Impact assessment: tiering approaches for sustainable development planning and decision-making of a large infrastructure project

ABSTRACT

The objective of this paper is to analyze a tiering scoping approach developed to identify critical multidimensional sustainability issues and impacts of a large infrastructure project: the land transport project linking northern Brazil with a new port on Guyana’s coast. The Inter-American Development Bank awarded a technical assignment to develop the terms of reference of a country environmental assessment, a strategic environmental and social assessment and an environmental and social impact assessment of the project(s). The complexity of the issues at stake lead to the design of a tiered assessment process supported by wide-ranging participative sessions involving 170 individuals from Guyana and Brazil and from diverse sectors. The process identified ex ante conditionalities, critical factors for decision-making and valued socioenvironmental and governance components. Such complex and determinant planning initiatives for the future of a country need to be supported by comprehensive, well-sequenced scoping processes.     

Quantitative methodology for strategic assessment of the sustainability of bauxite residue management

Decisions on sustainable technologies are surrounded by high degrees of uncertainty and absence of agreed indicators and metrics. The alumina industry therefore supported the development of a quantitative methodology for strategic assessment of the sustainability of bauxite residue management. It combines a strategic outlook with quantitative, outcome-based assessment. The methodology compares current practice with ideal values, derived from sustainability aspirations. The indicator system combines management indicators (for planning, management and reporting systems); condition indicators (state of environment and communities surrounding residue operations); and operational indicators (technical and economic performance). They have three hierarchical levels: headline performance indicators (6, measuring sustainability objectives); key performance indicators (24, measuring sustainability impacts) and performance measures (flexible set, measuring operational contributions). Performance is measured on a five-level ordinal scale. The methodology was successfully piloted at an operating plant. This confirmed that the methodology complemented existing audit protocols and strategic planning processes. The unique advantages are the universal performance measuring system for environmental, social and economic outcomes, and the strategic orientation towards improvement and innovation in residue technology. This development demonstrates that even with imperfect knowledge and uncertainty, quantified sustainability tools can be developed that aid in decision making on technology development and implementation.     

Sustainability of smart rural mobility and tourism: A key performance indicators-based approach

The concept of smart mobility and tourism has evolved from a technology-driven approach to one that focuses on sustainable solutions to address economic, social, and environmental issues. The United Nations (UN) sustainable development goals (SDGs) provide a framework for measuring and tracking progress toward sustainability goals. Key performance indicators (KPIs) are a useful tool for measuring and tracking progress towards these goals, allowing for continuous monitoring and evaluation of progress, identification of areas for improvement, and directing targeted interventions. This research aims to develop an indicators-based framework to evaluate the sustainability of smart and sustainable mobility and tourism in rural areas. Rural areas have often been neglected, or at least less prioritized, in the sustainability development of the mobility sector. The study also seeks to identify the overlap of KPIs between rural tourism and mobility, and how improved green mobility services can enhance sustainable rural tourism. Smart mobility and tourism indicators have a strong mutual relationship in rural communities, driving economic development, improving the quality of life for residents and visitors, and creating more sustainable and livable communities. Smart mobility and tourism indicators also play a crucial role in supporting the UN SDGs by providing data and insights that can inform policy and decision-making. The results of this research conclude how the target and performance setting of projects on sustainable mobility and tourism in rural communities support each other, and how they support achieving SDGs.     

Consideration and influence of climate change in environmental assessment: an analysis of British Columbia’s liquid natural gas sector

This paper examines the consideration of climate change in environmental assessment (EA) in the liquefied natural gas (LNG) sector, British Columbia, Canada. Based on an analysis of recent EA applications, results show that climate change is considered, to some extent, in all phases of EA for most LNG projects. However, stakeholders indicate a dissatisfaction with practice – often based on expectations about EA that exceed what it can deliver as a project-based tool, and sometimes based on an incomplete understanding of existing climate change legislation and targets. Results also indicate inconsistent application of existing climate change requirements across project EAs. Notwithstanding proponents often addressing climate change in their EA applications, climate change tends to receive little attention in project decision and approval conditions. The paper concludes with recommendations for better practice climate change consideration in EA that is commensurate with the scope and scale of project-level issues, complemented by more strategic EA and economic instruments.     

An analytical technique to model and assess sustainable development index in manufacturing enterprises

Sustainable development (SD) will be the driving force to Twenty-first Century as automation was to the Twentieth Century and stream was to Nineteenth Century. There are two levels of sustainability: Macro-Level (country, cities) and Micro-Level (manufacturing enterprises and its town and regional areas). In this paper, Micro-Level of sustainability will be discussed. The major challenge of manufacturing enterprises is modelling and assessing the sustainable development performance. Introducing indexes for sustainable development assessment in manufacturing enterprises is important not only to enable them to quantitatively estimate SD, but also to determine the requirements of components for these enterprises to survive. The main objectives addressed in this paper is how to model the required components and how to introduce a new assessment framework for assessing sustainability from lowest levels, dimensions up to sustainable development level according to Micro-Level. The three pillars of sustainability (economic, social and environmental) are modelled, estimated and incorporated into a concept, the so-called ‘general sustainable development index’. Based on these concepts, the sustainable models will be analysed and presented through covering all aspects/issues of sustainability. The ultimate goal of this paper is considering the needs of manufacturing enterprise to be sustainable as well as to be globalised through introducing the concept of economic-social-environmental sustainable development and basic attitudes related to creating sustainable development value in engineering practices (economic), social (political) and environmental community. An industry-based case study is used to represent sustainability through aspects, performance metrics, indicators and pillars.     

The environmental impact assessment process for oil and gas extraction projects in the Russian Federation: possibilities for improvement

This paper considers how the environmental impact assessment (EIA) process in Russia (OVOS) could benefit from incorporating some of the process and documentary features of European strategic environmental assessment (SEA) and US Environmental Impact Statements respectively. While the strategic level is addressed in the National Environmental Policy Act (NEPA, the USA system of Environmental Assessment) and in the European Directive on SEA implemented in 2004, SEA is not currently undertaken in the Russian system in terms of legislation or practice. The first section of the paper describes the present state of the OVOS process, through presentation of the relevant legislation in Russia, taking into account European Union (EIA and SEA Directives) and US (Policy Act EIS/EA) experiences. In the second section, the Irkutsk case study (an OVOS report for the gas exploration and extraction project in the Irkutsk Region of Russia) is compared with the EIA undertaken for the Cook Inlet oil and gas lease sales in Alaska (planned activities under the considered projects are quite similar) to show differences between the two documents. In the third section the current situation with Irkutsk case study is presented and an example of how SEA tools could be integrated in the report is provided.     

Connecting the strategic to the tactical in SEA design: an approach to wetland conservation policy development and implementation in an urban context

Abstract

The paper presents an analytical approach to strategic environmental assessment (SEA), focused on bridging the strategic level assessment of policy objectives with tactical planning and implementation. This is done within the context of an applied SEA application for urban wetland policy development and implementation in the fast growing city of Saskatoon, Saskatchewan, Canada. An expert-based strategic assessment framework was developed and applied to assess the potential implications of alternative wetland conservation policy targets on urban planning goals, and to identify a preferred conservation policy target. Site-specific algorithms, based on wetland area and wetland sustainability, were then developed and applied to prioritize individual wetlands for conservation so as to meet policy targets within urban planning units. Results indicate a preferred wetland conservation policy target, beyond which higher conservation targets provide no additional benefit to sustainable urban development goals. The use of different implementation strategies, based on wetland area vs. wetland sustainability, provides operational guidance and choice for planners to meet the policy objectives within neighbourhood planning units, but those choices have implications for local land use and wetland sustainability.     

Evaluation of the effectiveness and quality of environmental impact assessment in the Federal Republic of Germany

This study uses empirical research of 145 projects on environmental impact assessment (EIA). The researchers generated and tested hypotheses based on questions about the effectiveness and quality of EIA. By means of EIA, aspects of proactive thinking have entered into procedural decisions more than previously presumed and modifications in the spatial dimensions of projects have played an especially prominent role. The three most important factors affecting the scale of general project modifications are: the degree to which the subject matter and methodological aspects of a study are prescribed by §5 of the EIA Act (Scoping); the early, intense involvement of authorities, experts, and third parties in the scoping; and the degree to which the project's effects and impacts are analyzed and forecast in the environmental impact study (EIS). EIA and EIS practice has moved beyond the ‘experimental phase’ and routines have now emerged for certain parts of the procedure.     

A scheme to develop national qualification items for environmental impact assessment in Korea

Korea has experienced high demand for environment-friendly land management and improved quality of life. So it is necessary to ensure both the scientific and expert assessment of environmental impact and systematic post-assessment management. The objective of this study was to develop environmental impact assessment qualifications to reduce detrimental impacts by increasing the quality of impact assessments for development plans and projects and by generating alternative project approaches and damagereduction plans. A DACUM (Development A curriculum) job analysis was used to determine task range, grades or ranks, eligibility, examination standards, selection criteria of examination questions, examination methods, and so on. The job analysis was conducted by a committee of ten specialists from industry and academia.     

Environmental impact assessment in Hong Kong: a comparison study and lessons learnt

Abstract

Although many studies in developed countries on the practice of EIA have been conducted, there is a lack of similar attention in Hong Kong. This gap in knowledge is addressed in this study which summarises and records the current practice and lessons learned from priority projects. In the case of Hong Kong, this lack of understanding is important, since a significant number of infrastructure projects with applications pending for environmental approvals were delayed, awaiting the court ruling of the judicial review. In this research, the EIA system and practices in Hong Kong were comprehensively reviewed by a comparison study between Hong Kong, Mainland China, Taiwan and Singapore. Then field work of interviews with professionals and focus group meetings with Green Groups were conducted to seek opinions of interviewees and members about the mechanism of EIA. Recommendations on aspects of EIA systems are provided at the end of the paper.     

Urban regeneration and impact assessment for social sustainability

This paper provides a working definition of social sustainability and highlights the growing array of social sustainability assessment tools (e.g. SIA, HIA, equality impact assessment, SA). Within EIA the social dimension has been very much the ‘poor relation’. However, changes in the UK planning system, the drive for sustainable communities, and for greater public involvement in decision making are raising the profile of the social dimension. This is particularly relevant for urban regeneration projects, which are often mixed use (including housing), and with the potential for development to be shaped by community involvement. The paper includes a review of recent environmental statements (ESs) for regeneration projects in the UK, which provides findings on, for example, the inclusion of social factors in the process; scope of such factors; methodological approaches and impact assessment tools; and role of community involvement. The research raises questions about the extent to which social issues shape outcomes; it also highlights some important challenges, including the key issue of ‘integration versus disintegration’ in the scope and process of impact assessment.     

Avoiding sustainability trade-offs in environmental assessment

Progress towards sustainability requires positive steps to meet all of the interdependent core requirements for sustainability – including biophysical system integrity and basic human well-being. Where these essentials are involved trade-offs should be avoided, unless all other options are worse. In environmental assessments, it is useful to identify major trade-offs and minimize them through selection of less bad alternatives or addition of mitigations or offsets. However, the more promising approach starts earlier and encourages planning that avoids invidious trade-offs, including through re-consideration of the initial purposes and alternatives.

This paper considers two historical cases of assessments that avoided significant trade-offs through processes that gave mandatory attention to purposes and alternatives, covered the full suite of sustainability considerations, empowered citizen participants and facilitated the bumping of cases up to a more strategic level where broader alternatives offered better trade-off avoidance. These long-advocated assessment design elements are still rarely applied as a full package in existing environmental assessment law and practice. Commitment to trade-off avoidance adds to the reasons for their general adoption.     

Determining what is important for sustainability: scoping processes of sustainability assessments

Over recent decades, there has been a significant proliferation of types of impact assessments. While some argue that this is threatening future use of impact assessments, sustainability assessments have emerged as a potential approach to bridge these diverse approaches. This research focuses on examining sustainability assessments at the project level, looking specifically at scoping practices key to integration. Nine multinational enterprises operating within Indonesia are studied, utilising a case study methodology with semi-structured interviews with 32 respondents. Findings emphasise that while these multinationals sought to address key regulatory requirements through their scoping practices, international standards and global sustainability platforms were critical in informing the practices of these organisations. The recognition of these standards and guidelines saw them addressing a broad range of key sustainability issues; also using prescribed techniques to engage with stakeholders and identify the most critical sustainability issues to focus on in assessment. There was integration of scoping processes through different levels and across the organisations, which were generally managed by teams providing sustainability expertise, including through affiliate personnel for local contextualisation.

Abbreviation AMDAL - Analisis Mengenai Dampak Lingkungan (EIA); BAPEDALDA - provincial/regional-level of the Environmental Impact Management Agency; CAQDAS – computer assisted data analysis software; CSR – corporate social responsibility; EIA – environmental impact assessment; EU – European Union; FDI – foreign direct investment; GRI – Global Reporting Initiative; ILO – International Labour Organization; MCA – multicriteria analysis; MNE – multinational enterprise; MOE - Ministry of Environment (now Ministry of Environment and Forestry); NGO – non-government organisation; OECD – Organisation for Economic Cooperation and Development; OH&S – occupational health and safety; SPPL - Letter of Statement on Environmental Management Effort; UKL – Environmental Management Effort; UN – United Nations; UNGC – United Nations Global Compact; UPL - Environmental Controlling Effort.     

Social impact assessment and ethical research principles: ethical professional practice in impact assessment Part II

This paper considers a range of ethical issues in social impact assessment (SIA) providing a commentary from a professional practice perspective. Drawing on its companion paper (Vanclay et al. 2013 Principles for ethical research involving humans: Ethical professional practice in impact assessment Part I. Impact Assess Proj Appraisal, 31(4):243–253), the 18 principles of ethical research are discussed as they pertain to SIA practice. While the ethical principles are highly relevant and align well with good practice SIA, there will be situations where the specific requirements suggested by the principles need to be carefully thought through by practitioners. Although making some general conclusions, the paper’s main purpose is to stimulate further debate about ethical issues within the impact assessment profession. Key recommendations that emerge for SIA practice include the need for SIA practitioners to use information sheets routinely, and to increase the use of signed consent forms. It is also recommended that the International Association for Impact Assessment provide a service to allow practitioners to gain ethical approval for their projects in non-routine cases.     

Public participation in EIA: the case of West African Gas Pipeline and Tank Farm projects in Nigeria

This paper assesses the extent to which public participation has been fully translated into practice the case of West African Gas Pipeline (WAGP) and Tank Farm (TF) projects in Nigeria. The empirical basis for this paper is constituted by published environmental impact assessment (EIA) report for the WAGP and TF projects. In addition to this, face-to-face semi-structured interviews were used to corroborate whether provisions of public participation as documented in WAGP and TF projects' EIA report have been fully translated into practice. The lack of compliance noticed with TF project was not surprising as such, being an indigenous oil company, but our expectation is that WAGP project, which is not just a multinational project alone but also sponsored by the World Bank, should comprehensively serve as a yardstick for other projects in Nigeria, although the reverse is the case. The findings further show that institutional problems have prevented public participation from being translated into practice. These institutional problems arise from deep-seated economic and social factors.     

Impact assessment and indigenous self-determination: a scalar framework of participation options

The implementation of the right of indigenous peoples to participate in impact assessment (IA) has moved rapidly in many jurisdictions. To facilitate comparative learning, this paper offers a scalar framework of participation options through standard IA phases and examines five IA regimes in Sweden, Norway, Canada, Australia, and Aotearoa/New Zealand. It is shown how practice is moving toward co-management and community-owned IA, with developments driven by strong indigenous demands and political recognition of material rights to lands and resources. Yet, while influence in IA has allowed for shaping project outcomes it has rarely supported the rejection of unwanted projects altogether. Moreover, some jurisdictions, such as Scandinavia, retain a much more limited consultation and notification approach. Community influence tends to be in evidence generation and follow-up while developers or state authorities retain control over decisive phases of scoping and significance determination. It is argued that indigenous participation is most meaningful through IA co-management that takes places directly with the state and throughout all IA phases, complemented with strategic community-owned IA.     

Status and progress of environmental assessment in Hong Kong: facing the challenges in the 21st century

Hong Kong's EIA system evolved from the application of an administrative EIA system to major development projects. Through learning by doing and the gradual accumulation of institutional and professional capability, the system was broadened to address plans, strategies and major policy proposals, as well as deepened to embrace environmental monitoring and audit mechanisms. The successful application of EIA to several key projects bred success and acceptance. In January 1997, the Hong Kong Environmental Impact Assessment Ordinance was enacted and a legal and technical instrument, the Technical Memorandum on EIA Process, promulgated. Hong Kong is now evolving a sustainable development framework on which to apply the principles of environmental sustainability to future major policies and strategies and the Government's decision-making process.     

A Theme‐Based Seminar on Environmental Sustainability Improves Participant Satisfaction in an Undergraduate Summer Research Program

We analyzed seven years of pre‐program and post‐program survey data to evaluate the Clarkson University Research Experience for Undergraduates (REU) Site Program in Environmental Science and Engineering, and evaluated whether our program was successful at meeting the intended outcome of increasing participants' likelihood of attending graduate school and pursuing a career in science or engineering research or education. We also evaluated how participant satisfaction in the program changed with the addition of a weekly seminar on environmental sustainability that was intended to improve participants' understanding of the societal value of their research projects. Participant satisfaction in the Clarkson REU Program was high, and increased after the addition of the sustainability seminar. Participants' intention to attend graduate or professional school increased after participating in the program, but their intention to pursue a career in science or engineering research declined. Over 60 percent of participants eventually attended graduate or professional school.     

A new method for assessing high-temperature crack growth

Experimental creep crack growth (CCG) test data are obtained by following standards that characterize CCG rates using the C* parameter. Such data are then used in high‐temperature failure assessment procedures. An alternative approach to defect assessment at high‐temperature failure is an extension of the R6 failure assessment diagram (FAD). At high temperature, creep toughness, K^c_mat, can be estimated from CCG tests and replaces low‐temperature toughness in R6. This approach has the advantage that it is not necessary to establish a creep fracture regime, such as small‐scale, primary or widespread creep. Also, a new strain‐based FAD has been developed, potentially allowing variations of stress and temperature to be accommodated. In this paper, the results of a series of crack growth tests performed on ex‐service 316H stainless steel at 550 °C are examined in the light of the limitations imposed by ASTM for CCG testing. The results are then explored in terms of toughness and presented in FADs.     

Freshwater cumulative effects and environmental assessment in the Mackenzie Valley,Northwest Territories: challenges and decision-maker needs

ABSTRACT

There is a recognized need to advance cumulative effects assessment to regional and ecologically meaningful scales, but such initiatives are often critiqued for being isolated from management contexts and the regulatory practices of project-based environmental assessment. A major challenge is that there has been limited attention devoted to understanding decision-making at the project level, and the value of monitoring data to support cumulative effects analysis. This article examines how cumulative effects are considered during environmental assessment decision-making within the context of freshwater management in the Mackenzie Valley, Northwest Territories. Interviews with representatives from organizations involved in environmental assessment, regulation, and monitoring are used to identify challenges to applying information about cumulative effects at the project scale. Results reinforce the need for regional approaches and improvements in information and monitoring capacities to support cumulative effects analysis, but also the need to address institutional and organizational deficiencies to ensure that the data and information generated are useful to and applied within project-based decision-making.