van Verkeer en Waterstaat, Rijkswaterstaat
Meetkundige Dienst, Delft, The Netherlands.
to EIA experts and auditors. The Romanian EIA lists the scope of activities subject to such review and
system is based upon the structure of EC Directive 85/ projects requiring EIA, describes documentation and
337/EEC. The Environment Protection Strategy was reports required and the issues to be covered, discusses
approved in 1996. provisions for public participation, and covers
environmental audit requirements.
environmental authorities. Proponents initiate the National Council of the Slovak Republic Act No.
EIA process when applying for an environmental 127/1994 on Environmental Impact Assessment
permit from the Environment Authority, and a
Groidlova A. et al., 1996, published 1997.
building permit from the Planning Authority.
Methodological Guidelines to the National
Council of the Slovak Republic Act No. 127/
1994: Environmental Impact Assessment of
Slovak Republic Railways
1994: A Proposal of the Criteria for the of EIA in the Slovak Republic with Examples of
Reviewing of the Quality of EIA Documentation Recommended Methods and Approaches.
Tomasovic J. et al., 1997, publication due 1998. Contact: SVET, Plynarenska 6, PO Box 179, 830 00 Bratislava III, Slovak
Republic
Methodological Guidelines to the National
Council of the Slovak Republic Act No. 127/
1994: Noise and Vibration
Slovenia
The following are not generally available to the public
Article 55 of the Slovenian Environmental Protection
but are used internally by the Ministry of
Act No. 32, 1993 states that “EIA shall be carried out
Environment. However, interested parties can borrow
to determine the acceptability of the intended activity
them from the Ministry or some Centres of EIA (see
with respect to its long and short term, direct and
contact details below):
indirect effect on the environment”. An instruction on
EIA methodology was issued by the Minister of the
Banska H. et al., 1994. Environmental Environment in 1996. A licence for a development
Multicriteria Systems for Support of initiative is provided by the relevant authority, based
Environmental Impact Assessment on approval of an environmental impact report. The
Drdos J. et al, 1996. Methodological Guidelines Act specifies the content of the EIA report and requires
to the National Council of the Slovak Republic the production of screening lists by the licensing
Act No. 127/1994: Carrying Capacity authority. Provision is given for the SEA of plans in
Article 54 through the “Comprehensive Assessment of
Finka, M. et al., 1996. Elaboration of the Environmental Impact” applied to planning
Guidelines for Strategic Environmental documents, sectoral resource management plans and
Assessment of Territorial Planning community documents. An “Environmental
Documentation on the Regional Level Vulnerability Study” must also be provided for the
Kozova M. et al., 1996. Strategic Environmental assessment of plans by the Ministry for the
Assessment as a Tool for Implementation of Environment. This forms the basis for the
Environmental Policy and Strategy of comprehensive study.
Sustainable Development in the Slovak
Republic
Kozova M. et al., 1997. Methodological Spain
Handbook for Strategic Environmental
Assessment of Policies and Legislation Nationally, EIA was introduced by the Real Decreto
Legislativo 1302/1986, and a procedure for
Krumpolcova M. et al., 1997. Methodological implementing this was provided by the Real Decreto
Handbook for Environmental Assessment of 1131/1988. These laws also implemented the
Territorial Planning Documentation on provisions of the EC Directive 85/337/EEC. The
Regional and Local Levels Spanish laws stipulate that the proponent is
Mocikova I. et al., 1994. Methodological responsible for the execution of the EIA process but
Guidelines for Water Works on Rivers that the overall management responsibility is under the
jurisdiction of the Department of Environmental
Pavlickova K. et al., 1996. The Determination of Quality and Assessment. Recent legislation has
the Criteria for Significant Adverse extended the coverage of EIA to highways and natural
Transboundary Impacts over the Slovak areas. At the regional level, the EC Directive has been
Boundaries: Analytical Study implemented more thoroughly in the 17 autonomous
Contact: Mlynska dolina CH-1, Faculty of Natural Sciences (Centre for governments with regard to covering Annex II (in the
EIA), Comenius University (Prirodovedecka fakulta Univerzity EC Directive) projects. Since the approval of the EC
Komenshkeho), 842 15 Bratislava, Slovak Republic.
Directive 97/11/EC, the Spanish EIA system is being
reviewed. Expected future changes will extend the
The following are available from SVET:
coverage of EIA, improve scoping, introduce SEA
(currently in the regional systems only) and develop
Uradnicek, S, Gasparikova & B., Kozova, M methods of treating impacts in accordance with the
(1994). Environmental Impact Assessment Part ECE Espoo Convention on transboundary EIA. A new
I: National Council of the Slovak Republic Act version of the EIA law was submitted to Parliament in
127/1994 on EIA with Explanation 1996 but was not passed due to a change in
Kozova, M. et al (1995). Environmental Impact government.
Assessment Part II: Explanation of the Process
Ministerio de Obras Publicas y Transportes (1991). their application and guidance. Screening is carried
Guias Metodologicas para la Elaboracion de out on a case-by-case basis. The proponent is
Estudios de Impacto Ambiental. 4: required to submit an environmental impact
Aeropuertos (Methodological Guidelines for “description” (Milojokonse Lvensbeskrivning) under
the Preparation of Environmental Impact the 1987 Act. In 1998, a new Environment Code
Studies. 4: Airports). Ministerio de Obras (MB) will be put before the parliament. This includes
Publicas y Transportes, Madrid. (168 p.) stringent rules on EIA. However some laws will not
be encompassed by the new code (e.g. the Planning
Law and the Road Law). The influence of EIA on
Ministerio de Obras Publicas y Transportes (1994). decision-making under these laws varies: considerable
Guias Metodologicas para la Elaboracion de under the Environmental Protection Law - mainly
Estudios de Impacto Ambiental. 2: Grandes when applications are submitted for formal
Presas (Methodological Guidelines for the permissions, but little under the Planning Law. The
Preparation of Environmental Impact Studies. bodies responsible for the Swedish EIA system are the
2: Large Dams). Ministerio de Obras Publicas y Ministry of the Environment (Miljodeparetementet),
Transportes (200 p.) the National Board of Housing, Building and
Planning (Boverket), the Swedish Environmental
Protection Agency (Naturvardsverket) and the
Ministerio de Obras Pubilcas y Transportes (1995). County Administrative Board (Lansstyrelse). But
Guias Metodologicas para la Elaboracion de other agencies which are also involved in EIA (and
Estudios de Impacto Ambiental. 1: Carreteras which are also preparing their own guidelines)
y Ferrocarriles (Methodological Guidelines for include: the Swedish Road and Rail Administrations,
the Preparation of Environmental Impact the Central Board of National Antiquities and the
Studies. 1: Roads and Railways). Ministerio de Radiation Protection Institute.
Obras Publicas y Transportes, Madrid. (168 p.)
Boverket (National Board of Housing, Building and
Planning) (1996). Boken om MKB. Del 1: Att
Ministerio de Obras Publicas y Transportes (1995). arbeta med MKB för projekt (The Book on EIA.
Guias Metodologicas para la Elaboracion de Part 1: Working with project EIA). Boverket
Estudios de Impacto Ambiental. 3: (National Board of Housing, Building and
Repoblaciones Forestales (Methodological Planning), Karlskrona. ISBN 91-7147-300-9
Guidelines for the Preparation of
Environmental Impact Studies. 3: Boverket (National Board of Housing, Building and
Reafforestation). Ministerio de Obras Publicas y Planning) (1996). The Book on EIA: Part 2 –
Transportes, Madrid. (184 p.) Regulations and Background. Boverket,
Contact: Centro de Publicaciones, Ministerio de Obras Publicas y Karlskrona.
Transportes, Paseo de la Castellana 67, 28071 Madrid, Spain.
Contact: Boverket, Publication service, Box 534, 371 23 Karlskrona,
Sweden.
works with and is responsible for cultural heritage; Swedish National Rail Administration & Swedish
how to describe the historical and cultural values of National Road Administration (1996). Bedömning
the environment; which alternatives are advantageous av Ekologiska Effekter av Vägar och Järnvägar:
to cultural heritage; what are the right questions to Rekommendationer om arbetssätt /
ask and at what time; how to deal with prehistoric Assessment of Ecological Effects of Roads and
issues; what are the effects of historical and cultural Railways: Recommendations for
heritage and how do these influence the values; how Methodology. Swedish National Roads
to judge and chose amongst different alternatives; Administration, Borlänge. (32 p.) (Available in
what is significant damage and how this can be Swedish and English)
mitigated; and how to sum up the conclusions. Five
This document presents recommendations which aim
examples illustrate how to deal with historical and
to support the assessment of ecological effects in the
cultural values by solving problems with new roads,
context of EIA in the planning of roads and railways.
new industries, prehistoric sites, and development of
The recommendations focus on the consideration of
areas of low population.
functions and relations in the landscape as well as
Contact: Riksantikvarieambetet, Box 5405, 114 84 Stockholm,
Sweden. environmental adaptation, in order to promote
biodiversity. Applications are described for three
planning levels: initial study, road/rail feasibility study,
Swedish Environmental Protection Agency (1994). and detailed design. The document is well illustrated
Miljönsekvens-beskrivning inom Trafiksektorn with photographs, figures and maps.
– Miljövardsaspekter. Rapport 4334 (EIA in the
Transport Sector - Environmental Protection Swedish National Road Administration (1995).
Aspects. Report 4334). Statens Naturvårdsverk, Environmental Impact Assessment for Roads:
Solna. (52 p., annexes) Manual. National Roads Administration, Borlänge.
(50 p., appendices)
Swedish Environmental Protection Agency (1995). This manual describes how the regulations issued by
MKB I Miljoskydds och Naturvardslagen (EIA the Swedish National Road Administration on EIA
Guidelines). Statens Naturvårdsverk (which came into effect in October 1993) are to be
(Environmental Protection Agency), Solna. (66 p.) applied. It replaces “The Environmental Effects of
Roads” (1987) and a review version (Dec 1993). The
document is aimed at EIA practitioners, clients and
Swedish Environmental Protection Agency (1996). review bodies. There are seven sections. The first
Environmental Impact Assessment in the explains the aim of EIA and its legislative aspects (this
Environment Protection Act and the Nature sub-section is excluded in the English version). The
Conservation Act. Report 4666. Swedish next is a general section which discusses EIA for Roads
Environmental Protection Agency, Solna. (22 p.) in the planning and decision-making process in
Sweden, EIA work at different stages of road planning,
This booklet is an abbreviated version of the report
and effectiveness and quality in EIA. Section 3 focuses
“MKB I miljöskydds – och naturvårdslagen. Allmänna
on EIA for road projects, covering: roles, organization
råd 95.3) (“EIA in the Environment Protection Act
and procurement; activities in EIA work; basic
and the Nature Conservation Act. General Guidelines
information; analysis of preconditions and
95.3”). The guidelines are aimed primarily at County
consequences; mitigation measures; and consultation,
Administrative Boards and other authorities to assist
firm grounding (working with representatives of public
them when consulted by development project
interests affected) and reporting. In Section 4,
applicants, and for the use of such applicants in their
requirements and methods for the Initial Study and
work. The document outlines the basis for working
delimitation or scoping of future EIA work are
with EIA with sections on: background and purpose,
described. Important tasks for EIA in feasibility studies
procedure, important steps, screening and scoping,
are dealt with in Section 5, whilst Section 6 is
alternatives, responsibility and roles, participation of
concerned with EIA in road design. Finally Section 7
the general public, reviewing the quality of EIA and
deals with follow-up work (e.g. monitoring) after a
EIA for the entire development. It also sets out the EIA
road becomes operational. A bibliography is provided
regulations within the framework of these two Acts.
and there are two appendices covering: Swedish
Contact: Statens Naturvärdsverk (Environmental Protection Agency),
Kundtjänst, 171 85 Solna, Sweden. National Road Administration Regulations on EIA,
and definitions. Four other appendices are listed in the
contents (but not included in the English version): GD-
Swedish National Rail Administration (1992). policy 1992:1; legislation; international objectives; and
Miljökonsekvensbeskrivning fö public interest in EIA.
järnvägsprojekt (EIA in Railway Projects). Contact: Road Management Division, Swedish National Roads
Swedish National Rail Administration, Borlange. Administration, S-781 87 Borlänge, Sweden.
Crimea, and the cities of Kyiv and Sevastopol, as well to determine if a project requires EA, advise
as by the analagous subdivisions of State voluntary scoping, require public consultation and
inspectorates for the protection of the Black and participation and environmental statement
Azov seas. SEE is based on inter-sectoral preparation. The next changes to EA in the UK will
environmental research, and analysis and assessment be regulations to implement EC Directive 97/11/EC
of preliminary design, planning and other documents, in March 1999. These changes will include increasing
the implementation of which can have a negative the coverage of EIA to additional projects, mandatory
impact on environmental conditions, and examines consideration of alternatives and scoping, and
the compatibility of planned activities with norms implementing the provisions of the UN ECE Espoo
and requirements of environmental legislation. SEE is Convention on transboundary EIA. At the strategic
regulated by a number of laws, particularly the Law level, local planning authorities are required to carry
on Environmental Protection,1991 (Articles 50, 51 out environmental appraisal of their own
and 59) which requires the application of SEE to all development plans. Government departments have
levels of economic activity; and the 1995 Law on guidance on assessment of the environmental
Environmental Expertise (Zakon pro ekologichnu implications of policies.
expertizu), 1995, which stipulates that implementation
of certain listed types of project, program or activity Much of the UK statutory guidance is contained
without positive conclusions of an SEE is prohibited. within Policy Planning Guidelines (PPGs), many
Article 36 of the latter law sets out the general official Circulars, and the good practice guides etc,
requirements for OVOS (EIA). Details are given in produced by the DETR, (including for Northern
special normative-instructional documents: State Ireland), and the Welsh and Scottish Offices. A
Construction Norms DBNA. 2.2-1-95, issued jointly selection of the most pertinent of these is given
by the State Committee on Construction and below. Also included are the current guidelines from
Architecture and by the Ministry of Environment, and other responsible Ministries, Departments and
the Regulations on the form and content of OVOS statutory agencies, including the Ministry of
materials (MEPNS 1992). The proponent is Agriculture, Fisheries and Food, Department of Trade
responsible for the execution of the OVOS process. and Industry, Department of Transport (now part of
the DETR), the Environment Agency, Forestry
Authority, English Nature and the Countryside
Commission. Guidelines are also produced at the
United Kingdom sub-national level by District and County Councils,
and at the sectoral level by non-governmental
The United Kingdom implemented EC Directive 85/
organisations and institutes, but these are not
337/EEC through amendments to existing legislation:
included in this edition of the Directory. The DETR
in England and Wales, the Town and Country
should be contacted regarding sub-national
Planning (Assessment of Environmental Effects)
guidelines. Both the EIA Centre at Manchester
Regulations 1988 (SI No 1199); in Scotland, the
University, and the Institute of Environmental
Environmental Assessment (Scotland) Regulations
Assessment can be contacted for information about
1988 (SI No 1221); and in Northern Ireland, the
non-statutory material (the IEA have themselves
Planning (Assessment of Environmental Effects)
produced guidelines on Road Traffic, Landscape and
Regulations 1989). The EA system is overseen by the
Visual Assessment, and Baseline Ecological
Department of the Environment, Transport and the
Assessment).
Regions (DETR) (The Department of the Environment,
Contact: Institute of Environmental Assessment, Welton House,
DoE, before 1997), and by the Scottish Office, Welsh Limekiln Way, Lincoln LN2 4US, UK, and EIA Centre, Department of
Office and DoE Northern Ireland. Environmental Planning and Landscape, The University of Manchester, Oxford Road,
assessments of projects are carried out by local Manchester M13 9PL, UK
planning authorities or, for non-planning projects, by
the relevant government departments. Approximately Department of the Environment (1988). Circular
70% of projects within the scope of Directive 85/337/ 24/88 (Welsh Office 48/88). Environment
EEC are dealt with under planning legislation. The rest Assessment of Projects in Simplified Planning
are considered under consent procedures administered
Zones and Enterprise Zones. Her Majesty’s
by central government departments. It is the
Stationary Office, London. (2 p.)
responsibility of the proponent of the project to carry
out the assessment process in accordance with
procedures set out in DoE Circular 15/88 Department of the Environment (1988). Circular
“Environmental Assessment” (DoE 1988) (and 15/88: Environment Assessment. Her Majesty’s
equivalents in Scotland and Northern Ireland), and Stationary Office, London. (12 p.)
additional guidance provided at the central and local
authority level. The regulations provide screening lists
Department of the Environment (1991). Chapter 6 includes more detailed guidance on the
Environmental Assessment: A Guide to the environmental appraisal of plan proposals.
Procedures. Her Majesty’s Stationery Office,
London. (64 p.)
Department of the Environment (1992). Circular 19/
This booklet is intended primarily for developers and 92 (Welsh Office 39/92): The Town and Country
their advisers. It explains how requirements for the Planning General Regulations 1992/The Town
environmental assessment of major projects have been and Country Planning (Development Plans and
incorporated into consent procedures in the UK in Consultation) Directions. Her Majesty’s Stationary
response to EC Directive 85/337/EEC which came into Office, London.
effect in 1988. The effect of the Directive is to require
environmental assessment to be carried out, before
development consent is granted, for certain types of Department of the Environment (1992). Circular 15/
major project which are judged likely to have 92 (Welsh Office 32/92): Publicity for Planning
significant environmental effects. Applications. Her Majesty’s Stationary Office,
London. (10 p.)
Parts I and II explain the procedures which apply to
projects which fall within the scope of the Directive
and require planning permission in England and Department of the Environment (1993).
Wales. They give some general guidance on the nature Environmental Appraisal of Development Plans:
of environmental assessment, and on the practical A Good Practice Guide. Her Majesty’s Stationery
aspects of preparing an environmental statement. Part Office, London. (57 p.)
III provides a brief account of the procedures which
This guide has been designed to help local planning
apply to other projects within the scope of the
authorities carry out environmental appraisals of
Directive which are not subject to planning
plans. It offers guidance on a range of straightforward
procedures. It also deals briefly with environmental
techniques and procedures which can easily be used at
assessment procedures in Scotland and Northern
each stage of the plan-making process, without the
Ireland.
need for specialist staff.
Department of the Environment (1991). Policy The guidelines draw heavily on the general experience
Appraisal and the Environment. A Guide for of local planning authorities in England and Wales, on
Government Departments. Her Majesty’s relevant literature, and on detailed studies of practice
Stationary Office, London. (v, 67 p.) in twelve local authorities. The proposed appraisal
This guide is written for civil servants whose process is intended to be adaptable to every level of
responsibility it is to advise ministers on policies which plan. Key stages in the process are clearly described,
involve allocation of resources and which have with extensive use of diagrams, checklists, matrices and
significant effects on the environment. It is intended to examples from scoping to presentation.
increase awareness within government of the need to
examine such impacts and offers a systematic
approach to the treatment of environmental issues Department of the Environment (1994).
within policy analyses. The book starts with an Environmental Appraisal in Government
overview of policy appraisal and the environment and Departments. Her Majesty’s Stationery Office,
then offers more detailed advice about ways of London. (vii, 70 p.)
gathering information on environmental impacts and
how to use it in the development and appraisal of
Department of the Environment (1994).
policy. While specifically addressed to decisions about
policies and programmes, much of the advice Evaluation of Environmental Information for
contained in the guide is also relevant to the appraisal Planning Projects: A Good Practice Guide. Her
of projects. Appendices describe a variety of appraisal Majestys Stationery Office, London. (56 p.) ISBN 0
techniques including matrices, cost-benefit analysis, 11 753043 3
weighting and scoring, and monetary valuation. The main purposes of this guide are two fold. First, to
provide guidance which assists planning authority
officers and planning committees to consider whether
Department of the Environment (1992). Planning information submitted in the Environmental Statement
Policy Guidance No.12: Development Plans (ES) is adequate. Second, to help them evaluate that
and Regional Planning Guidance. Her Majestys information and any representations made by
Stationery Office, London. (16 p.) statutory consultees and others.
This document provides guidance on the preparation
of regional development plans of various types.
There are chapters on Setting up an Administrative This leaflet answers some basic questions about the
Framework, Initial Vetting of the ES and Planning requirements for environmental assessment in respect
Application, the Process of Consultation, Reviewing of development which requires planning permission
the Adequacy of the ES, Evaluating Individual under the planning procedures in Northern Ireland.
Environmental Impacts and their Effects, Weighing up The questions addressed include “What is
Information to Reach a Decision, and Presenting environmental assessment?”; “What is an
Findings and Recommendations. environmental statement?” and “What types of
development are subject to environmental
assessment?”.
Department of the Environment (1995).
Preparation of Environmental Statements for
Planning Projects that Require Environmental Department of the Environment (Northern Ireland)
Assessment: A Good Practice Guide. Her (undated). Your Permitted Development Rights
Majesty’s Stationary Office, London. ISBN 011 753 and Environmental Assessment. No. 1 in a
207 X series of Information Leaflets. Department of the
Environment (Northern Ireland), Belfast. (leaflet)
This leaflet explains how permitted development
Department of the Environment (1995). Circular 3/ rights in Northern Ireland may be affected by
95 (Welsh Office 12/95): Permitted environmental assessment. It answers some basic
Development and Environmental Assessment. questions about which types of development are
Her Majesty’s Stationary Office, London. subject to environmental assessment.
Contact: Planning Service Headquarters, Department of the
Environment, Clarence Court, 10-18 Adelaide Street, Belfast BT2 8GB,
Department of the Environment (1995). Circular Northern Ireland.
11/95: The Use of Conditions of Planning
Permissions. Her Majesty’s Stationary Office, Department of the Environment (Welsh Office)
London. (1992). Planning Policy Guidance No.5:
Simplified Planning Zones. Her Majestys
Department of the Environment (1995). Circular Stationery Office, London. (16 p.)
13/95 (Welsh Office 39/95): The Town and This document outlines the general nature and role of
Country Planning (Environmental Assessment simplified planning zones (SPZs). Annex A provides
and Unauthorised Development) Regulations information on environmental assessment with
1995. Her Majesty’s Stationary Office, London. respect to SPZs. Appendices 1 and 2 provide
Contact: Her Majesty’s Stationary Office, PO Box 276, London SW8 examples of appropriate provisions for inclusion
5DT. where an SPZ scheme would otherwise permit
development requiring and environmental
Department of the Environment (Northern Ireland) assessment.
(1989). Development Control Advice Note 10.
Environmental Impact Assessment. Department
Department of Trade and Industry (1992).
of the Environment (Northern Ireland), Belfast.
Guidelines for the Environmental Assessment
(8 p.)
of Cross-Country Pipelines. Her Majesty’s
This Advice Note gives general guidance to intending Stationery Office, London, UK. (68 p.)
developers, their professional advisers and agents. It
Contact: Her Majesty’s Stationary Office, PO Box 276, London SW8
provides advice on the criteria which are used to 5DT, UK.
indicate the types of developments for which
environmental assessment may be required. An annex
lists indicative criteria and thresholds for a variety of Department of Trade and Industry (1998). Guidance
sectors including agriculture, extractive industries, Notes on the Offshore Petroleum Production
manufacturing industries, industrial estate and Pipe-Lines (Assessment of Environmental
developments, urban development, airports, Effects) Regulations 1998. Oil and Gas
infrastructure and waste disposal. Directorate, Department of Trade and Industry,
London. (33 p.)
Department of the Environment (Northern Ireland) These guidance notes are intended to assist licensees,
(undated). Environmental Assessment. No. 5 in environmental authorities and the public in
a series of Information Leaflets. Department of understanding the environmental assessment process
the Environment (Northern Ireland), Belfast. introduced by the EU Regulations on Offshore
Petroleum Production and Pipe-lines, the
(leaflet)
requirements of the environmental statement and to courses, power stations, wind farms, hydroelectric
provide detailed explanation of the Regulations. A power, oil refineries/oil exploration, forestry,
summary of the environmental statement process is redevelopment of contaminated land, waste
included together with information on the statement management, mineral extraction – mining and
itself and its requirements in the context of petroleum quarrying, restoration of mineral extraction sites,
production and pipe-lines, the consultation process roads and road widening, railways, airports,
and enforcement. Annexes provide flowcharts to cemeteries, navigation issues, navigation works,
illustrate the process and sample forms. channel works, flood diversion channels, fluvial
Contact: Department of Trade and Industry, Oil and Gas Directorate, dredging, bank protections, flood storage area, flood
London, UK. embankment, culverts and tunnels, barriers/bridges/
weirs, off line ponds and reservoirs, coastal protection,
Department of Transport (1992). Assessing the beach nourishment, suction dredging, restoration and
Environmental Impact of Road Schemes: The enhancement of river channels, conservation
Standing Advisory Committee on Trunk Road enhancements, water-based recreation, off road
Assessment. Her Majesty’s Stationery Office, recreation activities, vegetation management, deliberate
London. introduction of species, groundwater abstraction,
interbasin transfer of flow, agriculture, kennels/
catteries/stables, intensive livestock/poultry units,
Department of Transport (1992). Design Manual tipping/dumping, camping and caravan sites, septic
for Roads and Bridges Volume II: Environmental tanks/cesspits etc., vehicle parks/plant hire, swimming
Assessment. Her Majestys Stationery Office, pools, chemical storage units, petrol stations, peat
London. extraction, bait digging, pest control species.
environmental assessment process. It introduces Penny Anderson Associates (1994). Roads and
methods and techniques that constitute good practice Nature Conservation - Guidance on Impacts,
in nature conservation assessment and illustrates Mitigation and Enhancement. English Nature,
these with examples taken from English practice. The Peterborough. (81 p.)
handbook is in three parts. Part A looks at This document provides guidance on handling nature
environmental assessment procedures and the role of conservation resources in the context of planning and
English Nature. Part B discusses how nature design of new road schemes. It first examines the
conservation concerns should be dealt with during the nature of the site resources and the need to adopt
various stages of the environmental assessment principles of sustainability in dealing with highly
process. Part C consists of appendices covering valued sites. It then identifies how a road might impact
projects subject to environmental assessment and a on nature conservation interests before setting out the
bibliography. most appropriate mitigating measures for habitat loss
Contact: English Nature, Northminster House, Peterborough PE1 1UA,
UK.
and fragmentation, hydrological effects, geological
issues, air pollution and construction effects. The final
section describes scheme enhancement through habitat
The Forestry Authority (1993). Environmental creation. A bibliography is provided.
Assessment of New Woodlands. The Forestry Contact: English Nature, Northminster House, Peterborough PE1 1UA,
Authority, Edinburgh. (9 p.) UK.
This document was prepared under the framework of para o Desenvolvimento (PNUD), Organizacao
the “Implementation Plan for the National System of Meterological Mundial (OMM), Brasilia. (164 p.)
Environmental Protection and Control” managed by This document is intended mainly for technicians of
the Bolivian National Secretary for the Environment as the different irrigation and environmental agencies at
a support for human resources training on national and sub-national levels. Its main aim is to
environmental management issues. It includes five provide guidance for environmental conservation
chapters which deal with: the sustainable development activities in the irrigation sector, in particular in
model in Bolivia (Chapter I); the legal-institutional connection with the identification, feasibility study,
framework (Chapter II); the country environmental implementation and operation stages of irrigation
problematique (Chapter III); the legal-technical tools projects. The document also discusses the scope of
established by the National Environmental Law; and environmental studies required for proposed activities
policy tools and administrative procedures for during each project phase, the extent of the initiative,
environmental prevention and control (Chapter IV). and the scale of potential impacts involved.
Contact: SEDI, Casilla de Correos 3136, La Paz, Bolivia.
Terms of reference produced by the Ministerio (1997). Términos de Referencia para Estudios de
del Medio Ambiente Impacto Ambiental para Construcción de
Proyectos Viales (Terms of Reference for
Ter ms of rrefer
erms efer ence for assessing alter
eference natives
alternatives Environmental Impact Studies for Road and
The Terms of Reference for the next 4 documents Highway Projects). Sector Vial, Ministerio del Medio
describe the general and specific objectives as well as Ambiente, Bogotá. (29 p.)
the scope and contents to be covered by the
environmental assessment, including: executive
summaries, technical descriptions, description of (1997). Términos de Referencia para Estudios de
alternatives, environmental characterisation of the Impacto Ambiental para Construcción de Puentes
study area, identification and evaluation of impacts, y Viaductos (Terms of Reference for
preliminary environmental management plan for each Environmental Impact Studies for Bridges and
alternative, and comparison and selection of Viaducts). Sector Vial, Ministerio del Medio
alternatives. Ambiente, Bogotá. (28 p.)
(1997). Términos de Referencia para Estudios de (1997). Términos de Referencia para Documentos
Impacto Ambiental para Centrales de Evaluación y Manejo Ambiental para
Termoeléctricas (Terms of Reference for Proyectos de Rehabilitación Vial (Terms of
Environmental Impact Studies for Reference for Environmental Management and
Thermoelectric Plants). Sector Energía, Ministerio Assessment Documents for Road Rehabilitation
del Medio Ambiente, Bogotá. (37 p.) Projects). Sector Vial, Ministerio de Medio Ambiente,
Bogotá. (13 p.)
Ministerio del Medio Ambiente (1997). Términos de Contact: Comision Gubernamental de Control y Evaluacion de
Estudios de Impacto Ambiental, Ministerio de Recursos Naturales,
Referencia para el uso, aprovechamiento o Avda 8-10, Calle 25, Apdo 10.104, 1000 San Jose, Costa Rica.
afectación de los recursos naturales para
bloques de exploración sísmica de hidrocarburos
(Terms of Reference for the Use and Degradation Mata Jimenez, A. (1995). Evaluaciones de
of Natural Resources for Seismic Hydrocarbons Impacto Ambiental. Guía de Preparación
Exploration). Ministerio del Medio Ambiente, (Environmental Impact Assessment.
Bogotá. (2 p.) Preparation Guide). Centro Científico Tropical,
San José. (66 p.)
These Terms of Reference set out the main issues to be
considered for the assessment of natural resources This document provides a conceptual background and
potentially affected during project development - water analysis of the role of EIA, taking into account the
resources, forestry, and air quality. Information is National Government norms. It covers the project
provided on the status, availability and restrictions for cycle, methodologies for different levels of the
human intervention, as well as on quantifying resources environmental studies required, data analysis and
use and exploitation. integration, and provides examples, criteria and
procedures to be considered in the development of an
EIA.
Ministerio del Medio Ambiente (1997). Términos de Contact: Apartado Postal 366. 2100, Guadalupe, San José, Costa
Referencia para el Estudio de Impacto Ambiental Rica.
para la Explotación de Campos Petroleros y de
Gas, y el Uso, Aprovechamiento o Afectación de Ministerio de Recursos Naturales. Guías para la
los Recursos naturales (Terms of Reference for Elaboración Estudios de Impacto Ambiental
the Environmental Impact Study for the (Guides for Conducting Environmental Impact
Exploitation of Oil and Gas Fields and the Use or Studies) (series). Comisión Gubernamental de
Degradation of Natural Resources). Ministerio del Control y Evaluación de Estudios de Impacto
Medio Ambiente, Bogotá. (33 p.) Ambiental, Ministerio de Recursos Naturales, San
The first part of these Terms of Reference set out the José.
contents for environmental impact studies focusing on This series of sectoral guides indicates relevant issues
environmental management for oil and gas exploitation, to be considered by project proponents for
site selection, analysis of alternatives and selection of environment impact studies. Each guide has a similar
technological alternatives. The second discusses those structure, providing a general description of sectoral
aspects to be considered during the assessment of information needed for addressing the requirements of
natural resources potentially affected as a consequence the “Governmental Commission for Environmental
of project development. Impact Studies Control and Evaluation”. The series
Contact: Ministerio del Medio Ambiente, Bogotá, Colombia.
provides general information to be considered for
public works planning and execution.
(undated). Guía Básica para la Elaboración de Within the MMA, the Comision Asesora Ambiental
Estudios de Impacto Ambiental Para Actividades de la Presidencia de la Republica (CAAM) issues
Agrícolas (Basic Guide for Conducting policy. In 1996, CAAM issued the “Strategy for the
Environmental Impact Studies for Agricultural Implementation of a National System for EIA in
Activities). (5 p.) Ecuador” (“Estragia para la Implantacion del Sistema
Unico Nacional de Evaluacion de Impacto Ambiental
en el Ecuador). It describes the process needed to
(undated). Guía para la Elaboración de Estudios develop an action plan and a regulatory framework for
de Impacto Ambiental de Proyectos Avícolas, EIA, although neither has been established to date.
Para Más de 5000 Animales (Guide for However, EIAs have been carried out since 1989 under
Conducting Environmental Impact Studies for a variety of sectoral regulations. Approval of a
Aviculture Projects of more than 5000 Animals). proposal requiring EIA is the responsibility of the
relevant Ministry. The developer must submit terms of
reference for the EIA which are reviewed by an
(undated). Guía Básica para la Elaboración de independent commission. Public participation is not
Estudios de Impacto Ambiental de Proyectos compulsory although, in practice, it usually occurs.
Urbanísticos (Basic Guide for Conducting Due to the lack of a framework law or procedures,
Environmental Impact Studies for Urban EIAs vary in their coverage of environmental
Projects). (3 p.) conditions and prediction of impacts.
(undated). Guía para la Elaboración de Estudios Paez, J.C. (1991). Introduccion a los Metodos de
de Impacto Ambiental Para Actividad Industrial Evaluacion de Impactos Ambientales:
(Guide for Conducting Environmental Impact Recomendaciones para los Gobiernos
Studies for Industrial Activities). (5 p.) Seccionales del Ecuador (Introduction to
Environmental Impact Assessment Methods:
Recommendations for the Regional
(undated). Guía para la Elaboración de Estudios Governments of Ecuador). Fundacion Natura:
de Impacto Ambiental Para Proyectos de Salinas Programa de Asesoria Ambiental para la Region
en Refugios de Vida Silvestre y Humedales Andina, Quito. (55 p.)
(Guide for Conducting Environmental Impact This document discusses the importance of including
Studies of Saltland Projects in Wildlife Reserves EIA in development projects planned or carried out by
and Wetlands). (2 p.) Ecuadorian sectoral governmental organisations at
municipal and provincial levels. It aims to raise
awareness of the EIA process amongst public officials
(undated). Guía para la Elaboración de Estudios and technicians. Some recommended methodologies
de Impacto Ambiental Para Proyectos de are described including review lists, cause-effect matrix
Acuacultura en Refugios de Vida Silvestre y (Leopold), mapping systems, and quantitative methods
Humedales (Guide for Conducting (Batelle). Advantages and disadvantages of the various
Environmental Impact Studies of Aquaculture methods are compared, and their applicability to
Projects in Wildlife Reserves and Wetlands). (5 projects in Ecuador is assessed.
p.) Contact: Fundacion Natura, Avda America 5653 y Voz Andes, Casilla
17-01-253, Quito, Ecuador.
(undated). Borrador de Guía de Estudio de Paez Zamora, J.C. & Espinoza, G. (in press).
Impacto Ambiental Para Explotación de Cauces Tópicos de Evaluación de Impacto Ambiental
de Dominio Público (Draft Guide for para Ecuador (Topics for Environmental Impact
Environmental Impact Studies of Public Assessment in Ecuador). Comisión Asesora
Watersheds). (8 p.) Ambiental, Presidencia de la República de
Contact: Comision Gubernamental de Control y Evaluacion de Estudios Ecuador, Quito.
de Impacto Ambiental, Ministerio de Recursos Naturales, Avda 8-10,
Calle 25, Apdo 10.104, 1000 San Jose, Costa Rica. This document sets out a national framework for EIA
and sustainable development, information systems and
the use of environmental indicators. It includes a
comprehensive discussion of civil society participation -
Ecuador analyzing methodologies to facilitate participation
and conflict resolution in the EIA process. The basic
The Ministry of Environment (Ministerio de Medio
contents of EIA studies, techniques and methods are
Ambiente- MMA) has overall responsibility for EIA.
described. A review and classification of EIA studies
is presented and follow up activities for control and Instituto Nacional de Ecología (undated). Guía para
monitoring are considered. The document includes la elaboración de Estudios de Riesgo Ambiental
matrices and diagrams. de Ductos Terrestres (Guidelines for the
Contact: Subsecretario de Gestión Ambiental. Ministerio de Medio Preparation of Environmental Risk Studies of
Ambiente, Avenida 10 de Agosto Nº 3560, Edificio Metrocar, Piso 3,
Quito, Ecuador.
Terrestrial Pipelines). Dirección General de
Ordenamiento Ecológico e Impacto Ambiental,
Mexico City. (8 p.)
This guideline summarizes issues to be considered in
Guatemala the preparation of formal documents, including
appropriate methodologies for Environmental Risk
Comisión Nacional de Medio Ambiente
Assessment studies.
(CONAMA). (1991). Guía para los Estudios de
Impacto Ambiental (Environmental Impact
Studies Guide). Comisión Nacional de Medio Instituto Nacional de Ecología (undated). Instructivo
Ambiente, Ciudad de Guatemala. para la Elaboración del Resúmen Ejecutivo de la
Contact: La Programa de Legislación Ambiental de la Comisión Manifestación de Impacto Ambiental
Centroamericana de Ambiente y Desarrollo. 7a. Avenida 13-31, Zona 9 (Instructions for the Preparation of the
- Edificio Cúpula, Nivel II, Ciudad de Guatemala, Guatemala. Executive Summary for the Environmental
Impact Study). Instituto Nacional de Ecología,
Dirección General de Ordenamiento Ecológico e
Impacto Ambiental, Mexico City. (2 p.)
Honduras
This instruction sets out the required contents and
The EIA system in Honduras is not mandatory in scope of the Executive Summary included in the
terms of compliance and its application has no legal Environmental Impact Assessment Study.
status as yet. EIA legislation is integrated into other
resource protection and pollution control laws. A set
of regulations exist as Reglamento del Sistema Instituto Nacional de Ecología (undated). Guía para
Nacional de Evaluacion de Impacto Ambiental la elaboración de Estudios de Riesgo Ambiental.
(SINEIA) which serve as tools for pollution control. Modalidad Informe Preliminar de Riesgo
The Secretaria de Recursos Naturales y Ambiente (Guideline for the Preparation of Environmental
(SERNA) is the co-ordinating unit for EIA and is Risk Studies. Environmental Risk Preliminary
housed at the Ministry of the Environment. SERNA Report). Instituto Nacional de Ecología, Mexico City.
has administrative responsibility for enforcement of
EIA regulations using a licensing system. All projects
must be submitted to SERNA for approval. Direccion Instituto Nacional de Ecología (undated). Guía para
General de Evaluacion de Impacto y Control la elaboración de Estudios de Riesgo Ambiental.
Ambiental (DECA) is the review and scoping agency. Modalidad Análisis de Riesgo (Guideline for the
Preparation of Environmental Risk Studies.
Environmental Risk Analysis). Instituto Nacional de
Ecología, Dirección General de Ordenamiento
Mexico Ecológico e Impacto Ambiental, Mexico City. (12 p.)
The Environmental Protection Law, 1982, established
the Ministry of Ecology and Urban Development
Instituto Nacional de Ecología (undated). Guía para
(SEDUE) and introduced the mandatory EIA system.
la elaboración de Estudios de Riesgo Ambiental.
In 1988, the “Ecological Equilibrium and
Modalidad Análisis Detallado de Riesgo
Environmental Protection Law” (LGEEPA)
restructured the Environment Ministry into the
(Guideline for the Preparation of Environmental
Ministry of Social Development. In 1992, a legal Risk Studies. Detailed Environmental Risk
enforcement body was created in the form of the Analysis). Instituto Nacional de Ecología, Mexico
“Environmental Protection Attorney” (PROFEPA). City. (12 p.)
Under the 1988 law, one of three types of EIA may be
required depending on the impact. EIA has also been
Secretaría de Desarrollo Urbano y Ecología (1989).
legislated at State level since 1988. The Instituto
Nacional De Ecologia (INE) is responsible for EIA
Instructivo para desarrollar y presentar la
policy, regulations and procedures. This is part of the Manifestación de Impacto Ambiental en la
Ministry of the Environment, Natural Resources and modalidad general a la que se refieren los
Fishing which also carries out EIA of federal projects. artículos 9 y 10 del Reglamento de la Ley
General del Equilibrio Ecológico y la Protección
del Ambiente en Materia de EIA (Guideline for impacts, preventative and mitigatory measures, and
the Development of the Environmental Impact end of activities and project decommissioning.
Declaration regarding articles 9 and 10 of the
Regulation for the General Law for Ecological
Secretaría de Desarrollo Urbano y Ecología (1989).
Equilibrium and Environmental Protection
(September 1989). Instructivo para la
related with EIA). In: Gaceta Ecológica, 1:3 (88 p.).
Formulación del Informe Preventivo del
Secretaría de Desartrollo Social.
Reglamento (arts. 7 y 8). de la Ley General del
This document lists the issues that must be covered in Equilibrio Ecológico y la Protección al
an Environmental Impact Declaration. Ambiente en Materia de EIA (Guidelines for
the Formulation of the Precautionary Report.
Secretaría de Desarrollo Urbano y Ecología (1989). Regulation for the General Law for Ecological
Instructivo para desarrollar y presentar la Equilibrium and Environmental Protection
Manifestación de Impacto Ambiental en la related with EIA). In: Gaceta Ecológica, 1:3,
modalidad intermedia que se refieren los Mexico City. (88).
artículos 9, 10 y 11 del Reglamento de la Ley This document lists the information that must be
General del Equilibrio Ecológico y la included in the Precautionary Report, including general
Protección al Ambiente en materia de EIA information, location, project and process
(Guideline for the Development of the description.
Environmental Impact Declaration regarding Contact: Instituto Nacional de Ecología, Subdirección de Riesgo
Ambiental, Avenida Revolución 1425 (Planta Baja), 01040 México, D.F.
the intermediate mode established in articles
9, 10 and 11 of the Regulation for the General
Law for Ecological Equilibrium and
Environmental Protection related with EIA). In: Paraguay
Gaceta Ecológica, 1:4 (28-37 p.). Gobierno de
México, Secretaría de Desarrollo Social. Ministerio de Agricultura y Ganaderia (MAG),
This document sets out the required contents of an Subsecretaria de Estado de Recursos Naturales y
Impact Assessment Declaration covering: general Medio Ambiente (SSERNMA) & Deutsche
information, project description, general aspects of the Gesellschaft fur Technische Zusammenarbeit (GTZ)
natural and socio-economic environment, (1996). Manual de Evaluación de Impactos
identification and description of environmental Ambientales (MEvIA): Proyecto Estrategia
impacts caused by different stages of project Nacional para la Proteccion de los Recursos
implementation, and preventative and mitigatory Naturales (ENAPRENA) (Environmental Impact
measures. Assessment Handbook. Project: National
Strategies for the Protection of Natural
Resources and the Environment). Ministerio de
Secretaría de Desarrollo Urbano y Ecología (1989).
Agricultura y Ganaderia (MAG), Subsecretaria de
Instructivo para desatrrollar y presentar la
Estado de Recursos Naturales y Medio Ambiente
Manifestación de Impacto Ambiental en la (SSERNMA), Deutsche Gesellschaft fur Technische
modalidad específica a que se refieren los Zusammenarbeit (GTZ), Asunción.
artículos 9 y 12 del Reglamento de la Ley
General del Equilibrio Ecológico y la This handbook is intended as a working tool for
Protección del Ambiente en Materia de EIA undertaking and preparing Environmental Impact
Assessment studies and Environmental Impact
(Guideline for the Development of the
Reports. It includes papers by several authors and is
Environmental Impact Declaration regarding
divided in three main thematic sections. Section 1 is a
the articles 9 and 12 of the Regulation for the
general vision of EIA as a tool for environmental
General Law for Ecological Equilibrium and
protection and sustainable development. Section 2
Environmental Protection related with EIA). In: provides an analysis of EIA procedures as applied in
Gaceta Ecológica, 1:4 (38-51 p.). Secretaría de Paraguay, the sectors involved and their
Desarrollo Social. responsibilities. Section 3 gives an analysis of EIA
This document sets out the required contents of the methods from different perspectives: EIA procedures
Impact Assessment Declaration covering: description for landscape analysis; method for the assessment of
of the proponent, project description and justification, hydrological balance components; environmental
environmental scenario before project implementation, monitoring systems; basic concepts; methods for the
analysis of present and projected environmental analysis of aquatic environments; methods for
quality, identification and evaluation of environmental sedimentology studies and monitoring for EIA;
methods for the assessment of riverine water quality; Molinas, A. & Oporto, O. & Duarte, E. (199).
and methods for the characterization of flora and Análisis de la Aplicación del EvIA en Paraguay
wildlife. (Procedures for Environmental Impact
Assessment on the basis of the present
situation in Paraguay). Proyecto ENAPRENA
The following references are papers from the manual (SSERNMA/MAG-GTZ), Asunción. (0700: 1-16 p.)
which have been chosen for their particular relevance
Contact: Proyecto ENAPRENA, Ruta II “Mcal. Estigarribia”, Km. 11-
to environmental impact assessment guidance: San Lorenzo, Asunción, Paraguay.
Dias, P.L.F. (1996). Términos de Referencia para la Oporto, O. & Urué, D. (in press). La Explotación
Elaboración y Presentación del Estudio de de Canteras en el Marco de la Evaluación de
Impacto Ambiental (Terms of Reference for Impacto Ambiental (The Exploitation of Mines
Environmental Impact Assessment Study under the Environmental Impact Assessment
Preparation and Presentation). (0900:1-14 p) Framework). Dirección Nacional de Medio
These Terms of Reference set out the basic required Ambiente, Asunción.
contents of EIA Reports covering: a) project This document analyses the main characteristics of
characterization; b) project integration with quarry exploitation in Paraguay (exploitation regime,
governmental plans and policies; c) environmental legal and institutional aspects), and sets out the
diagnosis (physical, biological and anthropogenic procedures for EIA. Different environmental impacts
environment in the area influenced by the project; d) of quarry exploitation are discussed, as are mitigatory
impacts analysis; e) environmental management plans; measures.
f) technological and site alternatives and g) Contact: Departamento de Evaluación de Impacto Ambiental.
environmental reports (Relatorios de Impacto Dirección Nacional de Medio Ambiente, 25 de Mayo 640, Asunción,
Ambiental: RIMAs). The obligations of the proponent Paraguay.
and highway projects. All projects need the approval of development of EIA policy and its implementation
the General Directorate for the Environment (Ministry while proponents must undertake the process and
of Transport, Communications, Housing and submit full documentation to the National
Construction), before implementation. Environmental Directorate (DINAMA) within
Contact: Ministerio de Transportes, Comunicaciones, Vivienda y MHLUME for review and in order to obtain prior
Construcción, Dirección General de Medio Ambiente, Avenida 28 de authorisation for the activity. As yet, no EIA guidelines
Julio 800, Lima 1, Perú.
have been produced.
Canadian Environmental Assessment Agency (CEAA) that the section on guidelines produced by federal
(undated). Biological Diversity and departments is currently being updated, including
Environmental Assessment. Canadian their contact details (June 1998).
Environmental Assessment Agency, Hull, Quebec.
This guide was prepared as a collaborative effort by Canadian Environmental Assessment Agency (CEAA)
the Agency and the Biodiversity Convention Office of (1995). Procedures Guide. Canadian Environmental
Environment Canada. The guide provides an Assessment Agency, Hull, Quebec. (227 p.)
overview of the legal responsibilities for biodiversity
This document provides policy and procedural
under the United Nations Convention on Biological
guidance for CEAA staff in meeting CEAA’s
Diversity and biodiversity considerations in project
responsibilities under the Canadian Environmental
and policy planning. It also provides general guidance
Assessment Act. It is organised into six chapters:
to EA practitioners in considering biodiversity within
public registry, class screening, comprehensive study,
current EA approaches, regardless of jurisdiction.
mediation, panel reviews and participant funding. Each
chapter briefly reviews the scope and nature of the
Canadian Environmental Assessment Agency (CEAA) CEAA’s obligations as set out in the Act, presents the
(1994). The Responsible Authority’s Guide to the CEAA’s major cross-cutting policy guidelines, provides
Canadian Environmental Assessment Act/Guide step-by-step explanations of the procedures that
des autorités responsables sur la loi canadienne CEAA staff should follow, and presents resource
sur l’évaluation environnementale. Canadian material including checklists and guidelines for many
Environmental Assessment Agency (CEAA), Hull, of the procedures.
Quebec. (162 p.)
This guide is one part of the Canadian Environmental Canadian Environmental Assessment Agency
Assessment Act Procedural Manual, a set of reference (CEAA) (1996). Reference Guide: Assessing
materials designed to provide guidance on the Environmental Effects on Physical and
application of the Canadian Environmental Cultural Heritage Resources (second edition).
Assessment Act to federal government departments Canadian Environmental Assessment Agency, Hull.
and agencies, provincial and municipal governments,
private sector developers and members of the project.
The guide interprets the legal framework established Canadian Environmental Assessment Agency
by the Act and provides guidance to responsible (CEAA) (1997). Procedures for an Assessment
authorities for conducting environmental by a Review Panel: A guideline issued by the
assessments. It consists of separate guides for Honourable Christine S. Stewart, Minister of
managers and environmental assessment the Environment pursuant to s. 58(1)(a) of the
practitioners, and includes a set of detailed Reference Canadian Environmental Assessment Act.
Guides on specific assessment topics including Canadian Environmental Assessment Agency, Hull,
Cumulative Environmental Effects, Public Registries, Quebec. (29 p.)
Determining whether a project is likely to cause
This document sets out the procedures to be applied to
Significant Adverse Effects, and Federal Coordination
all assessments of a project, by a review panel from
Regulations.
the responsible authority or the Minister of the
Environment, for the period beginning from referral
Canadian Environmental Assessment Agency (including pre-referral notice) and ending at
(CEAA) (1995). Directory of Environmental government response to the report of the panel. The
Impact Assessment Practices in Canada. procedures are intended to be followed by all federal
Canadian Environmental Assessment Agency review panels. Annexes include a list of documents in a
(CEAA), Hull, Quebec. (ii, 47 p.) panel review, federal-provincial harmonisation
This directory provides a listing of various EIA legal agreements, and a detailed flow chart of the panel
and policy instruments and guidelines in Canada, at process.
federal, sectoral, provincial, and territorial levels. It
identifies the EIA legislation and regulation in various
Canadian Environmental Assessment Agency
jurisdictions and the EA policy statements and
directives of government departments and (CEAA) (1997). Guide to the Preparation of a
organizations. It also has an appendix listing contacts Comprehensive Study for Proponents and
for the producers of the guides and other Responsible Authorities. Canadian
documentation. Although some of the information is Environmental Assessment Agency, Hull, Quebec.
out of date, this Directory remains nonetheless a (70 p.)
valuable and comprehensive source for Canadian EIA This document offers guidance to those involved in
guidelines and related information. It is understood planning, conducting, documenting, reviewing and
participating in the comprehensive study of projects, the Canadian Environmental Assessment Act, the
in accordance with the Canadian Environmental guide is intended to be helpful for the conduct of
Assessment Act. A comprehensive study is a full CEA in any environmental assessment framework
environmental impact assessment applied to projects across the country.
that require a more intensive assessment than a
screening. Such projects tend to be large-scale and have
Department of Canadian Heritage (1995). Canadian
the potential to result in significant environmental
effects and/or to generate considerable public concern. Heritage Procedures for Complying with
The guide is divided into three phases. Phase 1 outlines Canadian Environmental Assessment Act.
the steps required to prepare for a comprehensive Department of Canadian Heritage, Ottawa.
study. Phase 2 discusses the steps necessary to conduct Contact: Department of Canadian Heritage, Environmental
the comprehensive study and to prepare the Conservation, Natural Resources Branch, 25 Eddy Street 4th Floor,
Hull, Quebec, K1A 0M5 Canada.
comprehensive study report. Phase 3 explains the
process followed by the CEAA and the Minister of the
Environment for the review and approval of the Department of the Environment (1995).
report. Department of the Environment CEAA
Contact: Canadian Environmental Assessment Agency (CEAA), 200 Handbook. Environmental Assessment, National
Sacre Coeur Blvd, Hull, Quebec, K1A 0H3, Canada. Programs Directorate, Department of the
Environment, Ottawa.
Canadian Environmental Assessment Agency Contact: Environment Canada, Environmental Assessment Branch,
(CEAA) (1998). Guide to Information National Programs Directorate, Place Vincent Massey, 351 St Joseph
Blvd., Hull, Quebec KIA 0H3, Canada.
Requirements for Federal Environmental
Assessment of Mining Projects in Canada.
Draft. Canadian Environmental Assessment Department of Fisheries and Oceans Department
Agency, Hull, Quebec. (ii, 42 p., appendices) of Fisheries and Oceans Guide to the
This guide is intended to offer a common and widely Implementation of CEAA. Department of
accepted reference point on environmental assessment Fisheries and Oceans, Ottawa.
information requirements and report preparation for Contact: Department of Fisheries and Oceans, Marine Environment
mining projects that are subject to the Canadian and Habitat, 200 Kent Street 11th Floor, Ottawa, Ontario K1A 0G2,
Canada.
Environmental Assessment Act. It also provides
additional guidance on key steps in preparing EIA
reports for mining projects. Part I of the document Department of Fisheries and Oceans (1995).
reviews EIA in relation to mining projects and provides Environmental Screening Guide. Department of
an overview of legislative requirements. Part II consists Fisheries and Oceans, Small Craft Harbours
of guidance on preparing an environmental assessment Directorate, Ottawa.
report. Appendices contain additional process and Contact: Department of Fisheries and Oceans, Marine Environment
technical information. and Habitat, 200 Kent Street 11th Floor, Ottawa, Ontario K1A 0G2,
Canada.
Department of Indian Affairs and Northern involve indigenous people. Finally, Section 5 is a
Development (1991). Northern Affairs synoptic summary of the guidelines.
Programme Guide to the Environmental Contact: Centre for Traditional Knowledge, Box 3443, Stn D, Ottawa,
Ontario, Canada K1P 6P4.
Assessment and Review Process. Department of
Indian Affairs and Northern Development, Natural
Resources and Economic Development Branch, Federal Environmental Assessment Review Office
Ottawa. (FEARO) (1988). Manual on Public Involvement
in Environmental Assessment: Planning and
Implementing Public Involvement Programs.
Department of Indian and Northern Affairs Canada Federal Environmental Assessment Review Office,
(1995). Implementation of the Canadian Ottawa.
Environmental Assessment Act at India Oil
Contact: Canadian Environmental Assessment Agency, 13th Floor,
and Gas Canada. India Oil and Gas Canada Fontaine Building, Hull, Quebec, Canada K1A 0H3.
Information Letter IL95-1. India and Northern
Affairs Canada, Alberta.
National Defence (1996). DND Environmental
Contact: Indian and Northern Affairs Canada, Northern Affairs
Program, Environment and Renewable Resources Directorate, Room
Assessment Manual. National Defence, Ottawa.
644 - 10 Wellington Street, Hull, Quebec K1A 0HA, Canada. Contact: National Defence Headquarters, Environmental Protection/
Resource Conservation, Ottawa, Ontario K1A 0K2, Canada.
procedures and guidelines in the USA. At the federal following three chapters examine in depth the
level, the Environmental Protection Agency (EPA) is preparation of an EIS, from how to determine
responsible for the management of the system while whether to prepare one to a detailed analysis of the
EIAs are undertaken by the developer and the “lead required contents. The final two chapters cover
agency”. This “lead agency” is responsible for deciding NEPA’s role in federal agency decision-making, and
if a project requires a preliminary “Environmental judicial review. Appendices include guidance on
Assessment” or a full “Environmental Impact scoping, Council on Environmental Quality (CEQ)
Statement” (EIS). A preliminary assessment may lead to regulations and guidelines, and sources of
the request for a full EIS or a “Finding of No information.
Significant Impact” (FONSI) being declared. Many Contact: Solano Press, PO Box 773, California 95468, USA.
individual States also have their own EIA systems
which are usually similar to the NEPA system. The
Council on Environmental Quality (CEQ) (1981).
current federal EIA practice has recently undergone an
Memorandum for General Counsels, NEPA
extensive review and changes are expected due to the
Liaisons and Participants in Scoping. Council on
increasing interest in cumulative environmental impact
Environmental Quality, Executive Office of the
assessment and strategic environmental assessment.
The review has also noted the increasing use of President, Washington D.C. (15 p.)
environmental assessments rather than the full Based on the experience of many agencies and other
Environmental Impact Statements and more participants in scoping, this document provides
identification of impacts needing mitigation. advice on what does and does not work. It does not
establish new requirements, but is intended to
In line with the rest of this Directory, the guidelines encourage the use of better techniques for ensuring
listed below cover the USA federal level only. However, public participation and efficiency in the scoping
responses to our requests for documents from relevant process. It leads government agencies step-by-step
federal agencies varied and coverage may not be through the scoping process, highlights the pitfalls,
complete. Contact details of NEPA liaisons in all provides practical methods for analysis and gives
relevant federal agencies are provided in a list available advice for public participants.
from the Council for Environmental Quality (CEQ)
(also available on the Internet at http://ceq.eh.doe.gov/. Council on Environmental Quality (CEQ) (1983).
Many States have also produced their own guidelines, Memorandum for Heads of Federal Agencies.
and individual State contacts are also available from Council on Environmental Quality, Executive Office
the CEQ. Many of these also have their own Websites of the President, Washington D.C. (12 p.)
on the Internet, and a useful Internet site linked to the
individual responsible State agencies can be found on
the Australian government website at http:// Council on Environmental Quality (CEQ) (1992). The
environment.gov.au/portfolio/epg/other_govt.html. Council on Environmental Quality Regulations
The EPA website is http://www.epa.gov/. Implementing the Procedural Provisions of the
National Environmental Policy Act. Council on
Bass, R.E. & Herson, A.I. (1993). Mastering NEPA: A Environmental Quality, Washington D.C. (46 p.)
Step-by-Step Approach. Solano Press Books, Point
Arena, California. (233 p.) Council on Environmental Quality (CEQ) (1993).
The National Environmental Policy Act (NEPA) is the Incorporating Biodiversity Considerations into
United States’ broadest environmental law. It applies Environmental Impact Analysis under the
to all federal agencies and most of the agencies they National Environmental Policy Act. Council on
manage, regulate that effect the environment. It requires Environmental Quality, Executive Office of the
all agencies to disclose and consider the environmental President, Washington D.C. (vii, 29 p.)
impact of their proposed actions, through the
This report provides a background to the complex
preparation of an environmental impact statement
subject of biodiversity, and outlines some general
(EIS).
concepts that underlie biodiversity analysis and
management. It describes how the issue is currently
This guidebook provides the users with a simplified
addressed in National Environmental Policy Act
framework for understanding NEPA and
(NEPA) analyses, and gives recommendations for
incorporating it into their agencies’ day-to-day
improving the consideration of biodiversity in these
activities, helping them obtain maximum benefit from
analyses. Examples of biodiversity indicator variables
the environmental review process.
are given in an appendix.
The first chapter provides background to NEPA, and
the steps involved in its implementation. The
Council on Environmental Quality (CEQ) (1997). Department of Housing and Urban Development
Considering Cumulative Effects Under the (1995). Environmental Assessment Guide for
National Environmental Policy Act. Council on Housing Projects (Handbook 1390.2)
Environmental Quality, Executive Office of the Department of Housing and Urban Development,
President, Washington D.C. (xii, 64, 2 appendices) Washington D.C.
This handbook presents the results of research and
consultations by the Council on Environmental
Quality (CEQ) concerning the consideration of
Department of Housing and Urban Development
cumulative effects in analyses prepared under the (1998). Training Manual For HUD Staff to
National Enviromental Policy Act (NEPA). It Conduct an Environmental Review. Department
introduces the issue of cumulative effects, outlines of Housing and Urban Development, Washington
general principles, and then discusses basic steps for D.C.
the incorporation of cumulative effects analysis into Contact: US Department of Housing and Urban Development,
the various stages of environmental impact Washington D.C., United States of America.
assessment - scoping, describing the affected
environment and determining the environmental Department of the Interior (1980). Departmental
consequences. The last chapter discusses developing a Manual: Environmental Quality, Part 516
cumulative effects analysis methodology that draws National Environmental Policy Act of 1969.
upon existing methods, techniques and tools. An Department of the Interior, Washington D.C. (75
appendix provides brief descriptions of 11 cumulative p.)
effects analysis methods.
This manual establishes the Department’s policies and
procedures for complying with the National
Council on Environmental Quality (CEQ) (undated). Environmental Policy Act (NEPA), and also the
Environmental Justice: Guidance under the regulations of the Council on Environmental Quality
National Environmental Policy Act. Council on (CEQ) implementing the procedural provisions of
Environmental Quality, Executive Office of the NEPA.
President, Washington D.C. (ii, 28 p.) Contact: Department of the Interior, MS 2340 Interior Building, 1849
C Street NW, Washington D.C., United States of America.
This document provides guidance on how
environmental justice issues (as described in Executive
Order 12898) should be considered under the Environmental Protection Agency (undated). EPA
National Environmental Policy Act (NEPA). It lays out Procedures for Implementing the
general principles, and then considers environmental Requirements of the Council on
justice in specific phases of the NEPA process, from Environmental Quality in the National
scoping to mitigation. An appendix provides guidance Environmental Policy Act (40 CRF Part 6)
on key terms in Executive Order 12898. Environmental Protection Agency, Washington
Contact: Council on Environmental Quality, Executive Office of the D.C. (59 p.)
President, 722 Jackson Place NW, Washington D.C. 20503, United
States of America. This document is set out in 10 parts, each of which
deals with a specific aspect of the Council of
Environmental Quality’s requirements. These include
Department of Housing and Urban Development content of EISs, coordination with other
(1991). The Noise Guidebook. Department of environmental review and consultation requirements,
Housing and Urban Development, Washington and public and other federal agency involvement. It
D.C. then addresses the environmental review procedures
for a number of sectors including wastewater
treatment, the new source National Pollutant
Department of Housing and Urban Development Discharge Elimination System (NPDES) programme,
(1991). Environmental Review Guide for Office of Research and Development projects, solid
Community Development Block Grant waste demonstration projects, and EPA facility support
Programs. Department of Housing and Urban activities. The final part deals with the assessment of
Development, Washington D.C. the environmental effects abroad of EPA actions.
Department of Housing and Urban Development Environmental Protection Agency (1984). Policy
(1994). A Guide to HUD Environmental Criteria and Procedures for the Review of Federal
and Standards contained in 24 CFR 51 Actions Impacting the Environment.
(Handbook 1390.4) Department of Housing and Environmental Protection Agency, Washington D.C.
Urban Development, Washington D.C. (28 p.)
This document establishes policies and procedures for Environmental Protection Agency (1993).
carrying out the EPA’s responsibilities to review and Sourcebook for the Environmental Assessment
comment on Federal actions affecting the quality of the (EA) Process. United States Environmental
environment. It assigns specific responsibilities and Protection Agency, Washington D.C. (400 p.)
outlines mechanisms for resolving problems that arise This sourcebook was developed in response to an
in the environmental review process. As well as increasing demand for information on the EA process
considering the review process for environmental in the United States by foreign governments, states and
impact statements, the document covers monitoring others. Although the sourcebook reflects the U.S.
and follow-up, review of documents other than experience in implementing the National
environmental impact statements and referrals to the Environmental Policy Act (NEPA), the process
Council on Environmental Quality. An appendix described is widely applicable.
provides a summary of rating definitions and follow-
up action. The focus is on project-level EA, and the book is
organised around the major EA components, including
Environmental Protection Agency (EPA) & Science scoping, assessment, decision-making and post-
Applications International Corporation (1991). decision analysis. Each section contains a description
Checklist for NEPA Reviewers - Non-Coal Mine of the activity followed by subsections describing the
Sites. Final Draft. Environmental Protection relevant needs, tools, issues, linkages and references. In
Agency, Washington D.C. (i, 76 p.) addition attachments to each section provide
information that is often not widely available e.g.
These guidelines are intended to assist EPA staff in internal reports, pertinent journal articles etc.
providing scoping comments on National
Environmental Policy Act (NEPA) documents for non- The sourcebook is intended to be an easy to use
coal mining activities. The guidelines focus on EPA’s reference manual. It is in a loose-leaf format, designed
major concerns with surface and groundwater, air, and to facilitate frequent updating. A supplement is
sensitive receptors of impacts - as related to mining. provided on diskettes.
The document provides an overview of site operations,
potential environmental impacts associated with the
operation, possible mitigation measures and types of Southerland, M. & Environmental Protection Agency
questions that the EPA should raise. The document is (EPA) (1993). Habitat Evaluation: Guidance for
intended to cover all major non-coal mining sectors the Review of Environmental Impact
including gold and silver, base metals and phosphate. Assessment Documents. Environmental
Protection Agency, Washington D.C. (vii, 129p.)
Environmental Protection Agency (EPA) & Science This document is designed to assist National
Applications International Corporation (1992). Environmental Policy Act (NEPA) reviewers in
Background for NEPA Reviewers: Crude Oil evaluating the ecological risks associated with the
and Natural Gas Exploration, Development impacts of federal activities. In particular it is intended
and Production. Draft., Washington D.C. (95p.) to help reviewers recommend mitigations to prevent
the loss of habitat. The document starts with a general
This document is intended to assist EPA staff in discussion of habitat issues relevant to environmental
providing scoping comments on National assessment, including habitat values, degrading
Environmental Policy Act (NEPA) documents. It activities, impacts and mitigations. Eight regional
focuses on the EPA’s major concerns with surface and habitat evaluation sections, representing the six major
groundwater, air, and ecosystems and sensitive habitat regions of the US plus Alaska and Hawaii,
receptors as related to oil and gas. It does not discuss provided more specific information. Each regional
human health risks in any detail since such risks are discussion includes a list of habitats of concern,
very site-specific. Also, it addresses only onshore activities impacting on habitats and recommended
operations and does not deal with offshore drilling mitigations for habitat conservation. The focus of the
and development. The document provides a general document is on terrestrial habitats, and it is not
description of site operations, potential environmental intended to serve as complete guidance or as a
impacts associated with each operation, possible simplified checklist for environmental project review.
mitigation measures, and types of questions to be
raised by the EPA. The document focuses on those
operations that have significant impact on the Southerland, M. & Environmental Protection Agency
environment, including reserve pits, drillings fluids/ (EPA) (1994). Evaluation of Ecological Impacts
cuttings management, water disposal, well site and from Highway Development. Environmental
road construction, pipelines and storage tanks, and Protection Agency, Washington D.C. (iv, 69p.)
production operations.
This report builds on the guidance provided in Point Source Categories. Environmental Protection
Habitat Evaluation: Guidance for the Review of Agency, Washington D.C. (vi, 258 p.)
Environmental Impact Assessment Documents, and These guidelines provide background information for
provides specific information on the ecological EPA staff, and for applicants, for new source National
impacts associated with highway development. The Pollutant Discharge Elimination System (NPDES)
document focuses on the potential mitigations that permits on the scope and content of environmental
may be implemented during highway planning, assessments. The document is a supplement to the
design, construction and operation. The document more general Environmental Impact Assessment
illustrates how the evaluation of ecological impacts Guidelines for Selected new Source Industries, which
meets existing requirements for National provides general guidance for preparing environmental
Environmental Policy Act (NEPA) analyses. It then assessments. An historical overview of the 1969
discusses the many specific impacts on ecosystems National Environmental Policy Act (NEPA) is given,
that result from highway development activities and including the information required from permit
goes on to provide a framework for addressing applicants and EPA’s review procedures. The document
ecosystem conservation through evaluation of goes on to provide an overview of the pulp and paper
highway impacts. Specific methods for evaluating and timber industries, including major processes,
these impacts are presented along with mitigation process wastes, control technologies and pollution
measures. A bibliography is included. prevention measures. The major environmental issues
associated with the industries are described, including
Environmental Protection Agency (EPA) & Science impacts on water quality and quantity, impacts on air
Applications International Corporation (1994). quality, solid waste management impacts, issues related
Environmental Impact Assessment Guidelines to siting and construction, socioeconomic issues,
for New Source NPDES Permits. Ore Mining aesthetics and noise. Guidance is then provided on the
and Dressing and Coal Mining and Preparation NEPA requirements for impact analysis. Finally, a
regulatory overview gives information on the various
Plants Point Source Categories. Environmental
statutes that affect the pulp and paper and timber
Protection Agency, Washington D.C. (vii, 325 p.)
industries.
These guidelines provide background information for
EPA staff to assist them in consulting with, and
directing, applicants for new source National Environmental Protection Agency (EPA) & Science
Pollutant Discharge Elimination System (NPDES) Applications International Corporation (1994). EIA
permits. The document sets out the scope and contents Guidelines for New Source Petroleum
of environmental information documents (EIDs) and is Refineries and Coal Gasification Facilities.
a reference to assist the identification and evaluation of Environmental Protection Agency, Washington
the potential impacts of proposed mining projects. The D.C. (xii, 128 p.)
guidelines consider the requirements and provisions of These guidelines are arranged in three parts. A
the National Environmental Policy Act of 1969 regulatory overview outlines the National
(NEPA). They then provide an overview of ore Environmental Policy Act (NEPA), the Clean Water Act
mining and dressing; commodity-specific mining under which National Pollutant Discharge Elimination
(including precious metals, iron, uranium and other System (NPDES) permits are granted, and other
metals); coal mining and processing. Environmental relevant laws and statutes that provide the regulatory
issues and impacts associated with mining operations context for the guidelines. A technology overview
are then considered, including: acid rock drainage, covers the processes and pollution control activities
cyanide heap leaching, structural stability of tailings that are used in petroleum refining and coal
impoundments, sedimentation/erosion, pollutants, air gasification. Finally, a section on environmental
quality, subsidence and methane emissions. A section documentation sets out the structure of a typical
on impact analysis describes specific NEPA environmental impact statement. Emphasis is on
requirements and needs, building on the information qualitative and quantitative approaches for
presented in the previous sections. A final section identifying the occurrence, magnitude and
looks at the statutory framework, describing the significance of specific impacts.
purpose and broad goals of the various Federal
statutes that are applicable to the mining industry.
Environmental Protection Agency (EPA) & Science
Applications International Corporation (1994).
Environmental Protection Agency (EPA) & Science Environmental Impact Assessment Guidelines
Applications International Corporation (1994). for New Source Fossil Fueled Steam Electric
Environmental Impact Assessment Guidelines Generating Stations. Environmental Protection
for New Source NPDES Permits. Pulp, Paper, and Agency, Washington D.C. (viii, 95 p.)
Paperboard and Timber Products Processing
These guidelines are in three parts. A regulatory Environmental Protection Agency (EPA) & Science
overview outlines the National Environmental Policy Applications International Corporation (1995).
Act (NEPA), the Clean Water Act under which Pollution Prevention - Environmental Impact
National Pollutant Discharge Elimination System Reduction Checklists for NEPA/309 Reviewers.
(NPDES) permits are granted, and other relevant laws Environmental Protection Agency, Washington
and statutes that provide the regulatory context for the D.C. (110 p.)
guidelines. A technology overview covers the processes
This guidance was prepares to assist National
and pollution control activities that are used in fossil
Environmental Policy Act (NEPA)/Section 309 Clean
fueled steam electric generating stations. The final part
Air Act reviewers in incorporating pollution
on environmental documentation follows the structure
prevention into each step of the environmental review
of a typical environmental impact statement. Emphasis
process, including scoping, mitigation, monitoring and
is on qualitative and quantitative approaches for
enforcement. Following a brief introduction to the
identifying the occurrence, magnitude and significance
concept of pollution prevention, the document
of specific impacts.
provides 30 sectoral checklists for environmental
impact reduction. These cover the following: energy
Environmental Protection Agency (EPA) & Science management; habitat protection; landscaping; pest
Applications International Corporation (1994). management; siting; vehicle maintenance; water use;
Background for NEPA Reviewers - Grazing on irrigation; airports; construction; chemical
Federal Lands. Environmental Protection Agency, demilitarization; coal-fired power plants; dams,
Washington D.C. (iii, 39p.) hydropower and water supply reservoirs; defense
testing; dredging; flood control; forestry; grazing;
This document is intended to assist EPA staff in
hazardous waste incinerators, storage and treatment
providing scoping comments and comments on
facilities; highways and bridges; military base closure;
National Environmental Policy Act (NEPA) documents
mining; natural gas pipelines; nuclear
associated with grazing on federal lands, such as
decommissioning; oil and gas; recreation and tourism;
grazing environmental impact statements and resource
rockets and missiles; landfills; and waste site
management plans. The document focuses on the EPA’s
investigations and cleanup activities.
major concerns with surface and groundwater, soils
and ecosystems as related to livestock overgrazing and
provides technical background material explaining Environmental Protection Agency (1995). Draft
these issues. The document includes a technical Guidance for Consideration of Environmental
description of grazing; potential environmental Justice in Clean Air Act 309 Reviews.
impacts, direct and indirect, associated with grazing; Environmental Protection Agency, Washington
possible mitigation measures; types of questions that D.C. (10 p.)
should be raised by the EPA; and an explanation of the
This guidance is intended to help EPA environmental
statutory and regulatory framework under which
reviewers achieve two goals in reviewing environmental
grazing on federal land occurs.
effects of proposed actions under section 309 of the
Clean Air Act. Firstly, to ensure the full analysis of
Environmental Protection Agency (EPA) & Science environmental effects on minority communities and
Applications International Corporation (1994). low-income communities, including human health,
Energy Efficiency Reference for Environmental social and economic effects, as directed in the Executive
Reviewers. Environmental Protection Agency, Order signed by President Clinton in February 1994
Washington D.C. (ii, 46p.) Federal Actions to Address Environmental Justice in
Minority Populations and Low-Income Populations.
This document provides background information on
Secondly, to identify project impacts, alternatives and
the ways that the environmental review process
mitigation measures that minimize environmental
required by the National Environmental Policy Act
effects, including identifying and addressing impacts
(NEPA) and the environmental oversight provisions
to minority communities and low-income
of Section 309 of the Clean Air Act (CAA) can be
communities, as mandated by the National
employed to prevent pollution and save valuable
Environmental Policy Act (NEPA). The document
natural resources through the promotion of energy
notes that the issues associated with environmental
efficiency. The document describes a number of
justice are complex and diverse and that every region
processes and methodologies for energy impact
will encounter unique situations. This guidance is
assessment and provides an overview of the regulatory
therefore not intended to be the definitive guide on
and policy framework relating to energy conservation.
the subject.
An appendix gives details of a number of energy
conservation programmes in practice.
Environmental Protection Agency (1997). Interim Federal Emergency Management Agency (FEMA)
Final Guidance for Incorporating Environmental (undated). 44 CFR Part 10: Environmental
Justice Concerns in EPA’s NEPA Compliance Considerations. Federal Emergency Management
Analyses. Environmental Protection Agency, Agency, Washington D.C. (10 p.)
Washington D.C. (iv, 57 p.) This document implements the Council on
This document provides guidance on how to Environmental Quality’s regulations. It provides policy
implement environmental justice goals into the EPA’s and procedures to enable FEMA officials to be
preparation of environmental impact statements and informed of, and take account of, environmental
environmental assessments under the National considerations when authorising or approving major
Environmental Policy Act (NEPA). It highlights FEMA actions that significantly affect the environment
important ways in which EPA-prepared NEPA in the United States.
documentation may help to identify and address Contact: Federal Emergency Management Agency, 500 C Street SW,
environmental justice concerns by considering the full Washington D.C. 20472, United States of America.
potential for disproportionately high and adverse
human health or environmental effects on minority Interorganizational Committee on Guidelines and
populations and low-income populations. Methods Principles for Social Impact Assessment (1994).
and tools for identifying and assessing such effects are Guidelines and Principles for Social Impact
illustrated and mechanisms to enhance public Assessment. NOAA Technical Memorandum
participation are considered. NMFS-F/SPO-16. U.S. Department of Commerce,
Contact: US Environmental Protection Agency, Office of Federal
Activities, 401 M Street, SW, Washington DC 20460, USA.
Washington, D.C. (29 p.)
This monograph presents the central principles of
social impact assessments (SIA) and some operational
Federal Aviation Authority (FAA) (1986). Policies guidelines for use by federal agencies. Social impacts
and Procedures for Considering Environmental are defined in terms of efforts to assess or estimate in
Impacts. Federal Aviation Authority, Department advance, the social consequences that are likely to
of Transportation, Washington D.C. (54 p.) follow from specific policy actions and specific
This document establishes policy and procedure for government actions, particularly in the context of the
assuring FAA compliance with environmental US National Environmental Policy Act (NEPA) of
procedures as set forth in the Council on 1969.
Environmental Quality regulations for implementing
the procedural provisions of the National The document is the first systematic and
Environmental Policy Act (NEPA). It provides advice interdisciplinary statement to offer guidelines and
on the various stages of the environmental assessment principles to assist government agencies and private
process, from preliminary procedures to preparation sector interests in using SIA to make better decisions
of environmental impact statements. Appendices under NEPA. A broad overview on SIA is provided,
provide further information on specific activities focusing less on methodological details - although the
including airports, air traffic and environment and basic steps in the SIA process are laid out - and more
energy. on the guidelines and principles for the preparation of
Contact: Federal Aviation Authority, Department of Transportation, technically and substantively adequate SIA’s within
800 Independence Avenue SW, Washington D.C. 20591, United States reasonable time and resource constraints.
of America.
Contact: International Association for Impact Assessment, PO Box 70,
Belhaven NC 27810, USA.
Federal Emergency Management Agency (FEMA)
(undated). FEMA’s NEPA Desk Reference. Federal
Emergency Management Agency, Washington
D.C. (53 p.)
This document is a student reference which is
distributed to FEMA training course participants and
is at present the only guidance on EIA produced by
the Agency. It provides an overview of the National
Environmental Policy Act (NEPA), how this is
implemented by FEMA, and when and how FEMA
should conduct an environmental assessment.
Contact: Federal Emergency Management Agency, 500 C Street SW,
Washington D.C. 20472, United States of America.
Arctic
Council of Managers of National Antarctic
EIA is legislated in all of the eight countries
Programmes (CONMAP) (1992). The Antarctic
surrounding the Arctic (Denmark/Greenland, Finland,
Environmental Assessment Process: Practical
Iceland, Norway, Sweden, Canada, USA (Alaska) and
Guidelines. (second edition) Council of Managers Russia). In 1991, the Arctic Environment Protection
of National Antarctic Programmes (CONMAP), Strategy (AEPS) was agreed by the arctic nations. The
Washington D.C. (11 p.) Arctic Council, established in September 1996,
This guide provides general advice to managers of assumed control of the AEPS and other activities. EIA
national Antarctic programmes on the implementation guidelines were published in 1997. EIA will be an
of EIA procedures in Antarctica. Such procedures are integral part of the Arctic Offshore Oil and Gas
Guidelines prepared under PAME (Protection of The introduction explains the aim of the guidelines
Arctic Marine Environment, AEPS). and the key tasks and objectives of an Arctic EIA
process, explaining why EIA in the arctic is special
and what are its important elements. Subsequent
Ministry of the Environment (1997). Guidelines for
sections consider when an EIA should be undertaken
Environmental Impact Assessment in the Arctic: and the scope of an assessment, and review the need
Arctic Environmental Protection Strategy. for baseline information. Types of impact, cumulative
Ministry of the Environment, Helsinki. (50 p.) impacts, impact prediction, and evaluation of impacts
These guidelines are the result of an international are also discussed. Further sections cover mitigation
effort involving all of the Arctic countries, and monitoring, the EIA document, public
representatives of indigenous peoples and the WWF participation, traditional knowledge and
Arctic Programme. They give practical guidance for transboundary impacts. There are several appendices
EA in the northern circumpolar areas, especially for covering: common Arctic features, areas demanding
local authorities, developers and local people. The particular attention, definitions, and sources of
guidelines raise issues that are unique to arctic information.
assessments - such as permafrost - but they also Contact: Finnish Ministry of the Environment, PO Box 399, FIN-00251
emphasise universal issues that are particularly Helsinki, Finland.
important in the Arctic - such as public participation
and the use of traditional knowledge.
Agency
Guidelines
164 The Guidelines
MULTILATERAL
DEVELOPMENT BANKS
Multilateral Development Banks
covers: alternative project design; development The first chapter is an introduction. The second is a
approach (including the legal framework); valuation sector overview which discusses forest and watershed
and compensation (including land ownership, tenure resources, describes the Bank’s priorities and projects
and acquisition, shelter, infrastructure and social and provides a rationale for EA. Chapter 3 deals with
services), environmental protection and management, environmental issues in this sector and examines:
and cost estimation. macroeconomic policies; biodiversity, wildlands and
wetlands; and WID perspectives. A tabular framework
for EAs is presented with potential environmental
African Development Bank (AFDB) (1997).
impacts for each of four types of project (planting,
Environmental Assessment Guidelines: Fisheries. harvesting, processing, and watershed improvement)
African Development Bank, Abidjan. (viii, 35 p., 5 divided into physical, biological and social effects.
appendices) Potential mitigation measures are listed for each
The sector overview sets out the Bank’s priorities and negative impact, and potential enhancement measures
existing and future projects. Chapter 3 deals with are listed for each positive effect. Further sub-sections
environmental issues in this sector and discusses: discuss the impacts of these four types of projects.
resources and problems; benefits associated with the
sector; and issues and impacts in respect of capture-
based and aquaculture fisheries. African Development Bank (AFDB) (1997).
Environmental Assessment Guidelines:
Education. African Development Bank, Abidjan. (viii,
African Development Bank (AFDB) (1997). 63 p., 5 appendices)
Environmental Assessment Guidelines: Energy. The first chapter is an introduction. The second is a
African Development Bank, Abidjan. (viii, 69 p., 5 sector overview which sets out priority areas for Bank
appendices) educational projects. Chapter 3 deals with
The sector overview sets out the Bank’s priorities for environmental issues in this sector and presents a
non-renewable (oil and gas, coal and nuclear) and rational for EA. It examines potential environmental
renewable (hydropower, solar, wind, biomass) energy impacts, mitigation and enhancement, and discusses
sources. Energy use, potential and production is also educational infrastructure and the positive impacts of
discussed. Chapter 3 deals with environmental issues educational programs covering: environmental
and impacts in this sector and examines: alternative curriculum components, teacher training, cross-
energy - both non-renewable energy sources (including sectoral collaboration, literacy programs, skills and
thermoelectric projects) and renewable sources on-the-job training, micro-credit lending, and income
(hydropower, solar energy systems, wind energy, generating activities.
geothermal energy and biomass); transmission and
distribution (oil and gas pipelines, electrical African Development Bank (AFDB) (1997).
transmission lines). Environmental Assessment Guidelines:
Irrigation. African Development Bank, Abidjan. (viii,
African Development Bank (AFDB) (1997). 73 p., 5 appendices)
Environmental Assessment Guidelines: Crop The first chapter is an introduction. The second gives
Production. African Development Bank, Abidjan. an overview of the irrigation sector. Chapter 3 deals
(viii, 68 p., 5 appendices) with potential environmental impacts and mitigation
in this sector. There are sub-sections covering physical
The sector overview sets out the Bank’s objectives,
and chemical impacts (in relation to such matters as
describes its crop production programmes, provides a
soils, management of nutrients in irrigation,
rationale for EA of crop production and considers
groundwater, return irrigation flows quality, etc.);
specific issues related to food crops and export/
biological impacts; human and cultural impacts;
industrial crops. Chapter 3 deals with environmental
impacts and mitigation during construction and during
issues in this sector and examines: environmental
operations and maintenance; education on the practice
impacts, mitigation and enhancement; physical issues
of irrigation and drainage projects; and remote sensing
(soil and water quality); biological issues (particularly
and GIS. Chapter sets out questions to be asked at
habitat loss and decreased biodiversity); and social
each stage of the project cycle and the final chapter
issues (health, resettlement, land tenure, alternative
discusses technical and institutional resources and
land use, and cultural resources).
constraints. Appendices provide: a list of AFDB
environmental and policy documents; outline of
African Development Bank (AFDB) (1997). Category I and II environmental impact studies;
Environmental Assessment Guidelines: Forestry environmental documentation for Category III
and Watershed Management. African Development projects; ‘women in development’ perspectives in EA;
Bank, Abidjan. (viii, 96 p., 5 appendices) and technical guidance.
African Development Bank (AFDB) (1995). industrial and power development projects, and
Environmental Assessment Guidelines on infrastructure projects. It is understood that all three
Coastal and Marine Resources Management. are currently under revision (July 1998).
African Development Bank, Abidjan. (vi, 136 p., 6
annexes) The purpose of the guidelines is to enable Bank
project staff to prepare an initial environmental
These guidelines are primarily for use by Bank staff
assessment. The sectors considered are irrigation,
and are intended as flexible procedures to be
fisheries/aquaculture, watershed development, coastal
regularly revised. They are organized in six chapters.
zone development, forestry and land clearance. For
Chapter 1 is an introduction which also outlines the
each sector, the required procedure for conducting the
Bank’s overall environmental policy. Chapter 2
initial assessment is detailed with a checklist of
discusses the main issues in coastal zones and
environmental parameters to be considered, examples
introduces the concept of integrated coastal zone
of mitigation measures and an outline for a full EIA.
management. It briefly focuses on demographic and
As in the other manuals the final annex contains
infrastructural pressure and global sea rise. The next
guidelines for all types of projects including
chapter provides an overview of coastal habitats and
resettlement, encroachment and noise abatement.
resources, their distribution and uses, and an
assessment of development trends for Africa as a
whole as well as for selected countries. Chapter 4 Asian Development Bank (ASDB) (1991).
addresses the need for strengthening environmental Environmental Guidelines for Selected
and other institutions related to the management of Infrastructure Projects. Asian Development Bank,
coastal and marine resources. Guidelines of particular Manila. (xiv, 128 p.)
relevance for coastal and marine resources are given This manual is one of a series of three prepared by
in Chapter 5, organised by sector. The final chapter the Asian Development Bank for use by the Bank’s
presents the project cycle adopted by the AFDB. project divisions. The other two volumes cover
There are six annexes covering: a list of literature, agricultural and natural resource development
sample terms of reference for EA, sample lists of projects, and industrial and power development
contents for an EIA report, the AFDB checklist for projects. It is understood that all three are currently
initial environmental examination, sample table of under revision (July 1998).
contents for a coastal zone management plan, and the
Montreal Guidelines on Land-Based Pollution. The guidelines are designed for use by Bank project
Contact: African Development Bank, BP 1387, Abidjan 01, Cote staff, to enable them to prepare an initial
d’Ivoire.
environmental assessment (IEE) for the proposed
project. Annexes set out guidelines, checklists and
report formats for the IEE for specific projects:
airports, highways and roads, ports and harbours,
Asian Development Bank sewerage and excreta disposal, community water
Asian Development Bank (ASDB) (1987). Handbook supply systems and urban development. As in the
on the Use of Pesticides in the Asia-Pacific other manuals in the series, the final annex provides
Region. Asian Development Bank, Manila. (294 p.) guidelines relevant to all types of projects, covering
issues such as environmental standards and critical
parameters.
Asian Development Bank (ASDB) 1988). Guidelines
for Integrated Regional Economics-cum- Asian Development Bank (ASDB) (1990).
Environmental Development Planning: A Environmental Guidelines for Selected
Review of Regional Environmental Planning Industrial and Power Development Projects.
Studies in Asia. I: Guidelines, II: Case Studies. Asian Development Bank, Manila. (xiii, 154 p.)
Asian Development Bank, Manila (xi, 125 p., case This manual is one of a series of three prepared by
studies) the Asian Development Bank for use by the Bank’s
project divisions. The other two volumes in the series
cover agricultural and natural resource development
Asian Development Bank (ASDB) (1987). projects, and infrastructure projects. It is understood
Environmental Guidelines for Selected that all three are currently under revision (July 1998).
Agricultural and Natural Resources
Development Projects. Asian Development Bank, The purpose of the guidelines is to assist Bank project
Manila. (iv, 115 p.) staff to prepare an initial environmental assessment
This manual is one of a series of three prepared by (IEE) for the proposed project. The annexes of the
the Asian Development Bank for use by the Bank’s manual set out guidelines, checklists and report
project divisions. The other two volumes cover formats for the IEE for specific projects. These
include: dams, reservoirs and hydropower; thermal This paper, prepared by the East-West Centre,
power development; industries; fertilizer; mining; Honolulu, is one of a series published by the Asian
cement manufacturing plants; power transmission Development Bank dealing with environmental and
lines; oil and gas distribution lines. The final annex natural resources planning and management in the
provides guidelines relevant to all types of projects, Asian and Pacific region. It is a training and reference
covering issues such as resettlement, pollution control document intended to help project managers in the
and monitoring. Bank and in developing countries to apply
environmental risk assessment (ERA) in decision-
making. The document provides a good, though brief,
Asian Development Bank (ASDB) (1991).
account of ERA and its application.
Environmental Evaluation of Coastal Zone
Projects: Methods and Approaches. ASDB The several parts of the document are designed for
Environment Paper. Asian Development Bank, different uses. Part 1 presents the state-of-the-art (in
Manila. (ii, 72 p.) 1990) of ERA and serves as a reference for
The material in this paper supplements that provided understanding the procedures and guidelines in Part
in several previous ASDB documents: “Environmental 2. The Guidelines themselves (Part 2) are a stepwise
Guidelines for Selected Agricultural and Natural approach to setting Terms of Reference for an ERA.
Resources Development Projects” (1987); The logic diagrams and checklists screen projects to
“Guidelines for Integrated Economic-cum- select which require ERA and set the scope of the
Environmental Development Planning” (1988); and analysis. Part 3 comprises case examples that
“How to Assess Environmental Impacts of Tropical illustrate the Guidelines.
Islands and Coastal Areas” (prepared by the East-
West Centre, Hawaii, 1989).
Asian Development Bank (ASDB) (1991).
Key features of selected coastal habitats are described Environmental Considerations in Energy
for non-technical readers, followed by a fuller Development. Asian Development Bank, Manila.
treatment of the potential impacts of development
projects at the level of an initial environmental
Asian Development Bank (ASDB) (1993).
assessment (IEE). These are presented in the form of
Environmental Assessment Requirements and
impact matrices covering three broad categories of
projects: managed ecosystems (agriculture, wetland Environmental Review Procedures of the Asian
forestry, nearshore fisheries, and aquaculture/ Development Bank. Asian Development Bank,
mariculture); infrastructure (roads, ports and Manila. (43 p.)
harbours, and residential urban development); and,
industry (location, design, construction, and
Asian Development Bank (ASDB) (1993). Guidelines
operations). Cross-sectoral impacts and interactions
for Incorporation of Social Dimensions in Bank
are also considered.
Operations. Asian Development Bank, Manila. (viii,
The document then applies the integrated planning 39 p.)
approach (discussed in “Environmental Guidelines These guidelines supersede the 1991 Guidelines for
for Selected Agricultural and Natural Resources Social Analysis of Development Projects. They aim to
Development Projects” mentioned above) to coastal encourage the incorporation of social dimensions in
zone development. It discusses regional and local the formulation of development strategies, in the
coastal resource plans and gives country examples of translation of strategies into operational
coastal resource management approaches. programmes, and in the design, implementation and
Appendices include an ASDB checklist for IEE of evaluation of development programmes and projects.
coastal zone projects and a list of organisations
dealing with wetlands and coastal habitats in ASDB’s The guidelines are for use by Bank staff, consultants,
developing member countries. member countries and other practitioners, and
provide an overall framework for incorporation of
social issues and associated processes in all the Bank’s
Asian Development Bank (ASDB) (1991). operations. Detailed instructions for incorporating
Environmental Risk Assessment: Dealing with specific social dimensions are provided in the
Uncertainty in Environmental Impact companion volume Handbook for Incorporation of
Assessment. ASDB Environment Paper. Asian Social Dimensions in Projects (1995).
Development Bank, Manila. (vii, 182 p.) Contact: Asian Development Bank (ASDB), PO Box 789, 1099 Manila,
Philippines.
ASDB (1995). Handbook for Incorporation of This manual is a scientific training guide which
Social Dimensions in Projects. Asian Development recommends various techniques of EIA, whilst
Bank, Manila. (104 p.) stressing the need to develop an individual approach
This handbook is a supplement to Guidelines for towards each project. Its theme is the prediction of
Incorporation of Social Dimensions in Bank future environmental conditions resulting from
Operations (1993) and provides detailed suggestions economic development and technological change.
for incorporating social dimensions into projects. It
presents an overview of the elements which are The manual explains how to design an EIA, and
covered in a social analysis, describes a framework suggests key references to assist the practitioner
for application of this analysis and provides guidance undertake a full assessment. The documents provides
on conducting the analysis. Checklists are provided a framework for drawing up terms of reference for
for 19 subsectors including forestry, water supply and EIA consultants, and also as a useful standard for
sanitation, health and education, and development of EIA reviews. It is a useful desk reference work,
small scale enterprises. providing definitions of common terms, examples of
impacts and mitigative measures. Specific sectors
covered by the manual include: agriculture, forestry,
Birley, M.H. & Peralta, G.L. (1992). Guidelines for fisheries, tourism, energy, mining, waste
the Health Impact Assessment of Development management, construction, ports and harbours.
Projects. AsDB Environment Paper No. 11. Asian
Development Bank, Manila. (45 p. + Appendices) Dixon, J.D. et al. (1988). Economic Analysis of the
This is one of a series of documents produced by the Environmental Impacts of Development
Asian Development Bank describing tools for use in Projects. Asian Development Bank, & Earthscan,
the field. It is aimed at a non technical audience and London.
provides a methodological framework. The document Contact: Asian Development Bank (ASDB), PO Box 789, 1099 Manila,
guides readers to more detailed information via the Philippines.
reading lists. This approach makes for a clear and
succinct guide.
The main text contains five chapters describing health Caribbean Development Bank
and its rationale for inclusion, types of health hazard,
Caribbean Development Bank (CDB) (undated).
their identification, Initial Health Examination (IHE),
Procedures for Environmental Impact
and Health Impact Assessment (HIA). IHE aims to
Assessment (EIA). Caribbean Development Bank,
screen projects for health hazards as part of an Initial
St Michael. (5 p.)
Environmental Examination (IEE). If projects pose a
potential health a full HIA will be required. This This short document lists the categories assigned to
involves three main tasks - the identification of the projects/components at the screening stage, and
hazard, interpreting the health risk, and risk identifies the responsibilities of the project officer.
management. Stress is placed on the need for good Annex I illustrates the types of projects/components
collaboration between organisations and experts and that might we included within the categories.
on the need for community involvement. Contact: Caribbean Development Bank (CDB), PO Box 408, Wildey, St
Michael, Barbados.
analysis required at each stage of the project cycle environmental examination, and environmental
and other necessary compliance mechanisms. DBSA’s action plans. The environmental appraisal process
procedures are compatible with the South African within the Bank is set out in detail with sections
Department of Environmental Affairs’ Integrated covering: operational identification, initial review,
Environment Management Guidelines, and also aim environmental investigations, consultation with the
to be compatible with internationally accepted public, negotiations/environmental covenants, final
procedures - in particular those of the World Bank review, Board approval, monitoring, completion and
and Asian Development Bank. evaluation, reappraisal of operations, and workout
and foreclosure. There are five annexes covering:
The guidelines are in two sections covering principles public consultation, sample formats for EBRD EIA
of environmental analysis, and environmental and audit reports, screening categories, and
analysis and the project cycle, supported by flow environmental standards.
diagrams. Appendices provide a categorisation of
projects based on potential environmental impact, a
European Bank for Reconstruction and Development
list of designated and demarcated areas as a guide to
projects requiring sensitive analysis, suggested (EBRD) (1997). Investors’ Guidelines for
contents for an initial environmental examination Environment, Health and Safety: Russian
report and for an environmental assessment report, Federation. Volumes 1 and 2. European Bank for
and a list of projects for which initial environmental Reconstruction and Development, London. (Vol 1:
matrices have been prepared. xiv, 149 p.; Vol 2: iii, 40 p., 5 annexes)
Contact: Corporate Affairs Division, Development Bank of Southern This is the first in a series of guidebooks for potential
Africa, PO Box 1234, Halfway House 1685, South Africa. investors focusing on environmental, health and
safety regulations that should be taken into account
in making investment decisions in Eastern Europe
and the countries of the former Soviet Union. This
European Bank for document deals with the Russian Federation and is
Reconstruction and Development intended to enable investors to familiarise themselves
with the basic environmental regulatory regime
European Bank for Reconstruction and Development related to commercial and industrial greenfield site
& EC’s PHARE Programme (1994). Investors’ developments, joint venture operations or company
Environmental Guidelines. Graham and Trotman, acquisitions in the Russian Federation. The
London. (540 p.) guidebook reviews institutional arrangements for
These guidelines are designed to clarify the environmental control, legislative requirements and
environmental requirements in nine European procedures, time implications for permitting, public
countries: Bulgaria, the Czech and Slovak Republics, consultation requirements, liability and sanctions.
Estonia, Hungary, Latvia, Lithuania, Poland and
Romania. For each country, an overview is provided The guidebook is organised in two parts. Volume 1
of the administrative structure, environmental contains 15 chapters dealing with the principles of
legislation and other regulatory requirements. The environmental, natural resource and safety
EIA process is described and the environmental regulations in the Russian Federation. Chapter 4
requirements applicable to industrial and commercial describes the requirements for and processes of pre-
facilities are presented for air emissions, water use, investment environmental investigation and
noise, waste management, and use of chemicals. environmental review, lists the scope of activities
Annexes for each country detail the key legislation, subject to such review and projects requiring EIA,
regulatory bodies, environmental standards and describes documentation and reports required and the
investment projects subject to EIA. issues to be covered, discusses provisions for public
participation, and covers environmental audit
requirements.
European Bank for Reconstruction and Development
(EBRD) (1996). Environmental Procedures. Volume 2 contains a number of case studies which
European Bank for Reconstruction and present a view of environmental regulations as they
Development, London. (31p.) are practiced in various regions of the country.
This document is a revision of procedures for Bank Annexes list permitting and enforcement authorities,
staff first published in 1992 and addresses the legislative and normative Acts, proposed legislation,
environmental appraisal process. Roles and international conventions to which Russia is a
responsibilities in this process are described together signatory, and selected regulations on technical and
with types of environmental appraisal work: EIA, economic substantiation (TEO) and EIA.
environmental analysis, environmental audit, initial Contact: European Bank for Reconstruction and Development, One
Exchange Square, London EC2A, United Kingdom.
Bank operations are classified according to their World Bank (1991). Local Participation in
environmental impacts as follows: Category I - Environmental Assessments of Projects.
operations which are designed specifically to improve Environmental Assessment Working Paper; 2.
environmental quality and, in general, do not require Environment Division, Africa Region, World Bank,
an EIA; Category II - operations that have no direct Washington, D.C. (11 p.)
or indirect environmental impact and, therefore, do
The World Bank’s Environmental Assessment
not require an EIA; Category III - operations which
Operational Directive (OD 4.00) calls for the
may have a moderate impact on the environment and
involvement of affected groups and NGOs in project
those that have recognised and well-defined
design and implementation, and particularly in the
solutions, usually requiring a preliminary EIA (in
preparation of EA reports. It is recognised, however,
some cases with a full EIA for specific components);
that conditions for effective local participation vary
and Category IV - operations which may have
significantly between regions of the developing
significant negative impacts and require a full EIA.
world, between countries within a region, and even
Contact: Inter-American Development Bank (IADB), 1300 New York
Avenue NW, Washington DC 20577, USA.
between different parts of the same country. These
guidelines are thus intended to promote the most
effective local participation possible in the context of
the Africa region.
World Bank
The guidelines were prepared to assist regional staff,
Haeuber, R. (1992). A Citizen’s Guide to World consultants, and borrower staff in planning for local
Bank Environmental Assessment Procedures. participation in project environmental assessments.
World Bank, Washington D.C. They are intended to complement the instructions
given in Operational Directive 4.00, Annex A, and
Brief precis of world Bank EA procedures. the more extensive guidance provided in Chapter 7 of
the Bank’s Environmental Assessment Sourcebook
(World Bank 1991). A short checklist for Task
Seglins, V. (undated). Investors Guidelines for Managers follows the guidelines, a more detailed
Performing Environmental Due Diligence in version of which may be found in Chapter 7 of the
Latvia. Ministry of Finance, World Bank, Riga. Sourcebook.
(28 p.)
The goal of environmental due diligence is to identify
World Bank (1991). Environmental Assessment
and assess the environmental consequences of
Sourcebook. World Bank, Washington D.C. (3
economic activity, to determine the environmental
volumes)
situation in a particular area, and to develop
proposals to improve environmental quality. In This Sourcebook collects World Bank policies and
Latvia, this is a necessary requirement prior to the procedures, guidelines, precedents and practices
financing or realisation of any economic activity. regarding the environment into a three volume set of
These guidelines explain the mandatory minimum documents (referenced separately below). It is a
requirements an investor must fulfill, and the EIA reference manual which contains the information
process conducted by regional and/or national needed to manage the process of EA according to the
environmental authorities. requirements of the Bank’s Operational Directive on
EA (OD 4.00 Annex A, October 1989). It is
specifically designed to assist EA practitioners,
World Bank (1989). Operational Directive 4.00 project designers and Bank task managers, but is of
Annex B: Environmental Policy for Dam and
interest and value to environmentalists in general and they have potentially significant environmental
to all those concerned with EA or involved in impacts. Projects are described briefly, potential
establishing EA guidelines. The Sourcebook sets out impacts summarised and special issues noted.
to assist task managers in their advisory Possible alternatives to the project are outlined, and
responsibilities, through discussion of fundamental management and training needs discussed along with
environmental considerations (with emphasis on monitoring requirements. Each review provides a
those with relatively more impact); summaries of table of potential impacts and mitigatory measures.
relevant Bank policies; and analyses of other topics Sample terms of reference for the various project
that affect project implementation (e.g. financial types are given.
intermediary lending, community involvement,
economic evaluation). Chapter 8 is concerned with agriculture and rural
development with sections covering: management of
The contents have been organised to be individually agricultural production; integrated pest management
accessible. The focus is on those operations with and use of agrochemicals; agroindustry; dams and
major potential for negative environmental impact, reservoirs; fisheries; flood protection; natural forest
such as new infrastructure, dams and highways. management; plantation development/reforestation;
Projects with less negative potential, such as watershed development; irrigation and drainage;
maintenance and rehabilitation, are not examined in livestock and rangeland management; and rural
detail. The updates issued to date are referenced roads.
separately below. The most up-to-date version is
available electronically to those able to access the Chapter 9 covers population, health and nutrition,
Bank’s “All-in-one” electronic mail. transportation, urban development, water supply and
sewerage. The following sections are included: public
health and safety; environmental considerations for
Volume I: Policies, Procedures, and Cross-
development projects in urban areas; roads and
Sectoral Issues. World Bank Technical Paper 139 highways; inland navigation; port and harbor
(1991). (227 p.) facilities; large-scale housing projects; solid waste
Chapter 1 is recommended reading for those collection and disposal systems; tourism
responsible for a Bank-supported project with development; water supply; and wastewater
potential significant environmental impacts. It collection, treatment, reuse, and disposal systems.
summarises Bank EA requirements and outlines the
Bank’s environmental review process - from project
screening, at the time of identification, to post- Volume III: Guidelines for Environmental
completion evaluation. A number of ‘boxes’ illustrate Assessment of Energy and Industry Projects.
different applications of EA in development activities. World Bank Technical Paper 154. ( xiii, 237 p.)
OD 4.00, Annex A is provided as an appendix with This volume contains Chapter 10, which discusses
other Bank operational policy and procedural energy and industry and includes 20 sections:
documents relevant to EA. Annex 1-3 offers a industry hazard management; hazardous material
standard format for Terms of Reference for an EA. management; plant siting and industrial estate
development; electric power transmission systems, oil
Chapters 2 and 3 consider ecological and socio- and gas pipelines; oil and gas development - offshore
cultural issues, respectively, which are likely to arise and onshore; hydroelectric projects; thermoelectric
in EA. In contrast, Chapters 4, 5 and 6 deal with projects; financing nuclear power (options for the
‘methods’: economic evaluation; institutional Bank); cement; chemical and petrochemical industry;
strengthening; and sector and financial intermediary fertilizers; food processing; small- and medium-scale
lending. Chapter 7 discusses the implications of OD industries; iron and steel manufacturing; nonferrous
4.00, Annex A, with respect to community metals; petroleum refining; pulp, paper and timber
involvement and the role of NGOs. processing; and mining and mineral processing.
Volume II: Sectoral Guidelines. World Bank World Bank (1993). Environmental Assessment
Technical Paper 140 (1991). (282 p.) Sourcebook Update No.1: The World Bank and
Chapters 8 and 9 in this volume, and Chapter 10 in Environmental Assessment: An Overview. World
Volume 3, outline general considerations and other Bank, Washington D.C. (4 p.)
relevant topics. The topics are indicated in the This first update provides a brief review of World
contents and are cross-referenced throughout the Bank efforts to integrate environmental concerns into
Sourcebook. The balance of each chapter covers the mainstream of its lending activities during the last
specific types of projects chosen primarily because two decades. It also gives a summary of the main
This Update builds on EA Sourcebook Update No. 3 discharges and planning appropriate levels of
and discusses in practical terms how GIS might be pollution. It complements EA Sourcebook Updates
introduced institutionally and technologically in the nos. 2, 7 and 10 concerned respectively with
project context. environmental screening, coastal zone management
and international environmental agreements. This
update is not a design manual, nor is it a definitive
World Bank (1995). Environmental Assessment
statement on the international or regional agreements
Sourcebook Update No.10: International governing discharges to the oceans. It expands on pp.
Agreements on Environment and Natural 231-236, Vol II, of the EA Sourcebook.
Resources, Relevance and Application in
Environmental Assessment. Environment
Department, The World Bank, Washington D.C. (8 p.) World Bank (1996). Environmental Assessment
Since 1991, significant developments have taken place
Sourcebook Update No.14: Environmental
in the area of international environmental law, Performance Monitoring and Supervision.
particularly with regard to global concerns: climate, Environment Department, The World Bank,
biological diversity, and the high seas. This Update Washington D.C. (8 p.)
revises the EA Sourcebook (pp. 63-65) on these Environmental performance monitoring (EPM)
conventions and provides more in-depth information incorporates technical and institutional activities to
on some particularly important agreements. measure and evaluate environmental changes induced
by a project. This Update defines EPM and discusses
its objectives. It considers the process of implementing
World Bank (1995). Environmental Assessment EPM and supervision of Bank projects covering:
Sourcebook Update No.11: Environmental project preparation and appraisal considerations,
Auditing. Environment Department, The World Bank, developing a performance monitoring programme,
Washington D.C. (10 p.) preparing a supervision plan, implementation,
This Update discusses the principles of environmental institutional issues, public consultation and
auditing and different types of audits: compliance involvement, and the role of panels of experts. The
audits, liability audits, environmental management advantages for EPM of sectoral and regional EAs is
systems, auditing company environmental statements, also discussed.
and specialised audits. The Update also covers how
audits can be used in the context of Bank projects and
describes the various stages of an environmental audit. World Bank (1996). Environmental Assessment
Useful boxes provide examples of terms of reference Sourcebook Update No.15: Regional
for a liability audit, a checklist of relevant audit Environmental Assessment. Environment
activities and examples of audit processes in practice. Department, The World Bank, Washington D.C.
(10 p.)
Regional Environmental Assessment (REA) is a tool
World Bank (1996). Environmental Assessment used by the World Bank to help development planners
Update No.12: Elimination of Ozone Depleting design investment strategies, programmes and projects
Substances. Environment Department, The World that are environmentally sustainable for a region as a
Bank, Washington D.C. (8 p.) whole. REAs take into account the opportunities and
This update provides guidance on the issues associated limitations represented by the environment of a region
with the use of ozone depleting substances (ODSs) and and assess on-going and planned activities from a
the application of EA to control such substances. It regional perspective. This Update describes REA in
also provides a comprehensive introduction to terms of its nature and purpose, advantages,
alternative technologies, processes or chemicals which operational context, selection criteria, and key
may be employed to control the release of ODSs from components. It also discusses challenges associated
existing or proposed developments. with REA preparation and offers examples from
World Bank experience. The Update expands upon
existing information in Chapter 1, pp. 12-14 in the EA
World Bank (1996). Environmental Assessment
Sourcebook.
Sourcebook Update No.13: Guidelines for Marine
Outfalls and Alternative Disposal and Reuse
World Bank (1996). Environmental Assessment
Options. Environment Department, The World Bank,
Sourcebook Update No.16: Challenges of
Washington D.C. (10 p.)
Managing the EA Process. Environment
This update focuses on assessing the potential Department, The World Bank, Washington D.C. (8 p.)
environmental impacts of proposed sewage outfalls on
coastal waters and estuaries. It is intended to assist This Update attempts to identify the most important
those involved in managing coastal wastewater challenges that face individuals and institutions
responsible for managing and preparing environmental World Bank (1997). Environmental Assessment
assessments (EAs), particularly in relation to their Sourcebook Update No.20: Biodiversity and
implementation. It covers the selection and Environmental Assessment. Environment
management of EA teams, impact identification and Department, The World Bank, Washington D.C.
prediction, evaluation of impact significance, and (10 p.)
information presentation, and suggests approaches for
This update provides an introduction to the policy
addressing the challenges. This Update supplements
framework for protection or enhancement of
information in Chapter 1 of the EA Sourcebook.
biodiversity, the relevant project contexts where
biodiversity may be adversely impacted (or
World Bank (1996). Environmental Assessment conversely, projects which offer opportunities for
Sourcebook Update No.17: Analysis of conserving or enhancing biodiversity), and guidelines
Alternatives in Environmental Assessment. for integrating biodiversity concerns into EA. It
Environment Department, The World Bank, complements Chapter 2 of the EA Sourcebook.
Washington D.C. (10 p.)
This Update builds on lessons learned from the Second World Bank (1997). Environmental Assessment
EA Review of World Bank-financed projects, and Update No.21: Environmental Hazard and Risk
outlines how analysis of alternatives (designs, sites, Assessment. Environment Department, The World
technologies and operational alternatives) can be Bank, Washington D.C. (10 p.)
undertaken at different levels of development planning,
This update provides an introduction to hazard and
through project-specific, sectoral and regional EAs.
risk assessment, outlines some available
Although it does not attempt to provide a thorough
methodologies, and discusses the use of these
review of decision methods for comparative assessment
techniques in assessing environmental liability.
of alternatives, this Update aims to provide broad
guidance on comparative assessment and an
introduction to systematic methods for comparing World Bank (1998). Environmental Assessment
alternatives. The Update expands on existing material Sourcebook Update No.22: Environmental
in Chapter 1 of the EA Sourcebook. Assessment of Mining Projects. Environment
Department, The World Bank, Washington D.C.
(12 p.)
World Bank (1997). Environmental Assessment
Sourcebook Update No.18: Health Aspects of This update provides an introduction to the
Environmental Assessment. Environment environmental issues associated with mining
Department, The World Bank, Washington D.C. activities, the relevant contexts where the World Bank
(10 p.) might be involved with mining projects, and the
extent to which environmental issues should be
This update provides guidance to task managers and addressed by private or public sector organisations
borrowers on systematically integrating public health seeking World Bank Group support for such projects.
and safety concerns into EA. There are sections on The primary focus is on physical environmental
health hazards, risks and impacts; screening projects issues and only brief mention is made of social
for health hazards; health risk assessment; and health impacts. The Update complements material in
risk management. Chapter 10, pages 179-194 of the Environmental
Assessment Sourcebook.
World Bank (1997). Environmental Assessment
Sourcebook Update No.19: Assessing the World Bank (1998). Environmental Assessment
Environmental Impact of Urban Development. Sourcebook Update No.23: Economic
Environment Department, The World Bank, Assessment and Environmental Assessment.
Washington D.C. (10 p.) Environment Department, The World Bank,
This update discusses how environmental assessment Washington D.C. (14 p.)
(EA) can contribute to improved urban development
This Update replaces guidance provided in Chapter 4
and environmental planning at the project and policy
of the EA Sourcebook. It discusses the relationship of
levels, and introduces analytical tools to support such
EA and economic analysis and gives guidance on how
planning. It expands on Volume II, pages 153-167 of
the latter might incorporate environmental costs and
the EA Sourcebook, and provides background for a
benefits.
forthcoming update on urban environmental auditing,
a tool to determine baseline environmental conditions
in urban areas.
World Bank (1994). Incorporating Social country project managers use environmental and
Assessment and Participation into Biodiversity social assessment effectively to aid project design and
Conservation Projects. Environment Department, implementation. The booklet describes the Bank’s
The World Bank, Washington D.C. (10 p., structure and its various institutions, its strategy for
assisting countries to move towards sustainable
2 annexes)
development, the elements of its project cycle and the
This best practice note is intended primarily for role of EA and SA in this. The Bank’s environment-
Global Environment Facility (GEF) and World Bank and social-related policies and procedures are listed,
task managers working on various types of and original texts of these are included in full.
biodiversity conservation projects, but is useful more
widely. The main body of the document discusses the
social challenges of preparing biodiversity World Bank (1997). Pollution Prevention and
conservation projects: in particular, ways of designing Abatement Handbook: Toward Cleaner
projects where ecological requirements are met at the Production. The World Bank Group, UNIDO, UNEP,
same time that human needs are addressed. Sections WHO, Washington D.C. (vi, 544 p.)
cover the purposes of social assessment and This handbook replaces Environmental Guidelines
participation, key considerations in the design of published by the World Bank in 1988. It is based on
social assessments, and incorporating social technical documents from UNEP, UNIDO and
assessments into the project cycle. There are two commissioned consultant reports. The document
annexes: data gathering and analysis techniques comprises three parts. Part I summarises key policy
commonly used in social assessment of biodiversity lessons in pollution management, Part II provides
conservation projects; and a useful set of references. good practice notes on the implementation of policy
objectives, and Part III includes detailed guidelines to
be applied in preparing World Bank Group projects
World Bank (1996). Introduction to
where a full EIA is not deemed to be warranted and/
Environmental and Social Assessment
or as a starting point for an environmental
Requirements and Procedures for World Bank-
assessment. The guidelines cover some 40 industrial
Financed Projects. Environment Department, The
sectors, and provide numerical targets for reducing
World Bank, Washington D.C. (222 p.) pollution as part of production processes, as well as
This booklet was prepared primarily to assist the maximum emission levels that are normally
economic transition of Kazakhstan, but is useful in a achievable through a combination of cleaner
general context also. It provides an introduction, for production and end-of-pipe treatment. Some sections
both professionals and the public, to the World Bank of Part II are still in draft or under reviewed and will
Group and the Bank’s environmental and social be included in the final published version in 1998.
policies and activities. It is intended to help in- Contact: World Bank, 1818 H Street NW, Washington DC 20433, USA.
(Canadian Agency for International Development, Canadian International Development Agency (CIDA)
Directorate General for Natural Resources, Forestry (1996). Manual on the Canadian Environmental
Sector), Hull, Quebec. (51 p.) Assessment Act for the Canada Fund and
Mission-Administered Funds. Environmental
Assessment and Compliance Unit, Policy Branch,
Canadian International Development Agency (CIDA) Canadian International Development Agency, Hull,
(1995). Implementation of the Canadian Quebec. (43 p.)
Environmental Assessment Act (CEAA) Canadian
This manual is designed to assist CIDA field staff to
International Development Agency, Hull, Quebec.
integrate EA into small-scale development projects in
(170 p.)
developing countries. It provides practical guidance
This document, presented in both French and on how to meet the spirit and intent of the Canadian
English, is a tool kit on the Canadian Environmental Environmental Assessment Act (CEAA) within the
Assessment Act (CEAA) in eight sections providing context of the Canada Fund and other Mission-
information on: management of EA and compliance administered funds. The information in the manual is
in CIDA; attached posters (3) describing the EA intended to be updated as field operations and EA
process; EA forms and instructions; public registry practices evolve. An overview on implementing
information; transition from the Environmental CEAA covers preliminary assessment, screening and
Assessment and Review Process Guidelines Order using EA processes other than the CEAA. Advice on
(EARPGO) to the CEAA; copies of the CEAA and maintaining a public registry of EA records for
amendments; the Inclusion List, Exclusion List and projects is provided and a framework is set out for
Comprehensive Study List regulations; and a guide to roles and responsibilities within Missions/Embassies.
the latter lists. Guidance is included on how to complete EA forms
and critical environmental factors to be considered in
the project planning process are presented. There is
Canadian International Development Agency (CIDA)
also a useful glossary of terms. There are several
(1995). Guide to Integrating Environmental
annexes including a list of projects excluded from the
Considerations into CIDA’s Policies and
CEAA, sample EA forms, sample mitigation measures
Programs. 2nd Draft. Canadian International
and EA design criteria, and generic terms of reference
Development Agency, Hull, Quebec. (84 p.)
for an EA.
This guide was developed to help staff in all Branches
of CIDA to clearly and objectively integrate
environmental considerations into their policy and Canadian International Development Agency (CIDA)
program activities. It comprises three parts: “The (1997). Environmental Assessment at the
Basics” which sets out a five step analytical approach Canadian International Development Agency /
to be taken; a “Work Book” with work sheets to help Les Évaluations Environnementales a l’Agence
staff work through an assessment; and “Going Canadienne de Développement International.
Further” which contains more detailed information Canadian International Development Agency, Hull,
including specialized advice for assessing Country Quebec. (23 p.)
and Regional Development Policy Frameworks, This pamphlet is introduced as the first in a series of
Branch Strategic Plans, Corporate Policies and documents (yet to be published) that will include a
Sectoral Reviews and Guidelines. detailed guide on procedures and practices within the
Canadian International Development Agency (CIDA).
Canadian International Development Agency (CIDA) This first ‘primer’ defines CIDA’s commitment to EA.
It describes the principles of EA and how it has
(1995). The Geographic Program Road Map.
developed. It touches on Canada’s international and
Revision No.4. Canadian International
national obligations in terms of EA and shows how
Development Agency, Hull, Quebec. (99 p.)
the process is implemented at CIDA and in other
This ‘Road Map’ summarizes current CIDA countries. Finally, it summarises the future prospects
information on the project cycle. Its contents are for EA. This primer will be of interest to those who
revised and updated as required. Chapter 1 provides have not had much experience with EA. It also aims
an overview of the document. Chapter 8 indicates to be a guide for using EA as part of sustainable
how issues such as environmental analysis and risk decision-making in all CIDA branches.
analysis should be addressed in the project cycle, and Contact: Canadian International Development Agency (CIDA), 200
Chapter 9 describes the procedures relating to the Promenade du Portage, Hull K1A 0G4, Quebec, Canada.
application of the Canadian Environmental
Assessment Act (1995) to bilateral project
Emery, A. & Patten, L. (1997). Guidelines for
management.
Environmental Assessments and Traditional
Knowledge. Prototype. Centre for Traditional
Zusammenarbeit (GTZ), the Kreditanstalt fur the related information are still limited. In the
Wiederaufbau (KfW) and other German organisations. introduction it is recognised that it should not be
They incorporate new technical developments viewed as an exhaustive compendium, but rather a
concerning environmental protection and experience manual still in the process of being compiled. It has a
gained using the original publication. modular structure to permit both the addition of
further information to existing sections and the
Volume I: Introduction, Cross-Sectoral Planning, inclusion of new or supplementary sections. The
Infrastructure. (591 p) main sections are: guidelines for the user; standards
for influences on the environment; standards for
The first section provides guidelines for conducting a
environmental quality; chemical substances and
comprehensive study of a project’s environmental
groups of substances/register of substances; and
aspects. Under the theme of cross-sectoral planning are
international environmental legislation.
seven briefs covering: spatial and regional planning;
Supplementary lists include the WHO recommended
locations for trade and industry; overall energy; water
classification of selected pesticides according to
framework; transport and traffic; tourism; and
hazards, and the FAO/UNEP Joint Programme on
analysis, diagnosis and testing. The last section on
Prior Informed Consent (PIC) Import Decisions from
infrastructure contains 19 briefs covering: provision
participating countries (as of July 1994). A
and rehabilitation of housing; public facilities (schools,
bibliography, list of abbreviations, and units and
health care, hospitals); urban water supply; rural water
measures are also included.
supply; disposal of wastewater, solid waste and
hazardous waste; erosion control; road building, and
maintenance and building of rural roads; road traffic; Bundesministerium für wirtschaftliche
railways and railway operation; airports; river and Zusammenarbeit und Entwicklung (BMZ) (German
canal engineering; rural hydraulic engineering; large- Federal Ministry for Economic Cooperation and
scale hydraulic engineering; inland ports; shipping on Development) (1995). Environmental Impact
inland waterways; ports and harbours, port Assessment in Development Cooperation
construction and operations; and shipping. Projects. Bundesministerium für wirtschaftliche
Zusammenarbeit und Entwicklung, Bonn. (19 p.)
Volume II: Agriculture, Mining/Energy, Trade/
This document provides guidance on the role and
Industry (736 p.) application of EIA within German development
This volume incorporates three sections. The first cooperation, and comprises a series of short sections.
concerns agriculture with 8 briefs covering: plant The first two set out the origins and role of
production; plant protection; forestry; livestock environmental protection within German
farming; veterinary services; fisheries and aquaculture; development policy and introduce the basic elements
agricultural engineering; and irrigation. The next of EIA. Section 3 focuses on EIA in development
section on mining and energy contains a further 9 cooperation, discussing the historical context and the
briefs dealing with: reconnaissance, prospecting and aim and structure of EIA, whilst section 4 is
exploration of geological resources; surface and concerned with key issues in assessing environmental
underground mining; minerals (handling and impacts. Subsequent sections deal with project
processing); petroleum and natural gas (exploration, classification (BMZ uses 5 categories), the use of the
production, handling storage); coking plants, coal-to- ER (environmental and resource protection) ‘label’ as
gas plants, gas production and distribution; thermal an administrative tool in annual project planning, the
power stations; power transmission and distribution; use of EIA within the project process, and applying
and renewable sources of energy. The third section EIA in practice within BMZ and its implementing
covers trade and industry with 16 briefs on: institutions. Reference is made to other documents
nitrogenous fertilisers (raw materials, ammonia, and and sources of information, including the three-
urea production, starting materials and end products); volume BMZ manual (BMZ 1995) - its contents are
cement and lime, gypsum; ceramics (fine, utilitarian listed in Annex 2. Section 8 considers problems in the
and industrial); glass; iron and steel; non-ferrous application and development of EIA.
metals; mechanical engineering, workshops and Contact: Bundesministerium fur Wirtschaftliche Zusammenarbeit
shipyards; agro-industry; slaughterhouses and meat (BMZ), Friedrich-Ebert-Allee 114-116, D-5300 Bonn, Germany.
processing; mills handling cereal crops; vegetable oils
and fats; sugar; timber, sawmills, wood processing and
wood products; pulp and paper; and textile processing. Petermann, T. (1996). Environmental Appraisals
for Agricultural and Irrigated Land
Volume III: Compendium of Environmental Development. Deutsche Stiftung für internationale
Standards (660 p.) Entwicklung (DSE) (German Foundation for
This volume contains information about environmental International Development), Zentralstelle für
standards, but those described in full and the scope of Ernährung und Landwirtschaft (ZEL) (Food and
EIA, the process in relation to the project cycle and Study on Fishery Development Projects. Japan
environmental considerations for the sector concerned. International Cooperation Agency, Tokyo. (Available in
Chapter 2 deals with project and site description whilst Japanese and English)
Chapters 3 and 4 cover screening and scoping, These guidelines aim to assist JICA staff and mission
respectively. Each document contains numerous tables, members in screening and scoping during the
figures, formats for organising and presenting environmental impact review of JICA development
information, checklists, matrices, evaluation forms, studies for projects in the fisheries sector. The
tabulated explanatory notes, and a flow chart of introduction sets out the scope of the guidelines in the
environmental impacts, and also contains a set of context of JICA’s ‘environmental consideration’ process
definitions of terms. (screening, scoping, initial environmental examination
and EIA). Chapter 1 outlines the basic concept of this
I. Ports and Harbors process and relates it to the project cycle. It also
II. Airports discusses the components of fisheries development
III. Roads projects and related environmental impacts. Chapter 2
IV
IV.. Railways presents the main guidelines with introductory notes on
V. River and Er osion Contr
Erosion ol
Control their use. A section is devoted to preparing project and
VI. Solid W aste Management
Waste site description forms for fisheries projects, with a list of
VII. Sewerage the major types of operation. Other sections deal with
VIII. Groundwater Development initial screening and joint screening and scoping
IX. W ater Supply Development
Water (supported by checklists and reference matrices), overall
X. Regional Development evaluation, and the preparation of a preparatory study
XI. T ourism Development
Tourism report. A further and substantial section considers the
XII. T ranspor
Transpor tation Development
ransportation possible significant environmental impacts to be assessed
XIII. Urban T ranspor
Transpor tation Development
ransportation for projects in the fisheries sector, with definitions and
discussion of major potential impacts, development
Japanese International Cooperation Agency (JICA) activities generating impacts, special considerations for
(1992). Environmental Guidelines on JICA environmental assessment, mitigative measures, and
Development Study for Agricultural and Rural related studies required. Environmentally-sensitive areas
Development Projects. Japanese International requiring special attention are also described. A glossary
Cooperation Agency, Tokyo. (Available in Japanese of terms is included.
and English)
These guidelines aim to assist screening and scoping Japanese International Cooperation Agency (JICA)
during the environmental impact review of JICA (1993). Environmental Guidelines on JICA
development studies for projects in the agricultural Development Study for Mining Development
sector. They are intended to be an easy-to-use reference Projects. Environmental Guidelines for
manual, and will be reviewed on the basis of comments Infrastructure Projects (JR 93-120) Japanese
and suggestions by users. Chapter 1 discusses basic International Development Agency, Tokyo. (307 p.)
concepts of JICA’s ‘environmental consideration’ These guidelines are mainly in Japanese. Project and site
process (screening, scoping, initial environmental descriptions sheets, check lists for screening and scoping,
examination and EIA) and relates these to the project and a questionnaire on mining development, are
cycle. Chapter 2 outlines how to use the guidelines. provided in English.
Chapter 3 is concerned with preparing project and site
description forms. Initial screening and scoping are
dealt with in Chapter 4, and checklists and reference Japanese International Cooperation Agency (JICA)
matrices are provided. Chapter 5 focuses on joint (1993). Environmental Guidelines on JICA
screening and scoping procedures with checklists again Development Study for Industrial Development
included. Appendix A presents significant Projects. Environmental Guidelines for
environmental impacts and issues concerning Infrastructure Projects (JR 93-119) Japanese
agricultural and rural development projects, with International Cooperation Agency, Tokyo. (269 p.)
sections on significant natural and social environments.
These guidelines are mainly in Japanese. Project and site
Appendix B provides information on key international
descriptions sheets, check lists for screening and scoping,
treaties and international declarations for the
and a questionnaire on industrial development, are
agricultural environment. A final appendix is an
provided in English.
extensive glossary of terms. An index is also included.
Projects. Environmental Guidelines for identification of impacts at the early stages of project
Infrastructure Projects (JR 93-121) Japanese development. The material is based partly on
International Cooperation Agency, Tokyo. (269 p.) statements reports and recommendations of the World
These guidelines are mainly in Japanese. Project and Bank, OECD and bilateral donors as well as on
site descriptions sheets, check lists for screening and current policy documents of the Netherlands Ministry
scoping, and a questionnaire on power development, of Foreign Affairs. The document is intended for use of
are provided in English. embassy staff involved in the identification and
appraisal of projects and programmes, country desk
officers, consultants and counterpart staff. The EIA
Japan International Cooperation Agency (JICA) (1994). process is described in general terms, with more
Environmental Guidelines for JICA Development specific details on the Netherlands project cycle
Study on Forestry Development Projects. Japan process which stresses that EIA should be
International Cooperation Agency, Tokyo. (Japanese implemented at an early stage of project identification
and English versions available) and is relevant for all phases of the project cycle. A
These guidelines aim to assist screening and scoping procedure for initial screening of projects and
during the environmental impact review of JICA programmes is described.
development studies for projects in the forestry sector.
Chapter 1 discusses basic concepts of JICA’s Directorate General for International Cooperation
‘environmental consideration’ process (screening, (DGIS) (1994). Gender Assessment Study: A Guide
scoping, initial environmental examination and EIA) for Policy Staff. Special Programme Women and
and relates these to the project cycle. Chapter 2 Development, Directorate General for International
outlines how to use the guidelines. Chapter 3 is Cooperation, Ministry of Foreign Affairs, The Hague.
concerned with preparing project and site description
forms, and describes types of forestry development The purpose of this guide is to explain what a gender
projects. It discusses initial screening and scoping, joint assessment study is, why and when it can be useful,
screening and scoping, and provides checklists and and which methodologies can be used. The guide is
reference matrices. Procedures for overall evaluation intended to be used within the Netherlands’ bilateral
are outlined and guidance is given on the presentation aid programme and is primarily intended for DGIS
of a study report. An appendix sets out the major staff. It also provides useful information for other
environmental impacts to be assessed for projects in policy staff and development officers seeking to
this sector and describes significant natural and social incorporate gender concerns in the planning of
environments. A glosssary of terms is included. development projects. Chapter one of the guide sets
Contact: Japan International Cooperation Agency (JICA), JICE Desk,
the policy context for gender assessment. Chapter two
Shinguku MAYNDS Tower, 1-1, Yoyogi 2-chome, Shibuya-ku, Tokyo, describes the objectives of the study, and outlines the
Japan 151 key features including its relationship to the project
cycle. Chapter three describes the design and
organisation of the study while the final chapter sets
out a methodology. Annexes provide further
Netherlands / NEDA (formerly information on research methods and techniques.
DGIS)
Directorate General for International Cooperation Directorate General for International Cooperation
(DGIS) (1990). Environmental Impact Assessment (DGIS) (undated). Explanatory Notes on
in Development Cooperation: A Practical Tool for “Development Screening” of Project Assistance.
Initial Screening of Development Projects and Special Programme Women and Development,
Programmes. Directorate General for International Directorate General for International Cooperation,
Cooperation, Ministry of Foreign Affairs, The Hague. Ministry of Foreign Affairs, The Hague. (56 p.)
(31 p.)
Bisset, R. & Verbeek, L. Directorate General for
Directorate General for International Cooperation International Cooperation (DGIS) (1998). Guide for
(DGIS) (1993). Environmental Impact Assessment Environmental Appraisal for use in Development
in Development Cooperation. Directorate General Cooperation: Options for Action. Draft
for International Cooperation, Ministry of Foreign (WW124801) Directorate General for International
Affairs, The Hague. (31 p.) Cooperation, Ministry of Foreign Affairs, The Hague,
The Netherlands. (57 p.)
This publication is intended to present a procedure for
the initial environmental screening of development This draft guide provides practical advice and
projects, not the complete EIA process. It contains information to ensure that environmental issues are
information and some practical guidelines for the included in Netherlands Development Assistance
(NEDA) development cooperation activities. The hydropower development; water supply, wastewater,
overall goal is to improve current practice and ensure irrigation; transport; industry and energy; mining and
that there is a clear sequence of decisions showing how extraction of sand and gravel; and waste management.
environmental issues were incorporated throughout all Two more are due to be published later in 1995 covering
stages of a specific development cooperation activity. development of densely populated areas and use of
The guidance is based on the types of situation which chemical pesticides.
are most often faced by NEDA staff, and includes
advice on the selection of environmental actions/tools
Norwegian Agency for Development Cooperation
and subsequent management and coordination. The
guide is compatible with NEDA policy documents, (NORAD) (1990-1996). Environmental Impact
guidelines and working instruments. Assessment (EIA) of Development Aid Projects:
Contact: Netherlands Development Assistance, Ministry of Foreign Initial Environmental Assessments (series).
Affairs, PO Box 20061, 2500 EB The Hague, The Netherlands. Norwegian Agency for Development Cooperation, Oslo,
Norway.
Kessler, J.J. (1997). Strategic Environmental Each of the following sectoral guidelines, published
Analysis: Reader with Theoretical Background between 1990 and 1996, outlines the characteristics of
and Application Guidelines. AIDEnvironment, that sector and reviews the potential impacts of the
Amsterdam. (146 p.) sector on the environment. The final section includes a
checklist to assist project planners to assess and evaluate
This reader provides a detailed theoretical background potential impacts.
to Strategic Environmental Analysis (SEAn). There are
four chapters: introduction; concepts and approach 1. Agriculture (32 p.)
principles; basic structure and getting started; and 2. Animal Husbandry (30 p.)
executing the 10 methodological steps of SEAn. The 3: Forestry (28 p.)
document contains numerous case study boxes and 4: Fisheries (21 p.)
figures, There are six appendices: tools for SEAn, 5: Aquaculture (23 p.)
environmental monitoring (guidelines, tools, list of 6: Hydropower Development (21 p.)
indicators), checklist for environmental context 7: W ater Supply
Water Supply,, Wastewater (33 p.)
Wastewater
analysis, proposed table of contents of a SEA report, 8: Transpor
ransportt (35 p.)
Transpor
criteria for evaluation on environmental issues, and list 9: Industry and Energy (36 p.)
of references. 10: Mining and Extraction of Sand and Gravel (29 p.)
Contact: AIDEnvironment, Donker Curtiusstraat 7 - 523, 1051 JL
Amsterdam, The Netherlands.
11: W aste Management (31 p.)
Waste
12. Urban (37 p.)
13. Plant Protection (30 p.)
14. Oil and Gas (35 p.)
Norway / NORAD
Contact: Norwegian Agency for Development Cooperation (NORAD), PO
Norwegian Agency for Development Cooperation Box 8034 Oslo Dep, 0030 Oslo 1, Norway.
(NORAD) (1988). Environmental Impact
Assessment (EIA) of Development Aid Projects:
Check Lists for Initial Screening of Projects.
Norwegian Agency for Development Cooperation, Sweden / SIDA
Oslo, Norway. (29 p.) Swedish International Development Agency (SIDA)
This is the first of a series of booklets compiled to (1991). Riktlinjer for Miljokonsekvensbedomningar
assist project planners and desk officers to integrate i Bistandet (Guidelines for Environmental Impact
environmental considerations into various types of aid Assessment) Swedish International Development
projects at an early stage in the planning process. This Agency, Stockholm. (39 p.)
volume describes the role and scope of environmental Contact: Swedish International Development Agency, Birjir Jarsgeten 61,
impact assessment in development planning, together S10525 Stockholm, Sweden.
with a brief outline of the main components of the EIA
process. Check lists for initial screening of projects are Switzerland / SDC
included. These cover: agriculture; animal husbandry;
Swiss Development Cooperation (SDC) (1994). Impact
forestry; fisheries; aquaculture; hydro-electric power;
Hypotheses. Development and its Environmental
water supplies; irrigation; transport; industry; mining;
Impacts. Swiss Development Cooperation, Berne.
waste treatment and disposal; development of densely
(101 p.)
populated or urban areas; use of chemical pesticides.
Separate volumes in the series have now been prepared Although not strictly EIA guidelines, this document sets
for eleven of these project categories (agriculture; out hypotheses on environmental impact and describes
animal husbandry; forestry; fisheries; aquaculture; interactions in man-environment systems. It makes
projections about how these interactions might be gives practical guidance to ODA staff to address
affected by development activities. These are intended environmental issues early in the decision cycle of
as a tool to be used for assessing potential projects and programmes. Section 1 provides a simple,
environmental risks at an early stage. Following the step-by-step procedure to identify the environmental
introduction is a section describing the local setting, impacts of development projects and to take steps to
discussing social order, modes of production, and alleviate and manage them, supported by checklists.
cultural values and norms. The next section deals with Section 2 considers ways of valuing the environment in
sectoral interventions: renewable resources, industrial decision-making, describing the most important
production, the service sector, infrastructure, health multilateral environmental agreements and looks in
and education. The final section covers transectoral detail at special habitats and the most common
interventions: energy, training and advisory services, degradation processes. Section 3 gives an outline of
research, technology transfer, political dialogue and environmental analysis and audit. Its annexes deal with
structural adjustments, institutional and legal natural resources, infrastructure, urban development,
development, financial assistance, and humanitarian industry and mining, and tourism. Section 4 considers
aid. The document, originally published in German, is further practical methods of environmental appraisal
also available in French. whilst Section 5 deals with commissioning, managing,
Contact: Environmenmt & Forestry Service, Swiss Development monitoring and evaluating an EIA, and includes
Cooperation (SDC), 303 Berne, Switzerland. guidance on public participation in EIAs and involving
NGOs.
Contact: Environment Policy Department, Department for International
Development, 94 Victoria Street, London SW11E 5JL.
United Kingdom / DFID (formerly
ODA)
Overseas Development Administration (ODA) (1993). United States of America / USAID
Social Development Handbook: A Guide to Social
United States Agency for International Development
Issues in ODA Projects and Programmes. Overseas
(USAID) (1980). 22 CFR 216: Environmental
Development Administration, London, UK. (93 p.)
Procedures. AID Handbook 3 (US Government Federal
This first edition supplements advice on how to Register). United States Agency for International
address social issues described in ODA’s Guide to Aid Development, Washington D.C.. (Appendix 2D).
Procedures. Part 1 explains what is meant by social
development and social issues, and can be used either USAID uses the guidelines/procedures laid out in
as an introduction to the rest of the manual or as a 22CFR 216 Environmental Procedures for the majority
stand-alone document. Part 2 summarises the basic of its projects. However, when a project has a direct
questions for social impact assessment. This part of the significant impact on the environment of the U.S (for
handbook is designed for use by administrators and example a project in Mexico along the US border) or on
advisers during project identification and design, sector the global commons, USAID uses regulations/guidelines
reviews and project appraisal. Part 3 outlines the way of the Council for Environmental Quality (CEQ), and
in which social issues should be identified and Environmental Protection Agency (EPA). USAID has
addressed in ODA aid procedures, and this is resisted issuing formal guidelines that explain how to
expanded in Part 4 which examines social issues in implement 22 CFR 216 because of the legal ramification
various sectoral and non-sectoral aspects of ODA’s that a US government agency may not change a Federal
work. Nine sectoral checklists are provided (primarily Regulation other than by the very lengthy and difficult
intended for use by professional advisers working in formal amendment process. Issuing official guidelines
those sectors) to help identify and address social issues on how to implement 22 CFR 216 would be challenged
in projects. The final part of the handbook is also in court.
available as a separate document. It summarises
ODA’s approach to gender planning as a means of This document sets out the procedures to be followed in
enhancing women’s participation in development, the development of USAID programmes to ensure that
providing examples of how to incorporate this environmental factors and values are integrated into
approach into project design. USAID decision-making processes. They are Federal
Regulations and are intended to implement the
requirements of the National Environmental Protection
Overseas Development Administration (ODA) (1996). Act (1969) as they affect the USAID programme. The
The Manual of Environmental Appraisal. Overseas section on procedures covers requirements for initial
Development Administration, London. (v, 135 p.) environmental examination, threshold decision, negative
This five part document is an expanded revision of a declaration, scope of EA or impact statement,
manual first published in 1989 and updated in 1992. It preparation of EAs and EISs, processing and review
within USAID, environmental review after
authorization of financing, revisions, other approval Guidelines are presented for 18 diverse but
documents, and pesticide procedures. Other sections interrelated sectors. Individual sectors covered
provide more specific guidance on the content of include: agriculture (soil and water resources,
environmental assessments and EISs, and public including irrigation); timber harvesting and
hearings. production; livestock and range management;
fisheries management; ecotourism; small-scale rural
enterprises; small industry; rural roads and energy.
United States Agency for International Development
Multisectoral guidelines are provided for:
(USAID) (undated). Major Functional Series 200: agroforestry; integrated conservation and
USAID Programme Assistance. ADS 204 development projects; agricultural pest management;
Environmental Procedures. United States Agency water supply and sanitation; construction; waste
for International Development, Washington D.C.. (7 management; environmental mitigation during
p.) refugee relief; resettlement activities and the
This chapter provides policy and essential procedures environment; and food aid, humanitarian relief, and
about how to apply CFR 216 to the USAID the environment. For each sector, key questions and
assistance process in order to ensure that assessments suggested actions are included.
of the environmental consequences of all progams,
activities, and substantive amendments are in full The document also outlines the principles of EIA and
accordance with the requirements of Title 22 of the USAID’s environmental review procedures, and
Code of Federal Regulations, Part 216. describes the USAID African Bureau’s Activity
Categorization process for NGO/PVO grants and
subgrants. Two appendices provide guidelines for safe
Bottrell, D.G. & Mann, J.B. et al (1991). How to pesticide use and integrated pest management.
prepare environmental assessments of Another appendix describes the classification of
pesticide use in AID agriculture projects. project activities during activity planning and initial
Consortium for International Crop Protection, environmental assessment. An Environmental
United States Agency for International Screening and Reporting Form (ESF) is included, and
Development, Washington D.C.. (v, 54 p.) other appendices set out pertinent USAID
environmental procedures and strategies and
regulatory documents, and a useful list of key
Kenning Massa, A. (1992). Planning and contacts and reviewers. Finally, a list of useful
Production of Environmentally Sound Housing: general references and others specific to the sectors
Environmental Impact Assessment for Housing covered is also provided.
Development Projects. Office of Housing and
Urban Programs Working Paper. United States
Agency for International Development, Washington Phelps, R.P. (1981). Environmental Considerations
D.C.. (71 p.) in Aquaculture. International Center for
Aquaculture, Auburn, Alabama. (97 p.)
This manual provides planners with a background to
Knausenberger, W.I., Booth, G.A., Bingham, C.S. & environmental issues associated with donor-funded
Gaudet, J.J. (Eds) (1996). Environmental aquaculture development. It is principally intended
Guidelines for Small-Scale Activities in Africa: for use by United States Agency for International
Environmentally Sound Design for Planning Development (AID) program staff. The document
and Implementing Humanitarian and describes basic procedures and methods associated
Development Activities. Technical Paper No.18, with aquaculture development, and reviews
SD Publication Series. Productive Sector Growth environmental aspects of aquaculture. The latter
and Environment Division, Office of Sustainable includes impacts on soils, hydrology, land use
Development, Bureau for Africa, United States patterns, water quality, natural resources, air quality,
Agency for International Development (USAID), and economic, social and cultural effects. A checklist
Washington D.C.. (xiii, 126 p., appendices) of environmental effects is included and special
considerations for brackish water aquaculture are
The purpose of these guidelines is to promote
discussed.
environmentally sound development activities that
build on the principles of sustainable natural
resource management. They are intended for use by Tillman, R. (1981). Environmental Guidelines for
private voluntary organisations (PVOs), non- Irrigation. United States Agency for International
governmental organisatyions (NGOs) and other Development, Washington D.C. (74 p.)
recipients of USAID grants as a tool for activity
Contact: United States Agency for International Development (USAID),
design, implementation and monitoring.
320 21st Street NW, Washington DC 20523, USA.
organisation of EIA, methodologies, environmental Economic and Social Commission for Asia and the
impacts of sectoral development, the situation in the Pacific (ESCAP) (1990). Environmental Impact
Asian and Pacific region, and summary and Assessment Guidelines for Transport
conclusions. There are six appendices: guidelines for Development. ESCAP Environment and
IEE, terms of reference for preparing an EIS, Development Series. United Nations Economic and
recommended format for preparing EIS proposals, Social Commission for Asia and the Pacific, Bangkok.
actions and environmental items in Leopold (viii, 99 p.)
interaction matrix, reference checklist for the EIA
These guidelines aim to assist government agencies
process, and a glossary. Part Two presents nine EIA
concerned with environmental protection in developing
case studies.
countries in the planning and execution of EIAs for
transport development projects. Like other ESCAP
Economic and Social Commission for Asia and the guidelines, these guidelines summarise existing
Pacific (ESCAP) (1990). Environmental Impact methodologies. The impacts and management
Assessment Guidelines for Agricultural requirements of the transport sector are discussed with
Development. ESCAP Environment and reference to port and harbour projects, highways and
Development Series. United Nations Economic and roads, and airports. Annexes give sample terms of
Social Commission for Asia and the Pacific, reference for these types of projects. This document is
Bangkok. (viii, 51p.) one of a series of four. The other three volumes cover
water resources, agriculture and industrial
These guidelines were written to assist government
development.
agencies concerned with environmental protection in
developing countries (specifically the Asia-Pacific
region) in the planning and execution of EIAs for Economic and Social Commission for Asia and the
agricultural development projects, in particular land Pacific (ESCAP) (1990). Environmental Impact
clearance projects. A brief overview is given of the Assessment Guidelines for Water Resource
EIA process, as well as its application to agricultural Development. ESCAP Environment and
development projects. Summaries of current EIA Development Series. United Nations Economic Social
methodologies are recommended. Annexes provide Commission for Asia and the Pacific, Bangkok. (viii,
project case studies and sample terms of reference. 119 p.)
This document is one of a series of four. Other
These guidelines aim to assist government agencies
volumes cover industrial development, water
concerned with environmental protection in developing
resources and transport.
countries in the planning and execution of EIAs for
water resource development projects. They summarise
Economic and Social Commission for Asia and the general EIA methodologies, and discuss typical impacts
Pacific (ESCAP) (1990). Environmental Impact related to water resources including rivers, lakes and
Assessment Guidelines for Industrial estuarine areas. Marine waters per se are not
Development. ESCAP Environment and considered. The document is one in a series of four.
Development Series. United Nations Economic and The other volumes cover agriculture, transport, and
Social Commission for Asia and the Pacific, industrial development.
Bangkok. (viii, 61 p.)
These guidelines aim to assist government agencies Economic and Social Commission for Asia and the
concerned with environmental protection in Pacific (ESCAP) (1992). Assessment of the
developing countries in the planning and execution of Environmental Impact of Port Development: A
EIAs for industrial development projects. They Guidebook for EIA of Port Development. United
summarise general assessment methodologies, Nations Economic and Social Commission for Asia
identify data collection and evaluation methodologies and the Pacific, New York. (iv, 73 p., appendices)
for assessing the quality and quantity of key
This guidebook provides port planners with basic
parameters, and present the typical impacts and
information on EIA of port development. It comprises
pathways relevant to industrial development projects
five sections: requirements for EIA, environmental
based on literature references and case studies.
impacts of port development, environmental indicators
Annexes provide sample terms of reference for
and criteria, methods for survey and impact prediction
industrial development EIA studies, and case studies
(water pollution, coastal hydrology, marine and coastal
of industrial development projects. This document is
ecology, air quality, noise, odour and visual pollution),
one in a series of four - the other volumes cover
and methods for pollutionless dredging and
agriculture, transport and water resources.
reclamation. There are 13 appendices including
checklists of potential adverse effects of port
development and operation.
Economic and Social Commission for Asia and the Economic Commission for Europe
Pacific (ESCAP) (1995). Planning Guidelines on
Coastal Environmental Management. United (ECE)
Nations, New York. (vi, 116 p.) United Nations Economic Commission for Europe
Chapter 7 of these planning guidelines discusses the (1987). Application of Environmental Impact
environmental impact of development activities in Assessment: Highways and Dams.
coastal areas. The rationale for assessing such Environmental Series No.1, ECE/ENV/50. United
impacts is considered and significant impacts of Nations Economic Commission for Europe, Geneva.
various types of activities on the coastal environment (xix, 149 p.)
are briefly set out. Checklists of such impacts are
This report was prepared for the UNECE by a task
provided for fisheries development, tourism, coastal
force, led by The Netherlands, which analysed
environments, and ports and harbours. A
practical experience with the application of EIA to
methodology for assessing the impacts of future
highways and dam projects. Part One gives a
development activities on the coastal environment is
background to the study. Part Two describes the
suggested. Annexes to this chapter provide EIA
legal/administrative systems (then applying) for the
guidelines (from the Sri Lanka Coast Conservation
countries participating in the study: Canada, Finland,
Department), a listing of cross-sectoral interactions
Germany (Federal Republic of), Netherlands,
and impacts associated with coastal zone projects,
Norway, and USA. Part Three gives summary
and planning and management guidelines for
descriptions of 11 case studies (6 highway and 5 dam
managing coastal habitats without degradation.
cases), whilst Part Four analyses these and sets out
conclusions and recommendations related to: the EIA
Economic and Social Commission for Asia and the process, the content of an EIA, and the link between
Pacific, United Nations (ESCAP) (1995). Guidelines EIA and decision-making. Details of the case studies
on Environmentally Sound Development of and the legal systems are presented in annexes.
Coastal Tourism. United Nations, New York. (vii,
124 p.) United Nations Economic Commission for Europe
These guidelines attempt to identify the cause-effect (UNECE) (1990). Post-Project Analysis in
relationship between tourism and the environment in Environmental Impact Assessment.
coastal locations, and to illustrate remedial and Environmental Series No.3, ECE/ENVWA/11.
preventive measures that can be adopted to promote United Nations Economic Commission for Europe,
the environmentally sound and sustainable Geneva. (v, 42 pp. 2 annexes)
development of coastal tourism. They focus mainly
This report was prepared for the UN ECE by a task
on tools and methodologies, but also bring together
force, led by Canada, which analysed practical
the experience of selected countries in promoting
experience with the application of post-project
sustainable tourism development in coastal areas of
analyses (PPAs). Chapter I provides definitions of
the Asia and Pacific region. Two chapters are of
PPA, EIA processes and various types of monitoring,
particular interest in the context of EIA. Chapter II
and discusses two types of classification of PPAs: by
discusses the environmental impacts of coastal
use or purpose (project management or EIA process
tourism development, covering impact types and their
development); and by type of study (scientific and
extent, and the impacts of components of coastal
technical, or procedural and administrative). Chapter
development. Chapter IV deals with management
II gives summary descriptions of 11 case studies. The
through EIA with an introduction on measures to
final chapter presents the results of the analysis with
promote EIA in the region, and sections on: costs and
conclusions and recommendations. Annex 1 contains
benefits; the project cycle; the EIA process covering
information provided by ECE member countries on
screening, initial environmental examination, and
PPA practices. Annex 2 gives a more detailed
full-scale EIA; methodologies; presentation of the
description of the approach taken by the task force,
EIA; management and evaluation; constraints in EIA
and Annex 3 provides a glossary of terms.
implementation and recommendations to overcome
these. Annexes include EIA guidelines for existing
beach resort hotels, coastal water quality and effluent United Nations Economic Commission for Europe
standards in Thailand, and noise emission and air (UNECE) (1991). Policies and Systems of
quality standards in Thailand and Malaysia. Environmental Impact Assessment.
Contact: United Nations Economic and Social Commission for Asia and Environmental Series No.4, ECE/ENVWA/15.
the Pacific (UNESCAP), UN Building, Rajdamnern Avenue, Bangkok
10200, Thailand.
United Nations Economic Commission for Europe
(UNECE), Geneva. (v, 35 p., annex)
This report describes trends and experience gained
regarding policies and systems of EIA in the ECE
region, with information from the following United Nations Economic Commission for Europe
countries: Byelorussian SSR, Canada, Finland, (UNECE) (1996). Convention on Environmental
France, Federal Republic of Germany, Hungary, Impact Assessment in a Transboundary Context.
Ireland, Netherlands, Norway, Poland, Spain, United Nations Economic Commission for Europe,
Sweden, UK and USA. It includes information Geneva.
complementary to that contained in two earlier
The Convention on Environmental Impact
reports in this series (Nos. 1 and 3) and the
Assessment in a Transboundary Context (Espoo,
recommendations should be read in connection with
1991) stipulates the obligations of Parties to assess
those in these earlier reports.
the environmental impact of certain activities at an
early stage of planning. It also lays down the general
Chapter I presents recommendations to ECE
obligation of States to notify and consult each other
governments on EIA. Chapter II gives information on
on all major projects under consideration that are
legal frameworks and systems of EIA, and covers
likely to have a significant adverse environmental
procedures by which alternatives are generated in
impact across boundaries. This document includes
EIA. Chapter III describes experience on criteria for
the full text of the convention, its main procedural
determining the environmental significance of
steps, status of the convention, and documents
projects in the ECE region. Examples of types of
prepared under the convention - Bilateral and
activities and criteria used in determining the latter
Multilateral Cooperation on Environmental Impact
are given in Annex 1.
Assessment in a Transboundary Context, Specific
Methodologies and Criteria to Determine the
United Nations Economic Commission for Europe Significance of Adverse Transboundary Impact, and
(UNECE) (1992). Application of Environmental the Final Report of the Task Force on Legal and
Impact Assessment Principles to Policies, Plans Administrative Aspects of the Practical Application of
and Programmes. Environmental Series No.5, Relevant Provisions of the Convention.
ECE/ENVWA/15. United Nations Economic
Commission for Europe, Geneva. (v, 39 p.) United Nations Economic Commission for Europe
This report was prepared for the UNECE by a task (UNECE) (1996). Current Policies, Strategies and
force, led by USA, to help develop a framework for Aspects of Environmental Impact Assessment in
including environmental considerations in decision- a Transboundary Context. Environmental Series
making at the national, regional and local levels. The No.6, ECE/CEP/9. United Nations Economic
report begins with an introduction followed by the Commission for Europe, Geneva. (viii, 76 p.)
findings of the task force. Annex I contains a
The preface provides background to the Convention
summary description of 10 case studies covering the
on EIA in a Transboundary Context, adopted at
EIA of policies, plans and programmes (PPP) on
Espoo, Finland in 1991, and discusses the obligations
various activities. Annex II presents a description of
and actions to date of Signatories. This four part
the (then) legal and administrative systems for EIA of
publication provides a thorough description of
PPPs in the participating countries: Canada,
current practice and state-of-the-art knowledge (in
Czechoslovakia, Denmark, Finland, France,
1995) regarding ‘transboundary EIA’ and completes
Germany, Greece, Hungary, Italy, Netherlands,
information provided in other UNECE publications.
Norway, Poland, Spain, Sweden, Turkey, UK and
USA.
Part One deals with policies and strategies promoting
EIA. There are chapters on legal and administrative
United Nations Economic Commission for Europe measures for the application of EIA, mechanisms for
(UNECE) (1996). Guidelines on Access to the implementation of the Convention, experiences
Environmental Information and Public with transboundary EIA, and bilateral and
Participation in Environmental Decision- multilateral agreements related to the Convention. A
Making. ECE/CEP/24/Rev.1. United Nations further chapter discusses EIA principles, research
Economic Commission for Europe, Geneva. (9 p.) initiatives and national centres on EIA. Annexes
provide lists of projects in relation to EIA in the
These short guidelines are presented in separate UNECE region, detail transboundary EIA experiences
sections in English, French and Russian. They were in the Netherlands, and give the addresses of some
developed by an ECE Task Force on Environmental European centres of expertise in EIA.
Rights and Obligations and endorsed by the Third
Ministerial Conference in Sofia in October 1995. The Part Two focuses on legal and administrative aspects
document sets out principles on access to of the subject with chapters on time limits for
environmental information and on public notification and submission of information, the
participation in environmental decision-making. content of notification, responsibility for procedural
steps to ensure public participation, responsibility for examples provided of ways in which they have
translations, and organisational questions. Part Three sometimes been solved.
discusses specific methodological issues concerning
transboundary EIA, with sections on the An important instrument for environmental decision-
identification of proposed activities requiring EIA, making is cost-benefit analysis. Some of the problems
“significance” of adverse transboundary impacts, and that arise when cost-benefit analysis is used as a
harmonisation of methods and standardisation, component of EIA, or as a separate exercise, are
supported by eight tabular annexes on various related considered. The document also discusses the
issues. Part Four is concerned with bilateral and importance of fostering relationships between the
multilateral cooperation on transboundary EIA, various institutions that need to work together, to
setting out key elements for its effective application. improve the use of EIA as a decision-making tool in
A final annex details the main elements for an developing countries. The book concludes with a
agreement on transboundary EIA between Austria perspective on the future of EIA in developing
and Slovakia. countries.
Contact: United Nations Economic Commission for Europe, Palais des Contact: United Nations Environment Programme (UNEP), PO Box
Nations, CH-1211 Geneva 10, Switzerland. 30552, Nairobi , Kenya
effects inherent in proposed resettlement projects, 114. Food and Agriculture Organisation of the
and the second is to identify ways in which the United Nations (FAO), Rome. (78 p.) ISBN 92 5
design, implementation and on-going management of 103428 1
proposed projects could be improved. Part One
presents an overview of the impact of resettlement
projects in the humid tropics. Part Two provides Wrammer, P. (1987). Procedures for
environmental principles and checklists for the Environmental Impact Assessment of FAO’s
formulation and assessment of such projects, Field Project. Food and Agriculture Organisation of
including guidance on how to review and evaluate the the United Nations, Rome.
initial environmental assessment.
UNHCR’s activities. The main section covers Evaluating the Environmental Impact of
environment-related measures, including institutional Industrial Projects. United Nations Industrial
measures, that need to be applied to all phases of Development Organization, Vienna. (25 p.)
refugee assistance programmes. Various technical This document provides guidance on industrial
issues are discussed: supplies and logistics, physical project evaluation with respect to environmental
planning, water, sanitation, health, food, domestic impact. It contains: a checklist for assessment of
energy, forestry, agriculture, livestock, community pollution possible at the level of specific industrial
services, education, income generation, garbage projects; black-list and grey-list materials and
clean-up and disposal, site rehabilitation, ecosystem substances requiring steps for pollution control;
rehabilitation, repatriation and reintegration, and pollution control parameters listed by 28 industrial
local integration. Six appendices are included subsectors; and annexes with a synopsis of
covering: UNHCR environmental project categories; environmental guidelines issued by various
draft terms of reference for an environmental international organizations.
specialist, environmental coordinator, and local
environmental task force; the role and content of
United Nations Industrial Development Organization
environmental planning; and factors in developing a
(1990). EIA (Environmental Impact Assessment)
rehabilitation scheme.
Contact: United Nations High Commission for Refugees (UNHCR), CP-
Models for UNIDPLAN. United Nations Industrial
2500, CH 1211 Geneva 2 Depot, Switzerland. Development Organization, Vienna. (10 p.)
This is a report from experts concerning the
introduction of models designed at facilitating
environmental impact assessment. It covers: the
United Nations Industrial structure of such models surveying the transport,
Development Organisation distribution, transformation etc. of chemicals and
pollutants and their effect problems; priority
(UNIDO) industries in the UNIDO environmental programme,
United Nations Industrial Development Organization such as metalworking, pulp and paper, cement,
(1986). Environmental United Nations Industrial textiles and low-grade coal power plants, and the
Development Organization (1986). Environmental recipients of such industrial effluents; and a
characterization of special models requirements for
Assessment and Management in the Production
different purposes.
of Six Non-Ferrous Metals (Aluminium, Nickel,
Copper, Lead, Zinc and Tin). Sectoral Studies
No.30. United Nations Industrial Development United Nations Industrial Development Organisation
Organization, Vienna. (xii, 163 p.) (UNIDO) (1990-1991). Project Design Reference
This document presents an overview of the main File. Volume II: Guidelines for Environmental
environmental implications of the production of six Appraisal. Vol. 2, No. 2. United Nations Industrial
of the most important non-ferrous metals: Development Organisation, Vienna.
aluminium, nickel, copper, lead, zinc and tin. It This file brings together a number of papers on
surveys the main technical aspects of the various environmental assessment, previously published as a
production processes, from mining to metal refining, series of separate guidelines for the Project Appraisal
with specific emphasis on the impact of the existing Section of UNIDO. They are technical guidelines
and emerging production technologies on the covering different industrial sectors, and they have
environment. In the chapters covering the individual the following objectives: (a) to provide guidance to
metals, additional aspects of the manufacturing Backstopping and AREA officers in the introduction
processes are also considered including: the of environmental considerations in the design and
possibilities of metals production from by-product development of projects under the auspices of
utilization, potential for metal recycling, cost UNIDO; and (b) to help the Project Appraisal Section
implication for pollution control or reduction, judge whether appropriate environmental measures
environmental standards recommended for emissions have been included in the project in order to
of pollutants, and worker health, safety and recommend, on environmental grounds, whether or
protection. In each chapter a case study is presented not the project should proceed as planned.
for the metal under consideration giving examples of
actual application of the concepts expressed in the Part I looks at the Environmental Appraisal of
document. Category A Projects, defined as technical assistance
projects with no capital implications and which do
not produce direct environmental impacts. The
United Nations Industrial Development Organization
environmental appraisal for Category A projects
(1988). First Guide for UNIDO Officers in
therefore concentrates on environmental awareness
and the development of technical and institutional scoping, environmental assessment (for Category A
capabilities. The guidelines are intended to be used by projects), EA review and project appraisal, Board
UNIDO officers as a checklist at the project approval, supervision and ex-post EA. General
formulation stage, and as an appraisal tool at the provisions are set out including the basic
review stage. responsibilities of borrowers, arrangements for
projects initiated by co-financing institutions,
Part II considers the Environmental Appraisal of consultation, and disclosure of documentation. A
Category B, defined as those with primary or range of supporting materials is also included:
secondary environmental impacts. The guidelines environmental principles and criteria, recommended
were designed in order to allow UNIDO officers to information for inception papers, criteria for project
verify, at a glance, whether or not a project is categorization (following the World Bank process),
environmentally sound and what can be done to recommended format for environment screening and
improve it. They take the reader through the scoping note, steps for formal explicit environmental
industrial process, highlighting the points where assessment, recommended format for EA reports,
environmental impacts are likely to occur, the sample terms of reference for EA, recommended
receptors that may be affected, and the measures to content of environmental implementation note
minimise the impact at each stage. UNIDO notes that section of appraisal reports, screening and scoping of
since environmental impacts of most industrial project components, and technical review of EA. In
sectors are readily identifiable, and there is sufficient addition, the document incorporates brief non-
information available regarding clean practices and binding operational statements, to assist in
waste treatment and disposal, most assessments will environmental screening and scoping, covering:
be completed at the project formulation stage, and irrigation, rural roads, pesticides, fertilizers,
only exceptionally will a full EIA be required. The wetlands, biodiversity and protected area
guidelines are presented in the form of tables which management, fisheries, forest resources, and range
can be used for any type of capital project. However resources.
in order to facilitate the appraisal of projects most Contact: International Fund for Agricultural Development (IFAD), Via
frequently sponsored by UNIDO, a series of sector- del Serafico 107, 00142 Rome, Italy.
specific guidelines have been developed covering the
following:
IIIA. Tanneries and Leather Finishing Industries
(1990), 28 pages World Health Organisation
IIIB. Iron and Steel (1990, 42 p.) (WHO)
IIIC. Fertilizers (1990, 29 p.)
IIID. Food Agro-Industries (1991, 32 p.) Birley, M.H. (1991). Guidelines for Forecasting
Each of these sectoral guidelines contains a the Vector-Borne Disease Implications of Water
description of unit processes and operations; working Resources Development. PEEM Guidelines Series;
tables for environmental appraisal; annotations 2. Joint WHO/FAO/UNEP/UNCHS Panel of Experts on
supporting the tables; a glossary and references. Environmental Management for Vector Control
Contact: United Nations Industrial Development Organisation (UNIDO), (PEEM), Geneva. (115 p.)
PO Box 200, A-1400 Vienna, Austria.
This paper outlines a methodology for a rapidly
assessing the health risks associated with water
development projects in the tropics or sub-tropics. It
uses a minimum number of questions which should
International Fund for provide reasonably accurate answers, and it assumes
Agricultural Development (IFAD) that local information will be available. Early
involvement at the planning stage is advocated. Three
United Nations International Fund for Agricultural
main components are outlined: community
Development (IFAD) (1994). Administrative vulnerability, environmental receptivity and vigilance
Procedures for Environmental Assessment. of the health services. The document outlines what to
President’s Bulletin 94/03 of 12/08/1994. do, how to do it and who to involve, and provides
International Fund for Agricultural Development, background information on vector-borne diseases. It
Rome. (59 p.) also provides a useful summary for non-health
This document sets out the environmental assessment specialists, grouped into topics: geophysical; biotic -
procedures applying to IFAD projects from 1994. plants and animals; demographic and socio-cultural,
These follow the IFAD project cycle and are infrastructure; and disease management by vector
implemented mainly by project development teams, control. The document is supplemented by references,
particularly project controllers. The basic steps of worksheets, factsheets and pull out flow charts.
IFAD’s EA process are outlined: screening and
Go, F.C. (1988). Environmental Impact outline EIA and its method of approach, highlighting
Assessment: Operational Cost Benefit Analysis. health considerations which should be included.
An EIA Guidance Document. MARC Report; 42. Health issues are outlined and fitted into
Monitoring and Assessment Research Centre, environmental and public health impact assessment.
London & World Health Organization, Geneva. The handbook deals with effects on local inhabitants
(60 p.) as well as workers and emphasises the need to
consider groups which may be more sensitive, such as
the young, the elderly or women. Research needs are
Phillips, M., Mills, A. & Dye, C. (1993). Guidelines discussed and the book ends with a variety of case
for Cost-Effectiveness Analysis of Vector studies examining how health can be incorporated
Control. PEEM Guidelines Series; 3. Joint WHO/ into EIA. These cover irrigation, water provision,
FAO/UNEP/UNCHS Panel of Experts on industrial areas, and iron smelting drawing on
Environmental Management for Vector Control situations in Africa, Indonesia, Thailand, Turkey,
(PEEM), Geneva. (192 p.) Poland, Brazil and Italy.
Cost is an important issue in selecting control
methods for vector-borne diseases. This guide is World Health Organisation & Regional Office for
aimed at health planners and managers of vector Europe (1987). Health and Safety Component of
control programmes. It provides guidelines on the Environmental Impact Assessment. Report
principles and methods of cost-effectiveness analysis No.15. World Health Organisation, Geneva.
and their application to the control of disease
vectors. There are separate chapters on planning a
cost-effective study, procedures for estimating the World Health Organisation (WHO) & United Nations
costs and the effectiveness of vector control, and data Environment Programme (UNEP) (1990). Public
analysis and presentation. Two case studies are Health Impact of Pesticides used in Agriculture.
included: one from India concerning malaria control; World Health Organization, Geneva. (128 p.)
the other examining schistosomiasis in Ghana. Five
This publication reviews current knowledge on the
appendices give clear guidance on particular issues.
effects of pesticides on health together with the levels
of exposure of various groups. It is intended for use
Sloan, W.M. (1993). Site Selection for New by national health officials responsible for pest
Hazardous Waste Management Facilities. WHO management and by researchers working on the
Regional Publications European Series No. 4-6. epidemiology of pesticide poisoning. Individual
World Health Organization Europe, Copenhagan. chapters cover the production and use of pesticides,
(xiv, 118 p.) their toxic effects, short- and long-term health
effects, sources and indicators, populations at risk,
the public health impact and prevention. It ends with
Tiffen, M. (1991). Guidelines for the proposals and recommendations.
Incorporation of Health Safeguards into Contact: World Health Organisation (WHO), 20 Avenue Appia, CH-
1211 Geneva 27, Switzerland.
Irrigation Projects Through Intersectoral
Cooperation. PEEM Guidelines Series; 1. Joint
WHO/FAO/UNEP/UNCHS Panel of Experts on
Environmental Management for Vector Control Other
(PEEM), Geneva. (81 p.)
Biswas, A.K. & Geping, Q. (1987). Environmental
Impact Assessment for Developing Countries.
Turnbull, R.G.H. (1992). Environmental and UN University Series: Natural Resources and the
Health Impact Assessment of Development Environment Series Vol. 19. Tycooly International for
Projects: A Handbook for Practitioners. Elsevier the United Nations University, London. (232 p.)
Applied Science: London (on behalf of the Centre This book is now out of print although old copies
for Environmental Planning and Management, may be available from the United Nations University
Aberdeen and the World Health Organisation, or from libraries. The book is the result of a
Geneva), London. (xi, 282 p.) workshop sponsored by the United Nations
This handbook is based on 29 papers which were Environment Programme, the International Society
written in 1987 and 1988 as part of a series of for Ecological Modeling and the United Nations
training seminars. Aimed at EIA and Environmental University. It includes a state-of-the-art report on
Health Impact Assessment (EHIA) practitioners, it EIA, case studies from developing countries, and
assumes experience in environmental or public comprehensive guidelines on processes and
health, toxicology or ecotoxicology. Seven chapters
techniques that can be adopted, especially by Joint Group of Experts on the Scientific Aspects of
developing countries. Marine Pollution & IMO/FAO/UNESCO/WMO/WHO/
Contact: Tycooly International, Cassell Plc, Villiers House, 41-47 IAEA (1991). Reducing Environmental Impacts of
Strand, London WC2N 5JE, UK.
Coastal Aquaculture. Food and Agriculture
Organisation of the United Nations, Rome. (35 p.)
Environmental Resources Management, United
Contact: Food and Agriculture Organisation (FAO), Via Terme di
Nations System & United Nations Environment Caracalla, I-00100 Rome, Italy.
Programme (1990). Environmental Assessment
Procedures in the UN System. Environmental
Resources Limited, London. (vii, 80 p.)
explanations of the key environmental issues in each A projects that are unlikely to have significant
sector, and references to existing environmental environmental impacts and require no EIA; Category
guidelines. The sector checklists and background B projects that have potential to cause some
notes are each divided into four sections - sources of significant impacts and require a preliminary EIA;
impacts, receptors of impacts, significance of Category C projects that are highly likely to have
environmental impacts and mitigating measures. The significant impacts and therefore require a full EIA. A
final part of the document is a bibliography of cross- Preliminary Environmental Assessment methodology
sectoral and miscellaneous environmental assessment is set out, and sectoral checklists provided. The guide
guidelines. also describes a methodology to undertake a full EIA
study. Later parts of the Users Guide set out
methodologies for review and evaluation of the EIA,
Commission of the European Communities (CEC)
monitoring and project evaluation. A separate
(1993). Report from the Commission of the Sectoral Environmental Assessment Sourcebook
Implementation of Directive 85/337/EEC on the provides sector checklists for a full EIA study, which
assessment of the effects of certain public and is supplied on diskette with the User’s Guide.
private projects on the environment, and annex
for the United Kingdom. Directorate-General for This guide is a response to commitments on
Environment, Nuclear Safety and Civil Protection, sustainable development and environment protection
Brussels. (107 p.) in the Lome IV Convention. It is based on a number
This is a report of the Review of the application and of similar texts, including the OECD Good Practices
effectiveness of EC Directive 85/337/EEC, covering on Environmental Assessment, Community
the period 1985 to 1991. The review is presented in legislation, environmental assessment procedures of
two parts, the Report and the Member State Annex the Member States and the World Bank Operational
for the UK. The Report contains the principal Directives.
findings and recommendations and incorporates a
comparative analysis of the EIA Directive in each of
Council of the European Communities (CEC) (1985).
the twelve Member States up to July 1991. Chapter 2
Council Directive 85/337/EEC of 27 June 1985 on
briefly explains the purpose and main provisions of
the assessment of the effects of certain public
the Directive. The Structure of the remainder of the
Main Report closely follows the main topics and private projects on the environment.
addressed in the Review: formal compliance, Official Journal No. L 175, 05/07/1985 P.0040 -
practical application; and final considerations and 0049. Council of the European Communities,
action to be taken. Brussels, Belgium. (11 p.)
addresses the needs of those dealing directly with EC the items of information which may need to be
forest programmes and projects. Each part of this provided by the developer to the competent authority.
volume is a stand-alone module. Parts H and I set out Contact: Office for Official Publications of the European Communities,
methodological guidelines and procedural steps for L-2985 Luxembourg Sustainable Development and Natural Resources
Unit, Directorate General for Development, European Commission, Rue
Social Impact Assessment and EIA, respectively, with de la Loi 200, B-1049, Brussels, Belgium.
numerous checklists. Annexes contain background
notes and discuss economic valuation of
environmental costs and benefits. European Commission, Directorate General 1B
(1997). Environmental Impact Assessment DGIB
A compilation of support material for use by target Guidance Note. European Commission, Brussels.
groups is provided on diskette, annexed to Vol.1 (in (28 p., annexes) (Also available in French and
English and French, Word for Windows 6.0). These Spanish.)
comprise: standardised terms of reference for forest This note deals with the environmental aspects of
sector country studies, feasibility and pre-feasibility sustainability, and specifically with DGIB’s internal
studies in the forest sector; various checklists for procedures for EIA in development cooperation. It
social impact analysis, environmental appraisal summarises current EIA practice and requirements in
(including EIA), and programming of forest sector DGIB, and compiles and explains the most relevant
development co-operation; a logical framework of the instructions and support material issued since
matrix sheet; and action report forms for the various EIA procedures were first introduced in 1992. It
phases of the project cycle. It is intended that the includes a step by step description of DGIB’s
guidelines will be updated at regular intervals. procedures including Identification (initial screening
and preliminary EIA), Formulation/appraisal
(environmental impact studies, and their review and
European Commission (1996). Environmental
integration into project design), Financing,
Impact Assessment: Guidance on Scoping.
Implementation (monitoring) and Evaluation.
Directorate General for Environment, Nuclear Safety
Annexes include EC legislation and resolutions, and
and Civil Protection, Luxembourg.
standard TORs and checklists to be used in the EIA
This document is directed at competent authorities process.
and developers, and provides guidance on scoping - Contact: European Commission, DGIB, Rue de la Loi 200, B-1049
identifying potential impacts and potential Brussels, Belgium.
alternatives, consultation, and criteria for evaluating
the significance of impacts.
sources of information, drafting the report, etc.), and International Tropical Timber
preparing an action plan. There are three annexes:
guide to information needed for assessing change and Organisation (ITTO)
quality of marine areas; guide to quality assurance International Tropical Timber Organisation (ITTO)
procedures for marine environmental data; and (1993). Guidelines for the Establishment and
primary considerations in the design of marine Sustainable Management of Planted Tropical
monitoring programmes.
Forests. Policy Development Series No.4.
Contact: Marine Environment Division, International Maritime
Organisation, 4 Albert Embankment, London SE1 7SR, United International Tropical Timber Organisation,
Kingdom. Yokohama. (38 p.)
These guidelines provide a summary of the major
issues and principles that need to be addressed in the
planning, establishment and management of planted
International Atomic Energy forests in tropical environments. Section 3.1 includes
Agency (IAEA) brief recommendations for environmental assessment
during pre-planting feasibility investigations, and
International Atomic Energy Agency (IAEA) (1989). highlights key environmental, socio-economic and
Evaluating the Reliability of Predictions Made institutional issues that need to be considered.
Using Environmental Transfer Models. Contact: International Tropical Timber Organisation, International
International Atomic Energy Agency, Vienna. Organisations Centre, 5th Floor, Pacifico-Yokohama, 1-1-1, Minato-
Mirai Nishi-ku, Yokohama 220, Japan.
(106 p.)
This publication provides guidance on the available
methods for evaluating the reliability of
environmental transfer model predictions. It provides North Atlantic Treaty
a practical introduction to the subject, and particular
emphasis is given to worked examples in the text. Organisation (NATO)
The document is intended to supplement existing North Atlantic Treaty Organisation (NATO) (1994).
IAEA publications on environmental assessment
Methodology, Focalization, Evaluation and
methodology.
Scope of Environmental Impact Assessment.
Second Report: Methodological Aspects.
International Atomic Energy Agency (IAEA) (1995). Committee on the Challenges of Modern Society,
Environmental Impact of Radioactive Releases. North Atlantic Treaty Organisation, Antwerp. (xiv,
Proceedings Series. International Atomic Energy 246 p.)
Agency, Vienna. (874 p.) Contact: North Atlantic Treaty Organisation, B-1110, Brussels,
Belgium.
This document is the proceedings of a symposium
held in Vienna in May 1995 and deals with the
transfer of radionuclides in the environment. It
reviews information that has become available in
recent years, particularly since the Chernobyl Organisation for Economic
accident but also gained from studies of the Cooperation and Development
discharges from civil and military nuclear facilities.
This information has been used for improving the
(OECD)
reliability of environmental model predictions. The Organisation for Economic Cooperation and
contents cover global impact assessments, new roles Development (OECD) (1989). Good Practices for
for environmental monitoring, radionuclide releases Environmental Impact Assessment of
to the atmosphere and the aquatic environment, Development Projects. Guidelines on
radionuclides in the terrestrial environment and Environment and Aid No.1. Development
radionuclide transfer in the freshwater environment, Assistance Committee, Organisation for Economic
environmental model testing, radiological impact Cooperation and Development, Paris. (17 p.)
assessment (including risk impact assessment), and
The guidelines are designed for policy-makers and
environmental remediation.
practitioners in donor agencies and developing
Contact: Division of Publication, International Atomic Energy Agency,
Wagramer Strasse 5, PO Box 100, A-1400 Vienna, Austria. countries. The first part of the document describes
the basic purpose of EIA, and the second part goes on
to set out a number of ‘good practices’ for the
various steps in the EIA process.
Organisation for Economic Cooperation and The main sections of the guide are: terms of reference
Development (OECD) (1992). Guidelines for Aid for environmental assessment of development
Agencies on Involuntary Displacement and projects; guidelines for managing environmental
Resettlement in Development Projects. OECD assessment of development projects; summaries of
Development Assistance Committee Guidelines on DAC member states’ policies and procedures; and
Environment and Aid; 3. Organisation for Economic other recommendation of the task force.
Cooperation and Development, Paris. (15 p.)
The framework Terms of Reference that are included
This document provides guidance on the basic
and the guidelines for managing the EA process are
elements to consider in preparing a resettlement
both relatively independent of individual agency
action plan, how to involve the local community, and
procedures, and may be used in parallel with them.
effective sequencing of steps in planning and
The individual donor agency summaries cover both
implementation. The guidelines aim to ensure that
their legal and policy base and procedural
project designers and implementors follow best
requirements, which are grouped under each of the
practices so that people displaced by projects receive
main areas of the project cycle. Other considerations
benefits from them, and are re-established on a sound
in the guide include: a comparison of factors
productive basis.
influencing EA decisions between the different
agencies; a review of the status of Strategic
The document is one a series of Guidelines on
Environmental Assessment among the agencies;
Environment and Aid produced by the Development
comparisons of training arrangements; comparisons
Assistance Committee (DAC) of the OECD. The
of EA evaluation mechanisms; the role of non-
guidelines are designed to help policy-makers and
governmental organisations.
practitioners in developing countries and donor
Contact: Organisation for Economic Cooperation and Development
agencies prepare strategies to address serious (OECD), Development Cooperation Directorate, 2 rue Andre-Pascal,
national, regional and international environmental Paris 75016, France.
concerns.
examples for each step in the preparation of an EIA. South Pacific Regional
Chapter 3 covers important issues to be considered
during the preparation of an EIA for a road project Environment Programme (SPREP)
including potential impacts, key points and content South Pacific Regional Environment Programme
considerations. An appendix gives sample terms of (SPREP) (undated). Environmental Impact
reference for an EIA. The document contains Assessment Guidelines for Mine Development
numerous boxes, tables and matrices.
and Tailings Disposal at Tropical Coastal Mines.
South Pacific Regional Environment Programme,
The Overseas Economic Cooperation Fund (OECF) Honolulu.
(1997). A Guide to Preparing an Environmental
Impact Assessment (Railroad Sector). The
Overseas Economic Cooperation, Tokyo. (110 p., South Pacific Regional Environment Programme
appendix) (SPREP) (undated). Environmental guidelines for
fish processing plant discharges into the sea.
This guide is designed to assist recipient countries in
South Pacific Regional Environment Programme,
which an EIA system has not been fully established.
Honolulu.
Chapter 1 describes potential impacts of railroad
projects, the relationship between EIAs and such
projects, issues to be considered and the benefits of an Carpenter, R.A., Maragos, J.E., Asian Development
EIA. Chapter 2 discusses general EIA procedures Bank (AsDB), & South Pacific Regional Environment
applied in many countries procedures (screening,
Programme (SPREP) (1989). How to Assess
scoping, assessing, examination of alternatives and
Environmental Impacts on Tropical Islands and
mitigation, EIA report preparation, reviewing,
Coastal Areas. South Pacific Regional
monitoring and environmental management) including
Environment Programme Training Manual.
issues to be considered and examples for each step in
the preparation of an EIA. Chapter 3 covers
Environment and Policy Institute, East-West Center,
important issues to be considered during the Honolulu. (xiii, 345 p.)
preparation of an EIA for a railroad project including This manual is a scientific training guide which
potential impacts, key points and content recommends various techniques of EIA, whilst
considerations. An appendix gives sample terms of stressing the need to develop an individual approach
reference for an EIA. The document contains towards each project. Its theme is the prediction of
numerous boxes, tables and matrices. future environmental conditions resulting from
economic development and technological change.
The Overseas Economic Cooperation Fund (OECF) The manual explains how to design an EIA, and
(1997). A Guide to Preparing an Environmental suggests key references to assist the practitioner
Impact Assessment (Irrigation Sector). The undertake a full assessment. The documents provides
Overseas Economic Cooperation Fund, Tokyo. (117 a framework for drawing up terms of reference for
p., appendix) EIA consultants, and also as a useful standard for
This guide is designed to assist recipient countries in EIA reviews. It is a useful desk reference work,
which an EIA system has not been fully established. providing definitions of common terms, examples of
Chapter 1 describes potential impacts of irrigation impacts and mitigative measures. Specific sectors
projects, the relationship between EIAs and such covered by the manual include: agriculture, forestry,
projects, issues to be considered and the benefits of an fisheries, tourism, energy, mining, waste
EIA. Chapter 2 discusses general EIA procedures management, construction, ports and harbours.
applied in many countries procedures (screening,
scoping, assessing, examination of alternatives and
Morgan, R.K. (1993). A Guide to Environmental
mitigation, EIA report preparation, reviewing,
Impact Assessment in the South Pacific. South
monitoring and environmental management) including
Pacific Regional Environment Programme (SPREP),
issues to be considered and examples for each step in
the preparation of an EIA. Chapter 3 covers Apia, Western Samoa. (51 p.)
important issues to be considered during the The main purpose of this booklet is to provide a
preparation of an EIA for an irrigation project guide for using EIA as a planning and management
including potential impacts, key points and content tool for decision making for the South Pacific Region.
considerations. An appendix gives sample terms of It is primarily for government officials, and also for
reference for an EIA. The document contains private developers, non-government officials and
numerous boxes, tables and matrices. interested individuals. The guide discusses the values
Contact: OECF, Environment and Social Development Division, Project and importance of the EIA process for government
Development Department, 1-4-1 Ohtemachi, Chiyoda-Ku, Tokyo 100, decisions about development, outlines the main steps
Japan.
involved in an EIA study, and assists in implementing minimises potentially adverse environmental impacts.
EIA procedures. It draws on the extensive experience The purpose of the guidelines is to provide practical
gained from EIA in-country workshops, and is direction to achieve conservation of mangroves and
expected it will be revised as more experience with enhance protection of marine ecosystems. There are
EIA accumulates. chapters on: the major features of mangrove forests
Contact: South Pacific Regional Environment Programme (SPREP), PO which can influence planning and implementation of
Box 240, Apia, Western Samoa. oil and gas operations; environmental management
and planning (including EIA procedures); and
environmental management of field operations in
mangrove areas.
The World Conservation Union
(IUCN) The World Conservation Union (IUCN) (1993). Oil
IUCN, Norwegian Agency for International and Gas Exploration and Production in Arctic
Development, Swedish International Development and Subarctic Onshore Regions. IUCN-The World
Agency, & Australian International Development Conservation Union, The Oil Industry International
Assistance Agency (1991). EIA Guidelines for the Exploration and Production Forum, Gland. (viii,
Pakistan Energy Sector. IUCN-The World 56 p.)
Conservation Union (on behalf of the Environmental The purpose of these Oil and Gas Guidelines is to
and Urban Affairs Division, Government of establish internationally acceptable goals and
Pakistan), Gland, Switzerland. (42 p.) guidance on environmental protection during oil and
These guidelines provide comprehensive information gas exploration and production operations in the
on EIA for the energy sector in Pakistan. They are onshore Arctic and Subarctic. There are chapters on:
intended for use in connection with the World Bank Description of the Environment; Overview of the Oil
loan to Pakistan for energy sector projects, but also and Gas Exploration and Production Process;
have general application. The document is in two Potential Environmental Impacts; Environmental
parts. Part 1 provides background information Management (including EIA procedures); and
including an introduction to EIA, the legal Environmental Protection.
requirement for EIA in Pakistan, a perspective on the
Pakistan energy sector and the sensitivity of World Conservation Union (IUCN) (1993). Manual
Pakistan’s environment to disturbance by on Environmental Assessment for Sustainable
development projects. Part 2 includes a generalised Forest Development. Environmental
procedure for the EIA of all energy sector projects Management in Forestry Development: A
except nuclear power proposals, gives guidance on Project of the Forest Department in the
the environmental issues associated with each specific Ministry of Lands, Irrigation and Mahaweli
type of energy sector development, and provides Development, Sri Lanka. IUCN-The World
checklists of factors which need to be taken into Conservation Union, Gland. (65 p.)
account in their assessment.
This manual was prepared for the United Nations
Food and Agriculture Programme as part of the
The World Conservation Union (IUCN) (1991). Oil Environmental Management in Forestry Development
Exploration in the Tropics: Guidelines for Project - a project of the Forestry Department,
Environmental Protection. IUCN-The World Ministry of Lands, Irrigation and Mahaweli
Conservation Union, Gland. (vi, 30 p.) Development, Sri Lanka. It sets out guidelines for
environmental impact assessment applicable to
natural forests and forest plantations in Sri Lanka.
The World Conservation Union (IUCN) (1993). Oil Part I describes the legal and administrative
and Gas Exploration and Production in framework for EIA in Sri Lanka and introduces the
Mangrove Areas: Guidelines for Environmental process of environmental assessment. Part II
Protection. IUCN-The World Conservation Union, examines the ways in which this might affect work
The Oil Industry International Exploration and within the forest sector. It introduces procedures to
Production Forum, Gland. (vii, 47 p.) be adopted in the Forest Department to deal with the
formal requirements of EIA, and to ensure that
A working party from the Oil Industry International
environmental considerations are taken into account
Exploration and Production Forum (E&P), and
at all levels - in the formulation of policy, in planning
IUCN, has prepared this guide to assist people from
and in field operations.
the oil industry, and officials, to plan for and manage
Contact: IUCN-The World Conservation Union, Forest Conservation
the exploration and production of oil and gas Programmme, Rue Mauverney 28, CH 1196 Gland, Switzerland.
resources found in mangrove areas in a manner that
Sectoral
Guidelines
Miscellaneous
Construction Industry Research and Information Mock, J.F. & Bolton, P. Overseas Development
Association (CIRIA) (1996). Environmental Administration (ODA) (1993). The ICID
Assessment: Special publication. Construction Environmental Check-List to Identify
Industry Research and Information Association, Environmental Effects of Irrigation, Drainage
London. and Flood Control Projects. Hydraulics Research
Contact: Construction Industry Research and Information Association Wallingford, Oxford. (70 p.)
(CIRIA), 6 Storeys Gate, London SW1P 3AU, UK. The Working Group established by the International
Commission on Irrigation and Drainage (ICID) to
investigate the environmental impacts of irrigation,
drainage and flood control projects, has produced
Health this environmental check-list to help identify possible
Birley, M.H. & Wooldridge, R. (1991). Methods of changes which such projects may bring. Effects are
Forecasting the Vector-borne Disease grouped under eight sectors: hydrology, pollution,
Implications in the Development of a Water soils, sediments, ecology, socio-economic, health and
Resources Project. Techniques for ecological imbalances. The checklist provides a
Environmentally Sound Water Resources framework to identify the environmental effects of
new or existing projects and is intended for use by
Development. Pentech Press, London, UK. (pp.
engineers and planners who are not specialists in the
50-63)
environmental sciences. Practical guidance is given in
Contact: Hydraulics Research (HR) Wallingford Ltd, Howberry Park, the use of the procedure in various localities and for
Wallingford, Oxford OX10 8BA, UK.
various types of projects, and suggestions are given as
to how it might be adapted to specific situations. The
main components of the procedure are given in a
form which can be photocopied for field use.
Human Settlements Contact: Environment and Policy Institute, East-West Center, 1777
Leitmann, J. (1993). Rapid Urban Environmental East-West Road, Honolulu, Hawaii 96848.
Assessment: Toward Environmental
Management in Cities of the Developing World.
In: Impact Assessment, 11 (3) (225-260 p.).
Social
The research summarized in this paper was to be
used, in combination with other background studies Burdge, R.J. (1994). A Community Guide to Social
and research, to develop an overall document on Impact Assessment. Social Ecology Press,
environmental strategies for cities, as part of Urban Middleton, Wisconsin. (173 p.)
Management and Environment component of the This document is structured as a workbook to assist
Joint UNDP/World Bank/UNCHS Urban the user, with the aid of an instructor or workshop
Management Program (UMP). The objectives of the facilitator, to undertake a social impact assessment
case study work reported on were to use and test (SIA) of a proposed project or policy change at the
rapid evaluation methods in different cities that cut community level. The first three chapters outline the
across sectors, to identify generalisable constraints field of SIA; discuss its evolution in the context of
and analytical approaches to problems, outline environmental assessment, environmental planning
approaches for setting relative priorities amongst and project evaluation; and outline the concepts used
urban environmental problems, and indicate options by social scientists in practicing SIA and conducting
that could form part of environmental management related research. Chapters 4-6 help focus on a
strategies. community level project. They discuss the steps in the
SIA process, how to determine project boundaries,
and sources of information. Chapters 7-11 give
detailed instructions for obtaining data and
Irrigation evaluating the significance level of 26 SIA variables,
Dougherty, T.C. & Hall, A.W. (1994). A Guide to the organised under five categories: population impacts;
community and institutional change; conflict between
Environmental Impact Assessment of Irrigation
local residents and newcomers; individual and family
and Drainage Projects in Developing Countries.
level impacts; and community and infrastructure
Hydraulics Research Wallingford, Wallingford,
needs. Chapter 12 provides a format to consolidate
Oxford. (67 p.)
and rank the most significant social impacts, while
Contact: Hydraulics Research (HR) Wallingford Ltd, Howberry Park, chapter 13 outlines a community-level approach to
Wallingford, Oxford OX10 8BA, UK.
the identification and mitigation of social impacts.
Contact: Social Ecology Press, PO Box 620863, Middleton, Wisconsin
53562-0863, USA.