Assessing Impact: Handbook of EIA and SEA Follow-up

360 Pages·2004·3.775 MB·English

by  Angus Morrison-Saunders, Jos Arts

Assessing Impact
Assessing Impact
Handbook of EIA and SEA Follow-up
Edited by
Angus Morrison-Saunders
and
Jos Arts

London • Sterling, VA
First published by Earthscan in the UK and USA in 2004
Copyright © Angus Morrison-Saunders and Jos Arts, 2004
All rights reserved
ISBN: 1-84407-139-1 hardback
Typesetting by JS Typesetting Ltd, Wellingborough, Northants
Printed and bound in the UK by Cromwell Press, Trowbridge
Cover design by Danny Gillespie
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A catalogue record for this book is available from the British Library
Library of Congress Cataloging-in-Publication Data
Assessing impact : handbook of EIA and SEA follow-up / edited by Angus Morrison-

Saunders and Jos Arts.
p. cm.
Includes bibliographical references and index.
ISBN 1-84407-139-1 (hardback)
1. Environmental risk assessment–Europe. 2. Environmental risk assessment–North
America. 3. Environmental risk assessment–Australasia. I. Morrison-Saunders, Angus,
1966- II. Arts, Jos.
GE160.E85A78 2004
333.71'4–dc
222004016775
Printed on elemental chlorine-free paper
Contents
List of Figures, Tables and Boxes ix
List of Acronyms and Abbreviations xiv
About the Contributors xvii
Preface xx
1 Introduction to EIA Follow-up 1
Angus Morrison-Saunders and Jos Arts
Introduction 1
What is EIA follow-up? 3
Need for EIA follow-up 6
Objectives of EIA follow-up 8
Historical overview 9
Contextual setting for EIA follow-up 10
Outcomes of follow-up 14
Challenges for EIA follow-up 16
Overview of the book 17
2 Theoretical Perspectives on EIA and Follow-up 22
Jos Arts and Angus Morrison-Saunders
Introduction 22
Origins of the concept of EIA and follow-up 22

Relationship between planning and EIA 26
The tension between theory and practice 28
Positioning EIA follow-up in the planning process 33
From theory to practice 37
3 A Practical Framework for EIA Follow-up 42
Jill Baker
Introduction 42
Background 42
Methodology 43
A practical follow-up framework 43
Relationship between the follow-up framework and the generic
EIA process 57
Conclusions 60
vi AssessingImpact
4 Designing for EIA Follow-up: Experiences from
The Netherlands 63
Jos Arts and Johan Meijer
Introduction 63
EIA and follow-up in The Netherlands 63
Screening: Determining the need for EIA follow-up 68
Scoping: Defining the content of EIA follow-up 73
The result of screening and scoping: A follow-up programme 79
The Derde Merwedehaven waste disposal facility 85
Conclusions 93
5 Appraising Effects of Mitigation Measures: The Grand
Coulee Dam’s Impacts on Fisheries 97
Leonard Ortolano and Christine L. May
Introduction 97
Introduction to GCD and CBP 98
Environmental Impact Statements for GCD and CBP 100
Mitigation of impacts on Columbia River salmonids 103
Difficulties in isolating effects of GCD and GCFMP 107
Irreversible and irretrievable impacts of GCD on salmon 109
Conclusions and policy implications 111
6 Can Industry Benefit from Participation in EIA–follow-up?
The ScottishPower Experience 118
Ross Marshall
Introduction 118
UK EIA regulations and follow-up practice 121
Benefits of EIA follow-up for industry: Motivating factors for
proponents 123
Deriving value from EIA follow-up: ScottishPower’s experience
and case studies 124
The management of EIA follow-up: Improving practice 135

A practical framework for environmental management plans 138
Discussion and conclusions 147
7 EIA Follow-up and Adaptive Management 154
Angus Morrison-Saunders, Bryan Jenkins and John Bailey
Introduction 154
The importance of environmental management 155
EIA follow-up and environmental management in Western
Australia 157
Factors promoting adaptive environmental management in EIA 169
Future directions for EIA follow-up and adaptive environmental
management 171
Conclusions 175
Contents vii
8 The Independent Environmental Watchdog: A Canadian
Experiment in EIA Follow-up 178
William A. Ross
Introduction 178
Ekati Mine 179
Independent Environmental Monitoring Agency 188
Community involvement in follow-up studies 191
Evaluation of the Agency 192
9 Learning by Doing: EIA Follow-up in Hong Kong 197
Elvis Au and Simon Hui
Introduction 197
Overview of EIA procedures in Hong Kong 198
Process innovations in EIA follow-up 208
Content innovations in EIA follow-up 213
Case study: Penny’s Bay redevelopment 216
Follow up to Strategic Environmental Assessment 219
Conclusions and lessons learned 220
10 Follow-up in Current SEA Understanding 224
Maria Rosário Partidário and Thomas B. Fischer
Introduction 224
Current understanding of SEA 224
Rationale and goals of follow-up in SEA 230
Types of SEA follow-up 232
Tiers in strategic decision-making and consequences for
follow-up 234
Existing requirements for follow-up 237
Follow-up case examples in existing policy-, plan- and
programme-making 239
Methodological guidance for follow-up 243
Conclusions 244
11 On Evaluating the Success of EIA and SEA 248
Barry Sadler
Introduction 248
Organizing concepts and delineation of approach 249
Meta-evaluation of the success of EIA and SEA as policy
concepts and tools 253
Macro-evaluation of the success of EIA and SEA systems and
components 262
Micro-evaluation of the success of EIA and SEA application 276
Conclusion 279
viii AssessingImpact
12 Lessons for EIA Follow-up 286
Jos Arts and Angus Morrison-Saunders
Introduction 286
Best practice EIA follow-up 287
Principles for effective EIA follow-up 298
Future directions for EIA follow-up 303
Conclusion 312
Appendix 1: Framework for EIA Follow-up and
Effectiveness and Performance Review
(Adapted from Sadler, 1996) 315
Index 324
List of Figures, Tables and Boxes
Figures
1.1 EIA Follow-up as a Link between EIA and Project
Implementation 7
1.2 Contextual Factors and Stakeholder Groups for Successful EIA
Follow-up 14
1.3 Outcomes of EIA Follow-up for Different Stakeholders 15
2.1 The Role of EIA and Follow-up – Ex-ante and Ex-post Evaluation –
In the Planning Process 26
2.2 Cyclic, Iterative Practice of Planning Versus the Linear, Classic
Planning Approach of EIA 29
3.1 Environmental Impact Assessment Follow-up Framework 46
3.2 Linkage Between a Generic EIA Process and the Follow-up
Framework 58
4.1 The EIA Procedure in The Netherlands 64
4.2 Procedure for EIA Follow-up in The Netherlands 67
4.3 Scoping for EIA Follow-up – The Link with the EIS, the
Consent Decision and Project Planning 73
4.4 The Diverging and Converging Process of Scoping of EIA
Follow-up Issues 74
4.5 Determination o f the Scope of EIA Follow-up for Road
Construction Projects 77
4.6 EIA Follow-up as an Umbrella – Integration of the Various Flows
of Information 82
4.7 The Place of Monitoring and Evaluation in the Planning Process 84
4.8 Location of the Derde Merwedehaven Waste Disposal Site near
Dordrecht 86
4.9 Sketch of Structure of the Derde Merwedehaven Waste Disposal
Facility 87
4.10 Site Layout of the Derde Merwedehaven Waste Disposal Facility 88
5.1 Location of the Grand Coulee Dam 99
5.2 Middle Columbia Tributaries and GCFMP Hatcheries 105
5.3 Total Fish Counts past Rock Island Dam 108
6.1 EIA Follow-up as Linkage Between EIA and Operational
Management 121
x Assessing Impact
6.2 Map of ScottishPower Case Studies 126
6.3 The Perceived Role, Interaction and Objective of
Environmental Management Plans 139
6.4 Contractor–client Interactions and the Linkage Role of EMP 143
6.5 Key Drivers in PowerSystem’s Participation in EIA Follow-up 149
7.1 EIA Process in Western Australia 159
7.2 A Management Model of EIA 162
7.3 Comparison of Conventional and Adaptive Management
Approaches to EIA and Follow-up 171
7.4 Changes to Harbour Breakwater Layout 174
8.1 Location of the Ekati Diamond Mine 180
8.2 Wolverine Symbol of the Independent Environmental
Monitoring Agency 187
9.1 The Statutory EIA Process in Hong Kong 198
9.2 Public Participation under the EIA Ordinance 201
9.3 Airport Core Programme Activities 201
9.4 Schematic Model of the Hong Kong Follow-up System 209
9.5 Penny’s Bay Redevelopment Projects 217
9.6 Example of a Comprehensive EM&A Programme in
Hong Kong: Penny’s Bay Redevelopment Project 219
10.1 Impact Assessment Across Decision-making Tiers – From SEA
to Project EIA 228
10.2 Quantity of Information Provided by the Three SEA Types 229
10.3 Multi-tier Causal Relationships in SEA Follow-up 233
11.1 The Anatomy of Success – Scales and Dimensions of Ex-post
Evaluation 253
12.1 Core Values, Principles, Practice and Needs for EIA Follow-up 302
12.2 Future Directions for EIA Follow-up: Relevance of Spatial,
Time and Organizational Dimensions for Moving Beyond
Project-oriented Follow-up 304
12.3 EIA Follow-up at Different Levels and their Relationships 312

Tables
4.1 Scoping Categories Relevant for EIA Follow-up of Road
Projects 79
4.2 EIA Follow-up Issues for the Derde Merwedehaven Project 89
6.1 EIA Follow-up: Motivating Factors for Proponents 125
6.2 The Scope for Mitigation Post-decision and its Interaction
with EIA Follow-up Activities 140
6.3 PowerSystems’ EMP Structure and Content 144
6.4 PowerSystems’ Template for the ‘Table of Site-specific
Environmental Actions’ with Hypothetical Entries 145
10.1 Main Differences between SEA and EIA 227