- /3/0/: edited by Robert Goodland and Valerie Edmundson An IAJA-World Bank Syymposiium Environmental Assessment and Development A World Bank-IAIA Symposium Environmental Assessment and Development edited by Robeft Goodland and Valerie Edmundson The World Bank Washington, D.C. @1994 The iternational Bank for Reconstruction and Development! /TH WORLD BANK 1818 H Steet, N.W., Washinto D.C 20433, U.SA All rights reserved Manufactured i 1he United States of America Firstprinting Mayl994 The findings, interpetations, and canlusions expressed in this study are entirly those of the authrs and shold notbe attributel in any manner to the World.Bank, to its affiliated organizations, or to members of its Board of Executive Directors or the countries theyrerresent Because of the infomality of this seies and to iake the publication available with the least possible delay, the nuscripthas notbeen adibed as fully as would be the case with amore formal document and the World Bank accepts no responsility for ers The material in this publication is copyrighted. Requests for perwmson to reproduce portions of it should be sent to the Office of the Publisher at the address shown in the apyrghtnotice bove The World Bank encDurages dissenmiation of its work and will romafy givepemrissim promnptly and, when the reproduchton is for noncommercal purposes, withouttasidnga fee. Permissio to copy portions for classroom use is granted ftough the Copyrigt Clearance Center, Suite 910, 222 Roseod DL, Danvers, Massadcusetts 0923, USA The complete backlist of publications from the Wcrld Bank is shown i the amual Ind ef Pzblihatims, which cotins an alphabetical title list ard indexes of subjects, authors, and cnmtries and regios. The latet edition is availble free of charge from the Dstnbution Unit, Office of the Publisher, at the address in the copyright noce orfrom Pubications, World Bank, 66, avenue d'lEna, 75116 Pais, Fance RobertGoodland is AdviserforEnvromentalAssessmentin theWorld BankesEnionmentDepartment Valerie Edmundson is a consultantwith the World Bank- Thelntntional Association for ImpactAssmet(Ik) was organizedinl980 topmote the local and gobal use of impact assesment and to develop international capability in anticipating and managing the of development JA i affiliated with the American Association for the Advancement of Science andis a designated governmentalorganizaionof theUnited Nations. The Twelfth Annual Meeting of the WIA took place August 19-22,1992, at the World Bank The topic of the forum was "Industdal and T.hird World Environmental Assessment The Urgent Transition to Sutaiabiity" This volume contains selected papers rom the AIAneeting. Llnym of Congres Cataong-in-Pub=fion Dat Environmental assessment and developent / edited by Robert Goodland and Valerie Edmundson. p. cmrL-(WorldBank symposium) Includs bibliographical refrences. ISBN 04823-2762-3 1. Environmental risk assessment 2. Environmental risk assessment-DevelopDingcoumtries. 3. Sustinable development. tSustainable development--Deveopingcmtries. LG oodand, Robert, 1945- . I. Edmundson,Valerie. iL Series. GE145E57 1994 333714-dc20 9413693 CIP Contents Foreword - Editors' Preface D Contlibutors AcronymsandAbbreviations xmi Part I Environmental Assessment and Development 1 I Environmental Assessment and Development Policymaking 3 Barry Sadler 2 Environmental Assessment and Sustainability at the Project and Program Level 20 Raymond F. Mikesell Part U Case Studies of Environmental in Indusal and Deveoping Countries 27 3 What's the Difference: A Comparison of EA in Industrial and Developing Countries 29 Mary MacDonald 4 Environmental Assessment The Process in Thiland and Canada 35 Nonita T. Yap S Managing Tropica Forest Development Technology Transfer in Environmental Assessment 48 Wilson Eedy and Lars Hurten 6 Rapid Urban Environmental Assessment Fuist Step in Environmental Management m Developing Countries 54 Josef Leibnuan 7 Applying Proven GIS Technique in a New Setting: GAP Analysis in Costa Rica 66 Basil G. Savitsky, Thomas K Lacher, Jr., G. Wesley Burrt Jorge Falas, and Christopher Vaughan Part m Sectoral and Social Issues in Environmetal Assessment 73 8 Impact Assessment of Dams and Reservoirs: The Work of the Intenational Commission on Large Dams 75 Jan A. Vetrop V vi Conrents 9 Public Participation in Environmental Assessments in Africa 84 Cynthia C. Cook and Paula Domwlty-Roark 10 Flood Prevention and Mitigation in Bangladesh: The Need for Sustainable Floodplain Development 101 C Emdad Haque 11 Public Involvement in Environmentl Assessment of Tourism Douglas Earl MeLaren 114 Part Iv Environmental Assessment and Sustainability 125 12 The Sustaiable Supply Rule for Economic Evaluation of Natural Capital Depletion 127 Joachim von Amsberg 13 Operationaliing Sustainable Development by Investing in Natural Capital 152 Herman Daly Foreword Environmental assessment (EA) at the World Bank extending its expertise in assessment and the began in the early 1970s on an ad hoc basis, and by prediction of environmental impacts to the later 1984 EA had become a Bank requirement for all phases of supervision and implementation to help relevantprojects. The Bank has since devoted a great strengthen borrower capacity in these areas. deal of effort to assessing Bank-financed projects There are other forward-loDking activities. In fact, and, in part because of that work, has made some of the most important lessons learned in recent considerable progress in the way it handles years arenotonly aboutthehighcostofenvironmental environmental issues. degradation and the ultimate loss in productivity, but In 1989 the Bank formalized EA requirements in also about the limitation of project-by-project Operational Directive (OD) 4.00, Annex A. This was assessment for addressing this overall degradation of revised and updated in October 1991 (OD 4.01). The namral resources that puts a country's future at risk Bank has continued to refine its procedures, has run economically and socially-as well as an accelerated progamof EA taining for Bank staff environmentally. To properly deal with these and borrowers, and has set up a detailed tracking problems, a multidisciplinary approach is called for system for EAs in Bank projects. In addition, the thatcombinesbroadenvironmentalpolicy, institution Bankhas greatly strengthened its capacity to expedite building, and other aspects of resource management theEAprocessthroughincreasesinstaffandfinancial In response, the Bank will continue its work in resources and production of many publications country economic and sector work, technical disseminating Bank expertise on EA. One of the assistance, project lending, formulation of national most important of these is still the Environmental environmental action plans (NEAPs), and AssessmentSourcebook published in the summer of collaboration with the Global Environment Facility 1991. (GEE). Of course, individual lending will continue to In January 1993 the Vice Presidency for be important in borrowing countries, and the Bank Environmentally Sustainable Development (ESD) will use each opportunity to help governments map wasformedto providespecialleadership inachieving out achievable environmental goals that will ensure developmentthatwouldprovidelong-termprosperity. future resources. An important Bank effort in the ESD's mandate was stated as meeting three near future will be working out NEAPs with environmental challenges-food production, governments to focus investments on critical areas. urbanization and natural resource management- Sectoral EAs will be used more frequently. Fmally, and bridging three gaps-in knowledge, capacity our joint responsibility to the global environment and attention to social factors. These mechanisms for will undergird the Bank's continued work with the meeting the urgent goals of sustainability are based GEF, particularly in energy planning and onsolidenvironmnental,socialandeconomieprinciples development, forest management, and agriculture. and pragmatism. Protecting the global environment will require While progress has been rapid, there is no room for greater levels of effort and probably restraint within complacency. We cannot yet claim that all EAs are each countryand unprecedentedlevelsofinformation satisfactory, but the Bank is moving ahead already to sharing and cooperation between countries. There a more mature phase of environmental work. The are many daunting problems that also require Bank's first review of EA experience in 1992 adaptation to the changing needs of society as well as generated a deepened commitment by the Bank to unconventional ways for dealing with the new vii viii Foreword generation of development and environmental challenges. I amvery pleasedthattheBankcanbeinstrumental in the wide dissemination of environmental infonnation through this publication. Let me extend -my gratitude to the authors represented here and all others who are devoting their skill and energy to the environmental challenges we and succeeding generations face Mohamed T. El-Ashry Chief Environmental Adviser to the President and Director of the Environment Department The World Bank Editors' Preface This volume presents selected papers that were developing cowutries, as weil as international presented and discussed at the International assistance agencies, have adopted enviomental Association for Impact Assessment (LAIA) assessmentproccdurestoimprovetheenvironmetal conference on enviomental assessment (EA) held performance of their development projects. In inWashington,DC,August 19-22, 1992, andhosted developing countries, narowly planed investment by the World Bank The meeting was especialy projects were found to have negative consequenes timely as afollow-uptotherecommendations forEA fortheenvironmttattnotonly impededeconomic at the Unitd Nations Confemnce on Enviment development but also thtned human wll-being and Development (UNCED)in Rio deJaneiro. Some The conibutions inluded in this volume were 425 professionals from 45 countries travee to this selected to provide a broad overiew of these issues conference to discuss thc state of the art in EA, and pepectives. Togete they help clarfy how the evaluate recent iumovations, and critically examine management of our environmnt can be eimved thedisciplineasameansofachieving l throgh a better undestandi of the interplay sustainable development, between environmental quality, economic The conference covered a wide range of issucs, prformance and socid welfare. The papers have from economic valuation theory to comparsos of been organized around four topics. Part I discusses EAprocedues inindustrialanddevelopingcountnes ptii tiesofsustinabledevelopmentandintroduces to practical assessments of case studies. Several specific methods for achieving them, such as experts on the environment and development environmental accounting, environmental exained globalpatunsofincomedistnbutio All assessment; and strategiceruiromentalassessment ofthefindingsemphasizethatdcangescanbemae!- Part H presents case studies of environmental and must be made-to move environmental assessmet as a major inument in ina sustainability from concept to reality. plandevel inginstitutions, Sustainable deveiopmentas advocatedinthe 1987 with attntion to building EA capacity. Part m BndtlandCommissionreport,OurCornmonFwure, discusses the application of the environmental is a complex undertaking that requires a global assessment process for specific issues and types of response and an unprecedented level of effort, development projects. Part IV eamies how the knowledge,and inmtmationdcoopettonparticulaly conceptofsustaabilitycanbeusedinthconom3ic between North and South. In the poorest couties, analysis of projects and programs, includig the where the ecosystems on which people depend are treatment of the depletion of natural capitaL tbreatened by population pressures, land and water Part I begins with a discussion of expaing the degradation, deforestation, and other forms of scope of eal assessment to acbieve the cnvironmenltastre,economicdevelopmentremain goals of sustinable development the greatest cballenge In mdustrial countries, where Bany Sadler contends that the coventional system the level of consumption today jeopardizes global of project-riented etl assessment is an sustinability more than population growth, the ineffective response to the urrent pattems and rate greatest challenge will be moderating per capita of ecological deterioration- A more integrated impact EA has a major role in the difficult approach is requiredaa second-generation EA counterbalancing of these objectives. process that addesses the source of impacts and is During the past two decades, many industial and linked to all levels of deionmgRymond ix x Editors' Preface Mikesell presents an outline for maldng sustaiable conservation and sustainable development of land development apart ofthe EAprocess. The transition areas. tosustainabledevelopmentwillrequirerestoring and In Part III the authors discuss environmental thenpreserving theproductivity and full functioning assessment as it applies to the technical and social of the natural resource base. This of course is a hard issues of darns, turism, natural hazards, andpublic andfar-reachingtaskwecdingacommitmentofeffort participation. JanVeltrop examines the effectivenriss andfundstoavoidormitigateenvironmentaldamage, of EAguidelines as aplanningtoolforthedesign and to restore depieted natural capital such as forests and management of dams and hydroelectric projects. He soil, to substitute for nonrenewable resources, and to i&scusses ways inwhichmanagement plans are used compensate future generations for the depletion of to resolve conflicts between water resource natural capital in the preseaL devclopmentandenvironmental conservation,based Part II presents an overview of enviromnental on selected country case studics, and illustrates the assessment processes in selected countries and of advantages. of conducting an EA during project case studies on transferring EA technology. Mary planning and design. Cynthia Cook and Paula MacDonald compares EA procedures in industrial Donnelly-Roark discuss how the involvement of an and developing countries and ilustates the value of informed public and the participation of affected striving for an interational approach that wil be groups in project planning determine the success of strengthened by the combined experience and environmental assessments as well as of enviromental managemeat goals from different implemcntatonoftheproject In Sub-SaharanAfrica, culures and geographical regions. The assumption the meaning of local participation is problematic, thattraditional enmntalasscssmentsconducted especially where major investment decisions are in industnal countries result in more effective frequently made by elite groups and broad popular management is flawed; in fact, the "best' approach par-ticipation inthe political process is the exception has yet to be found for many difficult issues such as rather than the rule. Ways to ensure participation screemng, monitoring, and public participation. have not been wel defined, and barriers such as Nonita Yap discusses th institutinalization of the restricted access to information and inadequate EA process in Thailand and Canada. She argues that linkages to local institutions hinder effective developing countries "on the fast track to communication. Participation is frequently idustrialiation" are often particularly vulneable undertalkn too late to have a significant impact on to the undervaluation of social and environmental decisionmaking costs in their purit of development goals. EmdadHaquediscusseshowpeopleinBangladesh Wilson Eedy and Lars Hurlen discuss the areaffectedbynaturalhazards (forexample,coastal development of EA legislation in Indonesia and floods, nrver bank erosion and droughts) .that have illustrate how EA has been used for tropical forcstry seriously hampered the development process, development Government funding agencies have requiringasubstantialreallocationofresourcesfrom also supported the development of local dvelopmenttoreiefandrecoveiy. TheWorldBank environmentalregulation, but thereis anurgentneed and the Bangladesh govmet have approved a to make these laws fimctional. Josef Leitmnan plan to control floods that calls for ffie construction descnibes the research experience oftoeWorldBank of high emnbankments along the major river systems Urban Management and the Envionmt Program of the county. On the basis of a survey of eight (UMP/E) in the area of rapid urban environmental villages,Haqucarguesthatsuchlarge-scalesuctural assessment, which uses comparable case studies to solutions do not address the entire situation and n broaden knowledge about issues and options. The the real risk ofadverse ecological andsocial impacts. objectives of UMPIE are to formulate an Headvocatcsaninegrativeapproachinvolvingboth environmental management strategy and actionplan small-scale engineering projects and nonshtuctra for cities inthedevelopingworld. Basil Savitsky and indigenousstrategiestocontrolfloodwaterandensure others discuss the application of Geographic theconservationofvitalnaturalandcltUmiesources. Information Systems (GIS) and gap analysis to Douglas Earl McLarcn presents a methodology for provide data on species distribution in Costa Rica. assessingnegativee rtalimpacts, including The study evaluates. available data sources and mitigation measus to be taken as part of the EA develops a GIS framework for prioritizing both process, and relevant lessons learned fiom tourism Editors' Preface xi projects in industrial and developing countries. allows for an increase in the quality of ife without a McLaren believes that when decisiGnake and corespnding decrease in ental quality plaiers analyze the long-term investmt value of TheconfencewasorganizcdbyRobertGoodland tourism projects, they should assess their potential andValerieEdmundsonoftheWorldBankand Gary negative effects on the environment and people. A Wilams of the Argonne National Laboratory, key component of EA in tomism projects is seeking Washington, DC. We are indebted to Maurice and theinvolventof loclpeopleearlyontoensurethe Ellen Voland of the Intemational Association for dvelopymcntofamoreviableandsusnableindustry. ImpactAssessment, Belihaven, North Carolina, and In Part IV fte authors cxamine the relationship SherieVolnd-KoobofV-KEnteprises,Washington, between environmental assessment and DC, who assisted in the preparation and environmntally sustainable development from a implementation of the conference. From the World macroeconomni;, sectoral and project perspective. BankGroup,significantsupportcamef3romichael Joachim von Amsberg argues that in conventional Cermca, Hnamm Daly, Mohamed El-Ashy, Jose economic analysis, the costs of natural capital are Furtado, Joan Grigsby, IshratHusain, Maritta Koch- systematicallyundersimatedduetoindividualshot- Weser, Elizabeth Monosowski, Nimalka term incntives of decisionmakers, the presmce of Moonesinghe,PhilipParadie,RobertPicciotto,Jane xeraties, anduncertainties abouttheflmctioning Pratt, Rebecca Russ, and Thomas Walton. of the biosphere. He proposes a sustainability We would also lie to thank al the conference constaint on current economic activities to ensure participants and especaly the contibutors to this thatthivalueofnaturcapitalbemancdHrmn volume for making the publicaton possible. To Daly prposes that investing in natrl capital is prcpamthepapersforpublication,restuctugwas fimdmentaltosustiabledevelopmenttomammize necessary at tmes-for example, including long- current productivity and to ensu the fbutre supp. anne:xes and all the tables and graphs would have EHe discusses the practical means of achievmg ffis madethevolmetoo large. Severalauthors rovided though defining m context natural capital, vanous updated orfoow-up marialtotharoigin analyses investments, and efficiency ratios. - and, where possible, this new iformation has bee As these papers andthe UIA conferees discussed, added to the chapters presented here. Nancy Levine -the application cf evonmetal assessment has andVirginaHitchoockprovidedguidanceandmoral projcctappmisaannddlopmcn suppanwithoutuwhihtbiswrkwouldnothavebeem anddeciionmn ingeneral.Theproject-by-project completed. Finby, our sincere gratitude to Jill appioach is no longer adequae, however, for the Kuchnertforproducingtheexpcrtdesktoppublishing broadeniromentalpolcy,instituionblding, and under a tight deadline and to Charlotte Maxey and other aspects of resource management now needed. Stephanie Gerard for seeing the publication through A more imagiatve pursuit of economic ends is production. repqucd-onethatislessmrsr-intsiveandthat Contributors JoachimvonAmsberg Thomas E. Lacher, Jr. Faculty of Cmmrce and Bushes Admininstation Strom Thmnond Institute The University of British Columbia Clemsn University Vancouver, Briish Columbia, Canada Clemson, South Carolina G. Wesley Bumrftt Josef L. Leilm Strom Thurmond Insitute Urban Planner, Transport Water, and Urban Clemson University Dcveloent Divinon Clemson, South Carolina The World Bank Cynthia Cook May MacDonald Senior Sociologist Stockholm Environment institue Environmentally Sustainable Delopmen Division University of York Africa Technical Departme Hoslington, York, United Kingdom The World Bank . MOLU Hermn Daly -LCF. Kaiser Engineers School of Public Affairs, University of Ma$and Washington, DC College Park, Mawyland Ramond F. Mikesel Paula Donnelly-Roadk Department of Econmics Consultant Unirsity of Oregn The World Bank Eugene, Oregon Valere Edmundson Bany Sadler Consultant Canadian Inmental Assessment Research The World Bank Council Wilson-Body Victra British Columbia, Canada GOomatics Inationa, Inc. Basil G. Savitsky Burlington, Ontario, Canada Strom Thurmond Insitut Jorgp Falls. Ckmson University Universidad Nation Ckmson, South Carolina Hereduia, Costa Rica Christopher Vaughan RobUtniv odlad Uaiversidad Nationa Robert Godl_An -Heredia, Costa Rica Enviment Deparment Ian AE Veltrop The World Bank Hana E ing Company C. Emdad Haqu!e I Department of Geography Nonita T. Yap Brand University School of Rual Planning and Developmet Brandon, Manitoba, Canada University of Guelph Lars Hilen Iph, o, Canada Lwn Group Toronto, Ontario, Canada Ai Acronyms and Abbreviatons AFrEN AfricaRegionEnvironmentDivision EDI EconomicDevelopmentLnstte (World Bank) ElS Environmentalimpactassessment ALARP As low as reasonably possible EMDI EnvironmentalManagementDepart- AMDAL Environmental assessment (Indone- ment of Indonesia sia) EMS Environmentalmmnagementstrat7gy ANDAL IndonesimanDepartmentof Population ENDS EnvirommentalDataService andEnvironment ENMOD UnitedNations Convention on the. AsDB AsianDevelopmentBank Prohlbition of Military or Any Other AVHR. AdvancedVeryHighRadiometric HostileUseofEnvironmental Resolution Modification BAT Best available technology EPM EnvironmentalProgranforthe bbl Barrel Mediterranean (UnitedNations/ BO1 Board of Investment Chailand) WorldBank) BRBFPE BrahmaputraRightBankFlood EPWAPDA East Pakistan Water and Power Protection (Bangladesh) DevelopmentAuthority CB Cost/benefit(analysis) EQMAP Environmentalqualitymanagement cc Carrying apty ' aonplan CEAA CandianEnvironientalAssessment ERR Economicrateofreturn ES Environmentalsustainability CEO Chief executive officer E&SA Envirommenalandsocialassessment CEBS So Paulo StateJEnvironmental ESAS Extenalsupportagencies Company ESRI EnvironmentalSystems Research CFCs Chlorofluorocarbons Insite CH4 Methane EUROSTAT European Statistical Office CIDA CanadianIntemationalDevelopment FAP Flood Action Plan (World Bank) Agency FAO Food and Agniclture Organization of CO2 Carbondioxide the United Nations CZCS CoastalZone Color Scanner FEARO FederalEnnvironmentalAssessment DCW Digital chart of the world Review Office (Canada) DMA DefenseMappingAgencyr FFWP FoodforWortksogram EA Environmentalassesment (Banladesh) FPCO Flood Plan Coordination Organiza- EAP Environmentalactionplan tion(Bangladesh) EARP Envirn--.nentalassessmentreview G Proces (Canada) GEE GlobalEnvironmentFacility EAS EnvironmenudlasssmentstLidy EC Eropean Community GEMS GlobalEnvironmentMonitoring ECC Environmentalcompliancecertificate so pem (Philippines) GL Gigajoule ECE UnitedNationsEconomicCommis- G Grsatonlp sionfor EuropeGNP Grossnatonalproduct ECODES National Conservation Strategyfor GPS GlobalfPositioniSystem - SustainableDevelopment (Costa GRID Global Resource Information Data- Rica) - base EdF Electricit6 de France ha Hectare dl- xiv Acronms and Abbreviations HCCs High-consumptioncountries OEPP Office ofEnvironmental Policy and HYV High-yieldingvarieties Planning(rhailand) LADB Inter-AmericanDevelopmentBank OMS OperationalManual Statement LATA International Association forlImpact (World Bank) Assessment ONC Opertonalnavigationaicharts IBRD International Bank forReconstruction ONEB OfficeoftheNationalEnviroamental andDevelopment (World Bank) Board (Thailand) ICC Intemnational Chamber ofCommerce PEL Project evaluation level (Tndonesia) ICOLD International Commission on Large PIL Project initial evaluation level or new Dams plan (Indonesia) IEE Initialenvironmentalevaluation PPF Project Preparadon Faility (World u1s Intemationalfinancial institutions Bank) 1113IO InstitutoNacional de Biodiversidad PWP PublicWorksProgram (Costa Rica) R&D Researchanddevelopment. lJ?CPD IndianTownandCountryPlanning RED RegionalEnvironmentalDivision Department (World Bank) IUCN InternationalUnionfortheConserva- ROR Rate of return tion of Nature and Natural Resources. -.RWP Rural Woks Program (Bangladesh) Ian Kilometer SAR Staff Appraisal Report (World Bank) km2 Aquprenter, . .. - StFategieninmentalassessment LCCs Low-consumptioncountries SECAL Sector adjustment loan (World Bank) m Meter SEl StockholmEnvironmentInstitute in? Cubicmeters SEQRA State Enviromnental Quality Review MAF Million acre-feet Act (New Yoc, United States) MDBs Multilateraldevelopmentbanks SIA Sociaimpactassessment MEIW MetrolitanEnvirnenlim- TAGPE TechnicalAssistance GrantPrgram provementProgram (UnitedNationsl fortheEnvironent WorldBank) TM Taskmanagerorthematic mapper MFI Mulhnationalfinancialinstitons TORs Termsofreference MJ Miegajule TP Thomughput MMK Manmadecapital TPD Tons per day MSS MultispectralScanner UMP UrbanManagementProgram MW Megawatt UMP/E Urban Management and the Environ- NAFFA North American Free Trade Act mentProgram NASA National Aeronautics and Space UNCED UnitedNations Conferenceon Administation (United States) EnvimmnentandDevelopment NEAP National enirnmentalationplan UNCHS United Nations Centerfor Humun NEB NationalEnviromnentalBoard Sements Clhailad) UNDP UnitedNationsDevelopment NEPA NationalEnvironmental PolicyAct Programme (ULited States) - .UNECE UnitedNationsEconomic Commis- NEQA National Envomental QualityAct sionforEurope (Thailand) UNEP UnitedNationsEnvironmental NESDB NationalEconomicandSocial Progmme DevelopmentBoard (TMailand) UNESCO United Nations Educational, Scien- NGO Nougove11mentalorganizaon tific and Cultural Organization NK Natural capital USAID United States Agency for Intena- NUREC Network for Urban Researc in the t onalDevelopment EuropeanCommunity USNRC United States National Research OD Operational Directive (World Bank) Counci ODA OverseasDevelopmentAid(Canada) UVb Ulanviolet rays oaD organization forEconomic ~ WCED WorldCommissiononEnvironment tionandDevelopment andDevelopment(Brundtland) OED OrationsEa aluationDepartipent WHO WorldHealth Organization (World Bank) Part I Environmental Assessment and Deeldopment Environmental Assessment and Development Policymaking BarrySadle The practical contribution that environmental relevant inter-relationships in procss development, assessment (EA) can make to informed as indicated by the following key quetions: decisiomnakilngis ackowledged in Principle 17 of * What is the rationale for SEA? What is its the Rio Declaration on Environment and proposed role in decisionmakig? Development' Duringthelasttwcntyyeas,EAhas - Whatinstitutionalopportumities andconstaint been adopted and adapted by a growing number of arecnommtrcdininroducingSEAintodevelopment counties and intnational agcies. It has evolved, policies, plans and programs? How might tbis in the process, into a comprehensive and versatile approach reinforce enviromental accountability in instrument for development planing and resource the economic and cental agencies of government? management. New demands are being made on EA - Howdodifferentcountries andinstitutionsdefine by the intemational agreements signed at the Earth SEA and link it with sustainability concepts and Sumnit and by the endorsement ofAgenda 21. strategies? Which frameworks show promise for In dhatcontext,thepracticeofEAisconstramedby struchtring this approach in relation to differet certain well-docunented deficiencies. By most levels of decisionmaking (policies, plans and measures, conventional (that is, project-oriented) programs)? EA is a self-limiting and ineffective response to * How adequate are existing EA methodologies current scales and rates of ecological detioration. and techniqs for SEA? Which other policy tools Moreproacive,integrtedapproachesarerequrcd- might be adapted to that purpose? in effect, asecond-generationEAprocess thatmoves * Where do we go from hcre with esarch and beyond the "impact fixation" to address the causes development?Howmightproccssdevelopmentdraw of imsustainable development These are located at on advances in environmental and ecological the "upstream" phase of the decisiomnaking cycle, economics (for example) to design amoreintegrated m the macr-conomic policies and development approach consistent with sustainability principles? programs pursued by governments of all political strpes. RafnaleforSIEA Whatistcrmcdstratcgicenvzro nentalassessment The aial relationship of EA and poliqymaing is (SEA) is a promising approach to ensurc that oft is rs oImpaassca tisapanicular policymaking2 takes account of sustinabilhty fomnofpolicy analysis,withacharactristicpurpose principles (Sadler 1986,1990a; WoodanDeddour and approach. By definition, this approach is 1992).Anum rofomieshaverecentlyilroduced concnedvwithidentifyingevaluatinganddmitigating elements ofthis approach, andmore ppearP ielMyto the potential consequences of proposed decisions, do so. To date, however, practical experience with and strives to be rational, systematic and mintgrat SEA ofpolicies, plans and programs is limited, with EA and its related components-social impact critical issues yet to be resolved?3 These include the asmsment(SLI)4sn isk,an ysisandsofoch-infitly proposed scope of this approach, its role and develop to augment the deficiencies of economic relationship to other policy instruments in techiques in accounting for the qualitative and decisionmaking; and the appropriateness of relying in gibleefftsofm ordevmnts. Thisgeneic an the methods and procedums of project EA. processofEAhasevolvedconsiderablyimarelatively Thischapterwiaddresstheseissuesbyanalyzing short penod of tme and is, "one of the major 3 4 Environmental Assessment and Development Policymaking innovations in policymaking" (Bartdett 1988). need, alteatives and siting to public scrutiuy and SEA may be seen as a logical extension of this examination (Sadler 1984). wend, particularly in industrial counties with well- * Programmatic (or class) assessmentis conducted establishedEA systems. However, it applies equally in the USA and the PrwAnce of Ontario, Canada, to to developing countries (Biswas and Geping 1987). reviewtheeffects ofeconomicdevelopmentprograms, A recent stuy lists a dozn general advantages of new technologies, and even wildlife conservation introducing SEA (Wood and Djeddour 1992). These strategies (Sigal and Webb 1989). stem from two sources of iterest overoming the * Areawide assessment is utilizcd to identifr the limitationsofconvenitonalprojectEA,andpromoting regional consequences of sectoral and multiple use more integrated approaches for assessing and developmentproposals and togain initial policy and evaluatingthesustainabilityofdevelopmentpolicies, planning clearances (Balard and others 1982). programs and plans. * Cumulative effects assessment is a more recent Seg&ngEA andcompr nseversionoftbeaboveinvationa it is conceimed with incremental, synm-gstc mild There is no basis in the principles of EA for cross-media effects of development patens an overlooking policies, programs and plans. Quite the ecosystem and landscape fimctions (Canadian contraxy. The preoccupation to datewithprojectEA Environmental Assessment Research Council and is defacto rather than dejure. For example, from the US. National Research Council 1986). outset of the U.S. National Environmental Policy - State of Environment Reporting is a Act in 1969, EA was meat to test, inform and compreheiisive,inational assessment ofresource and reorient federal decisionmaldng (Caldwell 1982). ecological trends, conditions and responses to the Section 102 (2) (c), in fact, refers to coverage of stressesinducedbydevelopmentactivities(Birdand "proposals for legislation and other major Federal Rapport 1986). actions sigificantlyaffctitgthcenvironmcnt."The Despit such advances, resource and ecological language of intent is also broadly drawn and deteioration is now pervasive, and is expressed on prmissiveinmmitialEA laws andpolicies established regionl ad global as well as local scales. Acidrain, byothercuntries,suchasAustraliaandCanada(see biodiversity loss, and climate warming are well Clark 1981). Canadian guidelines, for example, call documcnted examples ofchanges that are impairing forthe applicationoftheprocess -as earlyas possible the productivity and habitability ofth earth (Brown in the decisiornaklig process." andots 1990). lIneft these andothercumlative In reaity, this has not happenavd With certain effects of developmet activiLy have seeped through exceptions, EA is applied as a projectplanning and the institutional crack, and now treaten to beccme mitigationtool,focussingonquestionsofhow(ratber overwhelming and irevesible. The decisions and than whether or where) development should take actions thatescapcEA,fromnewdevelopmentpolicy place. This ciumscribed role in decisinmaking andprograminilativestoroutinelandusepractices, works effectively witbin an integrated policy and greatly outnumber those that are subject to review planning context in which prior-order issues of (Boothroyd 1990; Bees 1990). justification and altemnatives areresolvedinaphased An explicit formalized approach to SEA forms manner. Where this friamework does not exist or is part of an integrdted response to these issues. It incomplete, which is typically the case, project-by.- shouldrealize the following intmerlated benefits: (a) project impact assessment is constrained by limited encoWage review of the poal envimental infonnation about the larger opportuilty costs of effects associated with all development proposals, development proposals. Under hese circumstances, from policy to project levels; (b) permit more it becomes difficult to evaluate the real significance stemtic consideration of necd and alternatives, of predicted impacts, or just what is beng lost or for instance, whether a development program to forgone (Sadler 1986). address anenergy shortfall sbouldemphasize energy In response to this problem, the scope of EA has conservation or supply extensiuon, and which is ffie progressively been extended to policy and planning best practcable environmental option, hydro or fuel concems. Several of the process trends represent fossil geneation; (c) faciltate identification and prototype forms of SEA. Several key examples are managnemntofcumlahiveimpacts; and(d)catalyze EAs of major projcts have opend questions of thereorientationofEAas asustainabilitynsrment Sadler 5 PromodngSurtinbility Goodland and Daly (1991) have elaborated output and input rulcs for enviromncnntal sustainability. The The transition to a sustainability agenda, called for adiput rles f envimelaiv abil4 the by the World Commission on Environment and muputguidewthsitrgenerative capactyforrnewable Development (1987),carries importantimplications resources and replacement rates for e le for the theory and practice of EA. Ecological and resorces economicconsiderations,forexawple,mustbeteated These precautionary pnnciples may appear onthesamelevelandthesametieindecisa ing demandingand onerous, and theyclearly areifstrictly The standard environmental agenda thatfocusesoin applied at the individual project level. Few the emptoms of deteioraton and unsustarnability development proposals would go forward under a must be complemented by an anticipatoiy strategy strict criteion of non-liquidation of natural capitaL that addresses the source of these effects, which are Natura capital, however, is an aggregate concept foundin ecnomincgrowthpolicies andassumptLons. thatrefers to muflti-function ecosystes, ratherthan Such a shift in emphasis demands two ke9y to single resources or specific sites. It is most innovations: translating the principles of appropriatelyoperationalizalatanetorprogranumnatic environmental sustainability into operational terms, level (Pearce, Markandya and Barbier 1989) and in delines and such aspolicyperformance indicators; abi-regional context (Sadler andJacobs 1990). At and redesigning the architecture of EA and related a scale, cumlatlive -eni ronental impacts may be processes to give effect to these new "rules of the thought of as a awdown of natur capital whih anle . mustbeoffsetbyanequivalcntinvmtentinresourc To ensure sustainability, all development options conservation, rehabifitateon or enhancemsu In- and activities must bc adjusted to and be consistent lcnd ispact compensation measures, as wen as withthe "canyingcapacity" oftbeglobal biosphere dn act compnetitigationtm eandconditiors, swould and regional tconastlms Paragraph 9aoftheWorld ( beappliedto non-conformingdevelopmentactivities Banlc's Opcrational Manual Statement (OMS) 2.36 (that do not meet the no net loss rule). Environmental Aspects of Bank Work provides a MaintenanceofuaturaIcapital and=anyingeapacity formal statement of this goal: "to ensure that each and in-kind impact compensation are concepts that project affecting renewable natural resources (as a grew from existing approaches to resource and sinkforresidues oras a sourcefor rawmaterials, for environealmanagement Otherexamples include example) does notexce dtheregezaativecapacities airandwatrulalitystandards adpotlina mission ofthesenvironment" (Gndsandand Daly 1991). At to bubbles," no net loss of habitat policies, and present scintefic ufderstanding is insuoffw ent an sustained yield fish and timber allocation systems. permit before the-faac predictions of whether and Suchapproaches, ofcourse, aretremendouslydifficult wien significantothresholds will be crossed, thtis, toextendtoaquaticandterrstrialecosysm,wher the "operating point" at which cumulative stress of output and input rules for sustainability encoumter use and activity will cause irreversible change or complax interdependencies among resouce uses, structural breakdown innatural systems (Kar 1991). energythroughputs, andmass balances (Daly 1989). Ecological capacities or limits may be interpreted ThetpOcldereisncztograspatheoryoftheindosslb1e only in qualitative tens of'acceptable"change and buttopromotethe artofthepractical, which involves risk, creatively cmploying "best guess" science to A formal approximation for environmental implementpnadentnzlesofthumbthathelpguarante sustainability is non-liquidation of natural capital, un tp e eot bheit that is, resource stocks and the ecological processes A secnd-gznation EA process is needed to essential for their continued productivity and supportthisnewmodusoperanch(Sadierandlacbs regeneration. This cnterion links long-established p99 s). The building bloks of is erng model conscivationprnciplesvwithnew modes ofeconomic 190.Tebidnblcsothsmrggmdl evabionofthesourmceadswinkfimctionsandsoferv'es are outlined in figure 1-1 In this fimework, EA is vapionofthesoudreandsinksfumcio.sandservices identified as a generic approach that encompasses performedby natulral systems. Natual capital is now L' scle of analysis (EA and SEA) and t:heir considered by ecological economists to be a t salewisthofanaliysis (EAaisapplied complementary and limiting factw of dvelopmnt to all classes of economic activity with potential rather than fieely available and substitutable with to acseofeconomicaLivitithdptdhia manmade capital. On the basis of this ~retation, resource or ecological effcts and is linked (wihrisk 6 EnviroumentalAssessmen t and Development Polgimaking Figure 1-1. EA and lIstrumenal Linkages National sustainability straegies Macro-economic - s Green plans, fiscal policy / corlservation and trade / St of sifategies enviramnnt t r/pofting \ Industry diversifcation / Cu Watiavewo Regional land tse and development ffe /' \ planning, integrated e / -' aEssassment- resource managemen ' Programmtic EA %, Areawido EA Project design EIA Local and and management _community planning / Cse . Risk /t benefit \ analyanaysis assessment, SI4 and cost-benefit analysis), into integrated methods of envirnmental-economic compdrnsweprqjectrevewtoensuresustmabily. anysis. SEA exteds the prnciples of EA to cover te :a many developing contries, however, vaodus developmentpolicies,plansandprogramsthatgovern constraints impede the introduction of EA and, by the conversion anddepleionofnaturacapitaL This extension, SEA (Abel and Stockig 19:1). Major. embryonic approach must now be coordinated with barersincludelackofresous,shrtageofreqsfte other strategies and instuments for environmt- skills, and an absence of en mtal laws or a economy integraton (as showm in figure l- 1). failure toefomrcethem (Kennedy 1988). Inresponse, In this context, SEA may be seen as a vector for international aid programs are now beginnig to movmgframthestanlardtothesusiblityagendr directyaddress theproblems throughnirocmentai Specifically, this process cam help to: instil and eq m trainingandinstibition-building. Tese integrateen tal goals andprciples itthe efforts provide importan and tmely opportwuties highestlevels ofpolicymang; ensuretbat economic for demonstaig and adapting EA practice to the and fiscal agencies are responsible and accoutable rquimets of developing countries (Marsb and forthe me consequences of thei choices others 1988). Howcvex, because the experien in and acons; and promote long-tem changes m de-velopIgwOmutriesisliitethefbllowganawsis atttdes and assumptions about economic growth. is selective and largely resticted to industial When comparing tbese, the key point to note is the countries. progressionfromEA-based approachestDwardmore integrated methods of environetal-conomic priiples. The United Nations Economic Commission for Evoling Appreaches to SrA Europe (UNECE) has estabished a task force to study the frameworks, procedures, and mechansms The approach taken to SEA will vary wth pupose for applyingEA principles to policies, programs, and and context and anumber of itiatves are either in plBs.Adratrcportisbeingckwlated--mogme3lb place already or are under consideration. Wh counties for comment (UNECE in preparation). comparing these, the key point to note is the Provision conclusions are that SEA is necessary progressionfomEA-basedapproachestwardmore and feasible, and it will be most effibtve when Sadler 7 applied at the earliest possible stage of policy reviewofpolicyoptions (Craig 1989). The Resource evolution. This approach is seen as providing an AssessmentComnmissionprocessisexaminedfirther added capability for anticipating and highlighting in the next section. potentialproblemsandassistinglong-tcrmplanming A further lcvel of integration is the application of It is expected that the final report will recommend SEA as part of an intgaed policy and institutional thatSEAshouldreflect,asmuchaspossible,elements firmework for sustainable development To date, of project EA (for example, screenin& scoping, the very few countries have adopted such an approach evaluation, and doctation) So far, only a few - The New Zealand Resource Management Act member countries have institutionalized SEA or (1991) has replaced a plethora of planning and equivalent processes. regulatory statuteswithasinglelawwithonepupose: A commitment to this approach is part of recent to promote sustainable land and resource use. reforms to the CanadianEA system. The Canadian Previously required only formajor projects, EA now Environmental Assessment Act (1992) prescnbes must be applied to most resource consents and to the process for project aessment; and although urban and regional plans The processes and policy and program assessment is not covered, it is mecbanissforintegratngEA andplamningpractices requredbycabinetdirctive(GovernmetofCanada are still being designed Future directions will be 1990). This is a major departure from previous strongly influenced by the policy guidelines an practice. Draft guidelines are under preparation and sustainabilitythatareestablished,theextentto which werediscussedattworecentmeationalworkshops, regional plans are directed at managig cumulative involvingAustraliCanada,andNewZealad(1991) environmentalimpacts, andthe effort that is putinto and Canada and the Netherlands (1992). In present retraining personncl (Dixon 1991). form, the proposed approach relies heavily on BA- - The Netherlands National Environmea Policy based procedures. Plan is the most radical strategy for sustainabiliy By contrast, the United Kingdom guidelines on proposed by an industrial nation (Ministry for Policy Appraisal and the Enionment recommend Housing, Physical Planning and the Envircnment the application of extended benefit-cost analysis 1989).Itcallsfordasticreductiosinmanyindustrial (U.K Department of the Environment 1991). emissions and wastes, backed by clean-up of Environmentaleffects aretobeconsideredwith other contaminated soils to restore and maintain economic and social faictors dming the design of environmental carying capacities within the time policy options-with a view to clarifying trade-offis fame of a generation. A mix of policy, economic, and identifyng a prefired alternative. In effect, regulatory,andnegotiationmeasures aredeployedto impact assessment and policy analysis are merged reduce risks and impacts at source (by closing raw into environmental-economic evaluation. The materials-production-waste cycles). EA is not recommended approach also draws on risk specificallydiscussedinthePlan;however,theDutch assessment Scientific uncertainties regarding Evaluation Committee recommnded in 1990 that environmentalimpactsaretobehandledaccordingto EA be applied to concepts intoduced in the Plan and precautionary principles, such as reducing to land reconstuction plans (the basis of physical "acceptable" risks "as low as reasonably planning in the Netherlands). practicable" (ALARP). RegiaandsectorEAsarepartoflheopemtiona In Australia, the commonwealth and state requiements of the World Bank (1991) and other govermnments have various discretionary provisions lending and aid agencies. Environmental proflles, pertaining to SEA. The Resources Assessment national conservation strategies and similar Commission Act (1989) provides a mandate for approaches are also widely promoted to provide a publicmquiiyintourcealocationconflictsatthe sustainability contex for rview of development industry or sector level. The Rource Assessment policies (Hale and Furtado 1988). Commission is required to promote an integrated Sevel developing countries have implemented or approach to developmnt and conservation, to take adopted conservation-based development models. account of economic, envionment and social eqity For example, Costa Rica's National Conservation valucs to the community, and to sette disputes "as Strategy for Sustainable Development (ECODES) far as possible.' Othi strengths of this pross outlines a series of policies, programs, and action includeitspotentialforcehindependent plans for biodiversity and wildlands protection, 8 EnvironvenzldAssessmeni andDevelopmentPolcymaoldng integaedlandandwatermanagement,reforestation or to integrate it with other instruments as part of a and related initiatives (Solis 1992); Bhutan and the comprehensive realignment of decisionmaling Maldiveshaveadopt.deco-tourismstrategiesbased processes to make them fully consistent with on strict capacities to regulate visitor numbers and. sustainability principles. These altemnatives are not, activities. of course, mutually exclusive. Policy review and Other relevant trends center on intemational design are closely interrelated, and the phased training, networking, and research activities to development of SEA can contribute to their firther stengt EA in developing countries. These are integration. now beginning to include SEA. The organization of Atiered(orverticalDyintegrated)process of policy, special sessions and workshops at conferences and program andplanreviewisusuallyrecommendedby meetings held by the lIternational Association for proponents of SEA (seeWood andDjeddour 1992). limpactAssessment(IATA) are recentinitiatives. The Tiering means simply the sequential process of Indonesian Ministry of the Environment and IAIA, addressing issues and impacts at the appropiate for cxample, have collaborated in studying options level and with the degree of effort required for forapplyingSIAconceptstopopulationpolicyissues. decsionmaking; and is already a familiar concept in Indevelopingcountries,SEAcouldbeacceleratedby EA For example, screening identifies the level of international agreements on istitution-building for examination necessary fr different types ofprojects sustainable development initialled at the Earth and classes of activity. The extension of tieimg to Summit- focus and coodminate SEA andEA as complementary activities should prove cost-effective. Relevant experience with this approach in Califomia is ExpeencetodatewithSEAeemplifiestheDottial discussed by Bass (1991). range of choice for process development. What may Figure 1-2 Illustrtes the tiering of SEA andEA to be temed the sandard mode of SEA involves the facilitate a systematic review of k-L-y issues application of EA produr tn review policy, Gustification, altentmives, and mitigaton) in ener program, andplaning proposals. aoA alsomay be development Each stage establishes ongoing employedto support, as wel as check, policy design requircuents and directions for the next phase of Figure 1-2. A rwred System of Environmental Asse.ment JUSTIFICATION ALTERNATIVES NITIGATION . ~~~~~~~~Tehologia Lctoa IMro-T| Sectoral development Regional Mega-pnfecb. eg.- rOUCIs j ~ eCOWWE)11Cj lee. e.g.. irnsupoit diversification chnnltunil (UKlu Nd PPES O nd energy anEglse e.-, hydr-devulopmet IuOtc) I~ -y m_t ma Enegy supply. e.g. PROGRAMS Coil and gse. nuclea. i .tUtflbft -nd hydra Hydi faclt plum. PLANS e.g.d r e.g.. reaseolr aift. beht nanaguniut tranro cnimog Env*ronmtel sandard. e.g. SSc PROJECTS wowr qut W0 inat nesme.riet ;,~~~~abw pr_Zct 1 Sadler 9 analysis. The decisionmaking "staircase" is framed Instiional and Methodological Challenges by a portfolio of economic policies (the horizontal box) that also wrill be subject toSEA. A comparable Manyinstitutionalandmethodologicalbarriersstand group of environmental policies (the vcrtical box) in the way of te intduction of SEA A practical proves an initialbenr.hmar cogaistwiich reviews strategy of process development must take into maybeconducte da This frnaneworkgorrespondsvwith account the realities of policymnaking, as well as the a disciplined and adaptive approach toE A, onethdat limitations imposed by current tools and techbiques. permits a certain degree of substitution of effort Polex amignaccoi gtoionem(n 990)isosuen between different levels (Sadler 1986). examineid simplisticaily," and environmental issues SEAmayalsobelinked(orhorizalyintegratcd) in parficular would prove the responsiveness and withotherpolicy andplanning instruments (dentified adaptiveness of policymaking Thre are tpically in figure 1-1), and directed toward "full-cost complexandcontroversl,cuffngacrossarangeof accounting" of natural capital losses. Enviromnent- values, interests and poecy sectors, and often result econom integration might be instituted initially at in trade-offsthrough apolitical process of bargaining the macr-policy lvel by comparing state of the and compromise (O'Riordan 1976). The point envirorsntreportswithnatLonaleonomicaccounts, emphasized here is the multi-faceted nature of and then systematically advanced through the economic and environmental poling and the preparationofgreenplansandsustainabilitystrategies pennutatioxsofprocess andoutcome-tatmayrequire (see ITUCN, UNEP, andWWF 199 l).ndustrysectrs ractical account in SEA. that have major environmental impacts should be Prerequisites and Provisionsfor SEA reviewed to identify problem areas and to propose practical solutions, with targets and time frme for All countries (and agencies) have a characteristic implementation. This approachis exemplifiedby§e political and organizational culture of policymaking rport of the Australian Ecologically Sustainable thecustomaryinstitutionalarrngementsgaws,rules, DvelopmentWorling Groups (1991). Finally, full- conventions, etc.) that frame strategy, guide choice, cost accounting of development programs must be shape analysis, and influence judgement Several "ecologically grounded" by regional plaming tit interrelated aspects of political culture bear an the adjusts land uses to resource potentials (Richardson transition from EA to SEA (Q'Riordan and Sewell 1989) andprovides an integratedcontextforproject 1981): assessment (Sadler and Jacobs 1990). * The character of the policymaking process, Of course, tiered, integrated EA systems that link whether it is open or closed, pluralistic or elitist, policy and project appraisal are diffcult to design innovative or traditional (for example, how would it and apply. The following example indicates how mtroduce analytical techniques and mrinitnms for existing SEA and EA elements might be rcast into dispute settlement). a "second-generation" process to ensure 'Thelevelofpoliticalaccountablihty,measuredby sustainability due process, access to infonnation, and recoDmse to * Screeningofeconomicanddevelopmentpolicies the cours. for their conformity with sustainability goals and * The degree of activism and influence of interest principles(for example,identifyingenvironmentally and community groups, reflected by their ability to perverse subsidies) - mobilize resouces, undertake critical analysis, and - Preliminary assessment of environmental costs generate political pressure. of development programs to ident low-impact f These dimensions provide an initial framework for resource-efficient energy, transportation and analzng whether and under what circumstances manufacturing strategies. SEA maybe incorporated into polcymalkng * Areawide assessment to establish resourze and - Thex land usezoningsystemsforregionaldevelopment factors will determine whether SEA is applied *Extending project EA to identify in-kind (political) and te effectivens of the process compensationforlossofnatualcapital(for example, folow (bureaucratic). Poitical wil is the cmain offsetting residual fish and wildlife losses in one (perhaps only) precondition for insttutional refonm location by rehabilitating habitats elsewhere). however, the responsiveness of bureaucracy to the 10 EnvironmentalAssessment and Development Policymaing introduction of SEA can dictate the tempo and reasonable coverage of actual policy structures. For thoroughness of process implementation. For presentpurposes,threepolicymakingconfigurations example, the Canadiarn govemmexrs directive -on may beidentfied: policy and program assessment (1990) was to be * Routine decisions (policy as usual). Routine "implemented immediately," but the process has policies tend to reflect past precedent and, typically, every appearance of in fact being introduced, slowly contain little recognition of environmental and unevenly. Many of the central agencies and line consequences.Awideanrayofconventionaleconomic departments of govenment, reportedly, still have development and resource management programs serious rservationsaboutthe impactofthis initiative have cumulative effects on the "source and sink" on their jurisdictional responsibilities, as well as capacities of natural systems. Examples include practical concerns with proposed procedures. agricultural expansion policies that lead to wetand From a sustainability perspective, SEA may gain habitat losses or irrigation progrms that cause maxwimumleverageondecisionmalingbybeingused salinization of soils. In this contcxt, environmental to review the macro-economic policies that initiate audits ofpolicies andprograms shiouldbe conducted and give direction to subsequent programs, plans, on an "impact priority" basis. Other less and projects. Yet the incorporation of SEA at this envirnmentally significant sectors could be dealt stage also seems more likely to be controversial and with through annual or occasional policy audits. complicated than at subsequent levels. Policy * Strategic choices (policy initiatives). Policy determination is the prerogative of ministers and innovationsmaybe inroducedinresponsetopolitical their most senior advisors who guard their turf crisis or to set out developmental priorities. These zealously and have the power to block or co-opt should be subject to immediate application of SEA. reforms. This will certainly be the case if questions Recent Canadian proposals, for example, call for of confidentiality or constitutionality are raised by, SEA to be integratdwith the preparation ofCabinet for example, the pre-releaseofbudget information or memoranda. Each yea, 'about a thousand such the possibility of Cabinet decisions being opened to decision and policy cycles occur' (D)oem 1990), srtiny. Often, however, the reluctance to open although only a limited nunber warrant close policymaking to systematic assessment extends to environmental review. More to the point, the annual all contentious issues. Inthese circumstances, public budget should be seen as an "environmental involvement remains the best counterweight against statement" (MacNeill, Winsemius, and Yakusiji political and bureaucratic discretion. 1991). It outlines the spending decisions that in aggregate will serve to either increase or reduce the SCoxPoFcovERAsw Asnotedpreviously,thepolicy- naturl capital of a county, and affords a "single makimg process does not necessarly correspond to window" of opportunity for application of SEA to theidealized,hierarchicalsequenceoutlinedinfigure e and development policy. 1-2. It is more realistc to think ofpolicymakIng as a a Ovming prIorrites (policy definition). The complex filtration process in which the range of . p - - choietenstobchanellealonpreslectdlins key priorities of govermns whethr drvnv by choice tends to be channelled alongpreselected lines ideology or events, define the direction of policy. In byideology, convention and technicalbias (O'Riordan some ases, they are exemplified by strucual, 1976. I)ecision cycles "back upward" as well as som caes thyaeeep. idb cua mandate-defining decisions, which carry v high "flow downward" and are affected by events in - p , . s - ,. . ~~~~~political profile. Often, these decisin will be off- contigentpolicysectors. Oftendevelopmentpolicies limitstomviro mental assessmentorsubjectonlyto are molded implicitlyby theprecedent of large-scale projects or the accumulated weight of incremental a t Free Trade A t between the United choices and activities. These processes are States and Canada (where the environmental exemplifiedbyrecentenvironmentalreviewsofmajor *Spliatis wnt Cnas(ere the subsequental lmplcahns wat nasssse), ad te sbsequent energy andwaterdevelopmentschemes (Sadler 1987; -caons wnot uamrcaFee Tade A e 1990a,b). tri-co'n North Amencan Free Trade Agrement In most cases, the result is a "nested basket" of (where an ex-post SEA is wider preparation by dependentpublic policies (Sproule-Jones 1989), Environmcnt Canada). Looking ahead, iternationa chrctrzdbo s e ad -trade negotiations are shaping the economics of cacterized byampx of. .tpdown" strategiesoand global and regional sustainabilty and must be bof. S wil be.neceos Aderetiate ieoeea restructured to proactively consider environmental of SEA will be necessary in order to achieve a Sadler 11 concems (French 1992). SEAcanbeappliedtogood procedures should be drafted with this principle in effect in this regard. mindandstremlinedto avoidduplicationofactivities best undertaken at later stages: PuBuc avLvEmE N. This migbt be the litmus test.. . . - *Intiation andscreenfng estabhshesthe level of of the utility and effectiveness of SEA. PUbliC adsreigetbihstelvlo of th . u.Hty and effectiveness of SEA. Public analysis required indicating whether no action is consultationhasdnvenmanyofthereentEAprmces needed or whether a full orpreliminary EA should be innovations andhasbelpedtopromoteaccountability dt1, m govenment decisionmaing. There is good reason * Analysis and reporring covers the main steps why public scrutiny and input should be an integral involvedin conductingfulrprelimiyassessment part of SEA, with certain exemptions to safeguard dp ga entofenvirntaleffe(a Cabinet and fiscal confldebanhaity succinct, policy-rclevant interpretafion of findings). Key questions in public involvement are: who will Peiinary assessments will establish the protocols be consulted, at what stage in the process, and with which methods? The record on this first question is and arrangements for further analysis of programs, mixed but enuagnOn the onehand, much plans and projects; full assessments will result in a e . . ., .a,. - policyproposal beingrevisedorgivencnviomnentaI development policymaking still takes place behind cl prp n sv m closed doors, and involves a relatively small number. cance. ~~~~~~~~~Monitoring and foLlow-up includes overseeing of power holders and brokers who set the agenda or the implementation of decisions made at the second departfromittoplacatrvestedinterests. Ondheothcr ear*oitp tvs. .h ostage, including continuity and integration with hand, aportantianovations haveoccuTedimopenig subsequent phases of program, plan or project energy and resources policy to wide-ranging assessment consultation (Sadler 1985) and in establishing Aflowchartforthe application ofSEA is outliedin collaborative formns for environmental dispute settlement~~ (yzaadoel190. Thr ar,as figure 1-3, and genenceprocedural guidelines f or each indicatiens Thyzat andGothese processThes are bein stage of decisioMaking are annotated in box 1-1. institutionalizedt Anese imprort s exame is th The flow chart and accompanying procedures are .,iuialziAimotnexmln mtended to serve only as startng point for fiurther roundtable movement in Canada, which attempts to discussion and specific applications. The proposed involveallsectorsand intrestsinanongoingdialogue on the "response necessary for the ansition to a -isess orn arpim rflc anep. S s is - . . ~~~~~~~~~~~assessmentbyinitiatingagencics. Self-assessmcntis sustainable societyW (National Roundtable on the based on the premise that proponents of a policy or Environmcet and the Economy 1992). - project are in the best position to integrate This expernenc, alhed to that m project EA, environmental considerations into decisionmaking. provides a sound basis for public involvement in iomnlg SEA. It also indicates the different forms ihat this cmianceowithredureshandpmoctive relaionsip cn asume Som asects of ol' comphlancc with procedures and promote effectrve relationhip can assume. Son aspects.of pollcy implementation. These mechanisms will assume review may require lttle more than public scrutiny, particular importance withregardto SEAbecause of Others will lend themselves to wide-ranging public its potentially controversial nature. At the consultation, or to medited negotiatons and other policymaing level, forexample, socialvalues assume consensus-buildingdialogus.Adisciplined approach greatr promience and decisions are more open- to public involvement in SEA is suggested by the geted l teclmcal tan in project En It wil also policy typology outlined below. ne,ls mnclta npoctE.i ilas policy typology outlined below, be necessary to specify what constitutes appropriate Preduresjfor SEA standards of performance for SEA. Initially, SEA procedures can be adapted from those Methds and Techniques ofAnaiys for project EA. A flexible, cost-effective approach At the policy leel, the scientific and ical will be necessay, rather than a doctrminaire equation uncertainties associated with impact assessment of SEA as EA. Senior EA administrators atthe 1991 become written much larger. SEA can be generally Austraia-Canada-New Zealand workshop warned expectedtodealwithchainsofevromntaleffs that the latter strategy would be counterproductive, and consequences that are less concrete, and more Wherever possible, SEA and project EA shoudd be attenuated tham those encountered at the project complementaiy processes (see figure 1-2). SEA level.Thiscont ofanalysis,tan indicates 12 EnvironmentIal Assessment and Development Policymaking the need for adaptation of currcnt EA methods and literature, ratier than applied in practice (Sadler techniques. It may also require more far reaching 1988). adjustments; such as the integration ofEA tools with The adaptive approach, pioneered by Holling and those of policy analysis. An initial perspective on others (1978), seemswellsuitedto SEA. Itprovides these questions can be derived from operational an intellectual framework for analysis that is experience with project EA. explicitly aimed at coping with uncertainty to assist policy design. A range of techniques are mobilized IESSONSFORPROTCrASSESSMENT. EAhasundergone toundertadenvironment-developmentinteractions extensive methodological development. Several andconsequences.Manyofthesearrappliedalready comnprehensive reviews have beenundertakenofthe in EA. By definition, however, adaptive EA scientific basis, technical content, and analytical orchestratesmetiods andtechniques ina confinuing, techniques of the field (Beanlands and Duinker trial and error evaluation of management options 1983; Caldwell and others 1983; Enviromnental (rather than applying them to a conventional, one- Resources Ltd. 1984; Sadler 1987). These studies shot impact prediction). The emphasis is on an underlinethe continuing mecthodologicallinlitatiOns interactive policy dialogue, in which analysis aids of EA despite recent advances. Scientific negotiation and vice-versa. understanding is insufficient to make accurate At the policy level, the traditional abefore and predictions of the environmental impacts of after" project famework forA willbedifficuitto development activity, and this deficiency has been apply. EA audits indicate (not unexpectdly) that compounded by the relative lack of monitoring and theacuracyofimpactpredictionstendtobeinveily follow-up. As a result, an adaptive, integrative related to the scope andeomplexity ofenvironment- approach to EA sthll remains prescribed in the activity relationships under investigation. The Box 1-1. Draft Procedural Guidelines for SEA I ziciaton and Screening I-itiation -nd -creening eAssess therelativeandnetsignificanceofpotential Policy initiating agencies must screen all proposals effects in relation to sustainability guidelines, .as. early as possible to identify their potential environmental standards, etc., and identify risks of environmental consequences. irreversible or unacceptable ecological changes (for - Theymustalsodetenmine(ifnecessaxyinconsultation examplc, loss of species, reduction in biodiversity) with the supervisory authority) whether the initiative ' Identify options and measures for mitigation, will be subject to preliminary or full SEA amelioration and compensation (including in-kind - A full SEA may be required for policies that are not investments ofnatural capital) ofcnvromentalefiects, divisible into discrete programs, plans and projects (for and where necessary, a benefit-cost and sensitivity example, immigratior and fiscal policies), or that have analysis. global or cumulative environmental effects that may be * FileadrafSEAstatementforreviewandcomment only or best dealt wit at the policy level (for excample, by the competent authority, designated agencies and emissions andclimate warming,urban developmentand other interested parties. habitatlandscape conversion). A preliminary SEA will ' Submit final report and recommendations to be supplemented by mfjre detailed impact analysis at a policymakers in a decision-relevant format later stage (for progams, plans or projects). MonibringandFollow-Up Analysis andReparfin A-a~nis .ndReporting 'Policy initiating agencies are responsible for A preliminary or fuil SEAmay encompass the following implementingthedeisionsmadeatthisstage,including aetivities: environmental terms and conditions for proposals and * Descnbe the purpose, objectives and context of the protocols for further assessment proposed initiative, including the options reviewed or ' The supervisory authority will oversee these under consideration, arrangements and may make additional provisions as * Scopethedirectandindirectenvironmentallinkages, necessary to ensure continuity and integrtion with consequences and trade-ofis of ihe proposed policy, program, plan and project assessment andlorthemainaltematives,including,whereverpossile, ' SEAstatements willbetreatedas aninitial scoping magnitude,probability, timingandlocationofoccurrence. exercise for purposes of ongoing impact analysis. Sadler 13 Figure 1-3. Flow Chart for Application of SEA INMATION -POLICY --EXCLUDED AND LPROPOSALS SCREENING 4. INCLUDED SCREENING REAPPRAISE STAGE I MINIMAL PROPOSAL DECISlON ENVIRONMENTAL CONSEQUENCES FULL OR 'REUMINARY SEA REQUIRED ANALYSIS AND - ENVIRONMENTAL REPORTING TEFFECs 1: MIIMGAM-ON .MEASURES FSEA STATEMENT MODIFICA7TON __ STAGE II POUCY CLEARED REQUIRED. DECISION (WITH TERMS AND CONDITIONS MONITORING FPROTOCOLS FOR AND FURTHER FOLLOW UP XSSESSMENT AND MONITORING -PROGRAMMATIC, .P~. PROJECT EA STOP c- STAGE III GO DECISION .ONTINUE WITH !CAUTJON extendedtimeandspacescales ofan SEAmeansthat clarifytrade-offs andconflicts wilibe most effecive even more fictors will affect the results of policy for initial analysis, rather thm the applicatin of review, often in unforeseen ways. Under these more complicated models (do Jongh 1983). This crcumstac, relativdy simple metiods that help - approach also establishes the basis for an iterative 14 Environmental Assessment and Development Policymaking process of analysis talloredto the longer im frme isalsoweldocumened(sceSu slddandCrukhank and less onerous information requirements of 1987). polcmaking (Wathn 1988). M Cas Studies AN rTL TooL KirT. Thc analyticaltasksinvolvedin conducting an SEA can be structed in order to Inthefind analysis,theapplicatonofmeCodsand manage the uncertainties described above and link procedures for SEA is best iustatd by practical this approaehfrmlytodecisionmzkingrequiremen. exmple. Theproblem, of courseisthattherearefew For this purpose, the environmental effects ofpolicy prtype studies on which to daw. Wi certain proposals may be classified into three categories: quaficatonsteieeasesreievedbelowinicate implications, issues, and impacts. Each catey the analyical scope and tasks inolved in reviewing corresponds with and facilitates choice of methods the environmen implications, issues, and impacts, of analysis. This typology is consistent wi and spectively, of economic and development policy. exemplifies the tieringstrategr anddrafiprocedures w oenmlAssessment ofthe Federal Budget introduced earlier. It also lends itself to a stepped methodology, beginning witi the tools of policy TbeEnviromcntAssmemntoftheFedalBudget analysis andendingwiththoseofimpactassessment is somewhat mismed by its authors (Resource In fact, these two anases makeup the basic tool kit Futures Intemational 1991). It is a preliminary for SEA (Wood and Djeddour 1992). comentay on the environmental implications of Policy andplanningtechniques thatmaybe applied Canadian govermnt expenditures and is biitedto include: forcastingandscenaiobuildg,simulation r tmajorsetor5(ensge,agric lturemnd dustra rcises, decision trees, geographic infonmation policy). Even so, the conclusions of the analysis systems and resource suitability analysis, multi- highlight importat discrepancies between stated criteria evaluation, goals-achievement matix, and c Its to enmironent-economy integration planning balance sheet (see Nijlkamp 1980; and fiscal priorities. The real value of this exrise M clster 1980). EAandriskevaluationtecbniquis liesind aingthevalueofscutinizingannual that sewn usefil include matrices and checldists, budgets as environmenlstatements andlilustring systems and impact modelling, best/worst case what can and should be done. estimates, and sensitivit analysis (see Bissel 1988; The examination of expenditures was conducted Cohrssen and Corvello 1989). In addition, there is withreferenceto four principles of sustainability: both opportunity and incentive to incorporate * Anticipation and pievention of e ental economic techniques into this list (Whitney 1985), problems (do expedtures encourage emphasis on especially given recent advances in estimating energy efficiency or soil conservation?). environmentalvaluesandintegratingasustainabiity v ERoD i lmtwonomy integration or full cost critrionintocost-benefitanalysis (pearceandTumner accounting (do sectoral programs subsidize 1990). en ma de.;zrioration?). The above sources, though separate, are not Equal competiion of options (are govemment mutually exclusive. SEA will probably require interventions biased against low-impact energ or combined methods of policy, impact and economic agriculture). analysis, and must integrate these with consultation * Lcast-Wost planning (in the case of energy) and andnegotiaticntechnipqus.Publicinvolvementmay support for envronment values (in the case of be solicited passively or actively, informally or agricultue and industry). formally, and employ a variety of methods: survcys, The "quick trarund" response to a budget openhousesmeetings, hearings,woishops, advisory release (followed in this case) may be improved by andDelphigroups,policydialogues,androtmdtables. adapting resouce accounting methods (see Pearce, Guideliesontheapplicationofconsultaivemethods Markandya andBarbier 1989). Atrialbalance sheet, havebeen prepared for EA practitioners (see Praxis for example, might be drawn up of defensive or Ltd. 1988) and for use by all parties in proect and conservation allocations versus conventional policy reviews (Sadler 1980). Recent experience economic growth expendius. Subsequenty,net or withpracticalapproachestoemirnmenmtalmdiation sector estimates of enviromnental damages (or and other alternative dispute resolution mechanisms p tedadjusfotmes al depreciation) Sadler 15 coudbedevelopedbyanexpertgrp.Thisapproach, EA Panel Rew of Beaufrt Sea Hydrocarbon heavilyhedgedwithcpialificatons is also suggstive Producton and Tranportation Proposal of a sumogate assessmect of the envirtal impc'o ugtMr ratvl,Xre TbcEApanetreviewoftbeBeaufodScaHydrcbon impacte of a budgel More proactively, 'gree Production and Transportation Proposal combines budgeting" might cmplcey the type of interactive lmtsfoiyrgnpandoecevw policy exercise now recmended for building elementsrof poliy,pogramseplan andprectreview scenarios of sustainability (see Brewer, 1986). (Federal Tnvi ital Assess Review Offie ' ~~~1984). This hybridprocss, npecdntedto date in The Forest and flmberlnqdry Canada and possibly elsewhere, reflected the sheer magnitude of the $40 bilLion proposal for Arctic This sudyby the Resource Assessmc Conmmsslon shr and onshore oil and gas production. An (1991) of the multiple, often controversial, issues and social issues associatedwithteuseandmanagementofAustala sac rn forests provides important lessons for SEA. future for Norstern -Canada and especially for his combined industiy and government submissions, ftgenous peoplesr The task of identifyig the public hearings, and independent tecbmcal analyses. impacs ofhe developmentishme was Theethods ployedinclude .rsoc capabilty, poten mpacts of d opment scheme was teure and use inventories; evaluation of forest btdct and implcation-not Ieast becae the management strategies and institutional - proposal was reired for review in preliminary or anrangements; woodsupply anddemandprojections; and economic, social and enventlconcpt form with many pvisnal components analysis. .ptlrhooic sw . that were dependent on unproven technology. aathsreviewofariuame thdoiEcasoflogging A multi-component review process included both )covedngsoflprodtcviteaquaticsyshd, flora and andirmvativoaclhesandmethods. ,.vrmgoirodctvsqutysts flora a .For present purposes, there were three notable hua, natnuient rxcyclg, and the fmction of mxrcsts fauna, -.rent recyclin. and the.functionoffors features: (a) extensive public review of a seven- as a sink for squestering carbon dioxide; (b) the volume impatstatement(EIS)ofthe survey of the socia and cultural uses and values of biophysical and socio-ecowmic effects and risks forests and community attitudes to management issues; and (c) the identification offive strategies Of and . int.itutiona anysi overnment polnin forest use and management, ranging from and ma.nage apalties an gc) exposi maximiztion of timber prodution to no fuaher aluanof cpabslsites; and (c) ex-post -. . . . - .- eraluation~~~~of process effeciveness. logging of native species. These polcy altermatives II= e val confirmed the imprtance of a were designedto facilitate publc choice and canvass phased, integrated approach to strategic and projec response, including comment on the methodology EA (Sadler 1990a). Inthe Beaufort Sea case, the EA used in scenaro buildin. process led to the introduction of conservation (later Further specification of the scenarios in sustainability) strategies and regional land use sustamiability language wuld have been helpful, - .- sustimbfit laguar, wuldhav bcn hlpK planmnin These componmits, ideaUy should giide especially for the mtermediate optons (business as pa-in&t hese c nnt ally, shol guide usua, mdustygrowthandrevization, andtransfer of timber production from native forests to .an S cana - itiramw for pLuffion).Indditon,t=wcrandaepottiaI rathierthan EIS can provide an inital framework for plantaions) In additin, there were and are potential ~ l a d f~ opportunties for concilion and mediation, or schemes. The reommended- appoah is analogous perhas wvn arbitration of residual controversies . sc c . Th ,pmc i nlgu For example, opiaion Io sidl ontrover to thenegotiation ofo"commiment package' in the For example, opinion is still polarized over Netherlands, whichinclude a schedule of studies and preservation versus use of old-growth forests, .cypln expltly desiged to ope with especially for areas with potential heritage - . . ~~~~uncertainty (dc Jongh 1988). Large-scale significance. A"test-casngcatonandagcimnt developmentschemes that requme extensive, phased orniuinginthecontexdofthestrategyfinallyadopted EA should be explcitly treated as research and by the govement(s) may prove worthwhile, and m expe.imenwithmonitoingand audit would be consistent with the Resource Assessit protocols designed to facilitate learning from Commission's mandate to settle disputes "as far as - mr-nnetngapac possible." (Sadler198,ncand 198;DvielmsadSnganderac19 ce pos . ~~~~~~~~~~(Sadler 1987, 1988; Davics and Sadler 1990). 16 Environmental Assessment and Development Policymaking The Beaufort Sea review points to certain onthe launchingof SEA. Inthe initial phase, carefil adaptations of EA methods that are required at the monitoring and evaluation will be critical to both regional scale. For example, the linkage of scoping advancing and disseminating tried and tested and negotiation techniques can help in the approaches. Experimental research should be at the identification of ecological values, and in clarifying forefiont of SEA process development, rather than the issues and trade-offs at stake Subsequently, be an afterthought-as it was for much of the resousceseitivitymappingisusefilfordelineating evolution of BA. No doubt, the development of this developmentimpactzones;regionalcharcteition approach will be a long haul with much resistance, of ecological processes facilitates initialjudgements but so was the road from NEPA to Principle 17of the about risk variability and cumulative effects; and Rio Dedaration. impact hypotheses focus current understanding of Several immediate and interim research priorities "cause and effectf relationships among proposed for advancing SEA can be identified: development activities andpotentialccological losses - The relationship of SEA and sustainability must (for example, behavior of oil spills under ice-fast be translated into operational tenns (rather than versus open-waterconditions, and the short and long exploredin genralitdes).Naturcapital,forexample, teimropnussionsonrslow-recovetiArcticmaine is an important organizing concept for this purpose; systems). This conceptual framework, which is most it now requires specification as rules forte conduct appropriately built through interactive science of SEA and EA. workahps, establishes thebasis forongoingresearch, *Further case studies are required of the impact analysis and monitoring programs (see effectiveness of alternative policy and EA-based Comford, O'Riordan and Sadler 1985; Everitt, procedures andmethodsfnrSEA(ratherthadrafting Birdsall and Stone 1986). shopping lists of tecnniques). In relation to Conclusions andRecommenldations institutional realities of decisionmaking, it is important to understand what works, what doesn't SEA of policies, proams and plans provides an and why. important avenue for improvmg project EA and - Subsequently, comparative studies of initial rediecting the total approach to meet sustainability cxpenenewithfonnalandinformalSEAprocesses imperalives. Byitself,SEAlikelywillbeiasufficient will help improve the productivity and facilitate the for this larger purpose. Ideally, it should be part of dissemmation ofthis approach. These studies could or lead to the design of integrated, adaptive be launched through formal channels, such as envionmentandeconomic decisionmailng, inwhi UNECE, or through professional networks for arange ofanaytical andconsultativeinstruments are infonnation exchange, such as MAIA. cmploycd Pilot and demonstration projects will be Recent eperience illustrates the range of SEA particularly helpful for "hands on" applications of cptions that are either being applied or are under SEA in developing countries. Sucheeriment and consideration. These include a "standard" model, learn"approaehescanalsobeusediextendingSEA basedontheadoptionandadaptationofEAproaedures to social equity concerns. and methods. It is also evident that this approach * Looking ahead, education and training will must be tailored to the realities of policmak-ing, become progressively more important as SEA rather tnto normative assumptions abouthow this evolves. Professional and technical learning can be process should work Salient lessons, in this regard, eleated by integrating these processes with the can be drawn form institutional analysis and from research strategies identified above. limited case experience with prototype SEK This Noaes chapter has proposed several preliminary classifications and gmdelines for generic process 1. Enviromental impact assessment, as a national development-whichprobablywillbesoonovertal instinnent,shallbeundcrakenforproposedactivitiesthat ly emerging practice. are likely to have a significant adverse impact on the Atpresent, the stats of SEA is analogous to that environment and are subject to a decision of a competent of EAintheearly 97 s. Wth the be nefitoftwe nty national authorty. of BA in the early 1970s. With the benefit of twenty 2. Poicymakins simply defined, is what governments yeasof experence,theonsts andpractiboners should choosetodoornotdo(Dye 1972 Thiswossencomasses be in a better position to both initiate and capitallz arangeofmntwmrlated decisions,subsantiveandsymbolie, Sadler 17 geneml and specific, and public and seaeL For present Caringfor the EardL 1991. Gland, Switzerland: IUCN- purposes, the relationship between different levels and TheWorldConservationUnion, UNEP-UnitedNations typesofdecisionmakingisi3nportanttoundesadingthe Environment Progam, WWF- World Aide Fund for options for SEA. Natue. 3. In this paper, policies, plans and programs are Clark SD., cd 1981. Enviromnental Assessment in chamctemizedas a logicalhierarchyofactivities. 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Policy Appraisal and die Envomneut Londorn Her World Comcmian an Envinment and Developmcnt Majestys StationMey Office 1987. OurCommonFuftur- Oxfbrd: OxfordUniversity Jnited Nations Econoimc Commission for Europe Press. 2 Environmental Assessment and Sustainability at the Project and Program Level Raymond F. Micsl AreviewoftheWorldBank'saOperationfDirecive Natural Resource Sustainability Criteion onEnvironmentalAssessment'(WorldBank 1991) suggests that most of the elements stressed in The most objective and potentially measurable literatureonsustainabledevelopmentarccoveredin criterion for sustainable development is the current Bank environmental assessment (BeA) preservation of the productivity and fill functioning procedures. They include not only the standar of the natural resource base. This may not ensure adverseenvironmental impacts on healthandsafety inter-gencrationalequintybutitwouldprovidefuture aisingfromair,water,andsoilpollution,butalsothe generations Withd the same natral resource capital adverse impacts on biological diversity, soil fo prducingo aods and services, andewith thesame productivity, tropical forests, wildlife, and tribal life support and amenity servies provided by the pyeoples. What do we mean tien bRy introducing natural environment The natural resouces to be sustainabilit as a criterion for environmental sustained for use by future generations are broadly assessments of projects and programs? A dcflnedtoinclude everythingontheland,the oceans, conventional EA looks mainly at the potential and the atmosphere that supports and gives mning enviroment damage of a proect rather than how and cnjoyment to human life. One way to apply the the project promotes or impairs sustainable susinabilitycitdinEAistomeasuretheimpact development. Some projects clearly promote of the project on the natural resource base and to suiablity, sy, byrestoing theail orbredcng include the negative impacts in the social costs and damage to the natural resource base arising from theponmc intip lsiu a ba t pollunaoated other conomic activies. environental impacts, such as pollution of lae This dcapter suggests how EA might be used to oldosphre, theoceans, thewaterways, and the land assessthenetcontributionof aprojectorprogramto wouldbe inalizo d so that he Rbecome atparteof sustainable development. It is recognized that t w costs of the project. AU natural resource sustainable development is a process encompassig depletion, such as the extraction of minerals, the entire economy (or the global economy) in its deforestation, andocanfishmg,wouldbechargedas relationship to the natural order.A full assessment of social costs, while any increase in renewable natural the contribution of a project to sustainable resources would be addedto the social benefits. This development would require an analysis of the role of constitutes an application of fiul environmental and the project in the context of anl other economic resource accounting to the EA procedure activity. Such an analysis would require more. (Commission on Environmental Accounting 1991). infonnationthanisavailabletothoseconductingthe We may recognize three categories of natural EA and would involve a macroeconomic analysis of resoucesforpurposs ofanalyzingthe enviimental the economy. Questions concerning the optimal and natural resource impacts of projects. The first sectoral allocation of resources cannot normaly be todcive prc sfour htanfinus into dealt with in project evaluation Nevertheless, an theproducvepsfori fuelsaudmineal analysis atthe microeconomic can reveal a greatdeal ores. These are fixed in amount, but their quantity is about the compatibility of aprojectrprogram with unknown. Mineral reserves (amounts that can be sustanable development In addition, an EA might economically extracted) can be increased by take into account the conclusions of a sectoral or discoveres and by new technologies for extracting overall analysis of an economy in its relationship to and percessiug. The second category consists of the natural resource base. renewae resources, suc as forests, agric al 20 Mik--ie 21 soils fish, wildlife, and surface and groundwater. or torestoredamage doneto landbypast projects. A These resources provide a flow of goods for third portion of t'he financing might be paid into a consumption andinputs into theproducive process. fimdthatwouldearnintstforfituregenerationsto This flow can contiue indefinitcly provided the compensate for the depleion of nahtual rsource resources are notoverusedor damaged andprovided capitalthatcaxmotberestored.itially,Ihal assume restorative measures are taken following depletion. that the interest on such a fund could compesate The third category consists of the life-support fiutre generations for the net loss of natni capital resources for the planet: all levels ofthe atmosphere, causedbytheprojectduringitsperiodofpreparation rivers, lakes and oceans, wedands, and ecosystems. andopcration Lateron,Ishalldiscussthelimitaions These resource assets support economic activity, of this assumption. serve as a sink for waste, or provide aesthetic values. C o ofNaralResource and Envmental These resources cannot be expanded by man, but A t their fimutions can be impaird-and in some cases thedamageordestructionisirreversible.Manyofthe ExHAusTuLE REsouRCEs. The social costs of resources inthe secondcategoryandmastofthosefin oracig s should include the loss to fiture the third are common propertyresources that are not generaions of the natnal capital consumed by the traded in markets. Hence, their value can only be pr&sentgezrbon. Assumingnonewdiscoveriesof imputed frm the value of the service lost or the the exhaustible resource extracted by a mining social damage caused by the natural resource company (say, anonfuel mineral) and assuming no impairment This complicates the problem of change in the rcal cost of extraction, the price offie assigning costs to projects whose construction &r mi willriseinaccordancewiththelotellingrule opationdepletesordegradesna assets (1931), that is, the- real price over tie ises- at a Yet there are ways of estimating these costs. The perce rateequalto thediscountrate.1 Theprice development of a statistical base for enviroental of a mineral will rise until it reaches the price of a and resource accountmng is in its ifancy, but the -substittemanoriftheris nosubsetniaml, introductionofits useinEAs wouldpromoteresearch lf cost of an alternative technology. However, if in metiodology and the accumulation of data new discoveries are continually being made, the How can estimating the social costs of natural resource price may rise slowly over several resource depletion and degradation in the EA of a geeratiow% ortheresourcepricemarmaiconstant project help to determine whether the project is m or even fail, as has been the case with the rcal - conformity with the sustainable development ofseveralnonfuelmineralsoverthepasttwo decades. ctritrion? First,assigningthefullenviroentaland The amount required to compensate the next resource costs to projects will cause those with the generation for the loss of resource capital is the largest adverse environmental impacts to bear crase'intheaveragepicrofthemuJaldurngthe relativdly higher social costs_-ndtherefore alower period of the project to the average price in the next priority in the allocation ofcapital. In cases of severe geDationtimtheamountofdepleinTheamunt impacts, the pmjects may be shown to be infeasible required to c mpensate future generations afWer the. becausetheirsocialcostsexceedtheirsocialbenefits. resource price has isen to the price of a substitute Second, environmental assessmentwouldrevealthe equals the difference between the average resource total amount of financing required for the proectto price during the project period and the price of the meet sustainability conditions. Frequently, projects substitue ma , times the amount of depletion areunderfinmcedandtheoperators lackthefunds to during the project correct or compensate for envromental damage. For exaWle, the cost of providing a futur cnergy Some of the financing should be usedin the project substiatc for the fossil fuel used in creating and itself for restoration and replacement of renewable operating a project may be substtialy highertham resources. Another portion of the financing might be the price of the fossil fuel at the time of depletion In availableforrestoringorprotctingnaturlresources this case, the amount to be accumulated with the notdirectlyassociatedwiththeproject Forex[ample, depletion of the fossil fuel should be large enoughto funds acmmulated from mning or tansptaton cover the increased cost of an equivalent amount of projects might be used to establishwildlife reserves rencwableencrgy(solarpowerformse),whente 22 E4 and &astuinabitii,v at the Project and Program Level fossil fuel is exhausted. The depletion fund could be destruction of wetlands or old-growth ecosystems. used for the research and development (R&D) and Where the social costs of such damage are known to constuction of an alternative energy facility be very high but undeterined, they should be The social costs of extracting minerals should also embodied in the social costs associated with the includerestoringthelanddistubedbyminingorwell project by estimating the cost of avoidance. For drilling and repairng damage to forests, nvers, and ample,by adding the costof avoiding emissions of groumdwater. Thesecosts, alongwiththecostoftbe harmfib gases, or of reducing them to tolerable annual depletion of the mineral should not be levels, the environmentl costs of a project can be discounted to detemine their present value at the reflected in total project costs. The degree to which timethemining projctisinitiated Rather,boththe emissions generated by a specific project sbould be depletion and the mine restration costs should be reduced can be based onthe percentage by wbich all charged annually throughout the project and emissions of the same type need to be reduced to discounted at the same rate of interest that the achievesomeglobal orregionaltargetforallemissions depletionandrestorationfimdiseaming.Theannual sources. Thus the cost to be intralized need not interest on the fund will offset the disomting used depend on any specific detaminion of the social to determine the present value ofthe social cost of costofthe envirnmentaldamage. The globaltargets theprojec, sothatatthetermminationoftheprojectthe for limiting greenhouse emimsions may be based on fimdwillbe sufflcientbothtorestorethelanddamage an estimate of how muchthe atimosphere can absorb and to provide interest to compensate future without unacceptable damage to the ear's climate. genemtions for the depletion of the natual resource This knowledge would provide the basis for an capitaL The analytical basis for this procedure is estimate ofthe marginal cost of reducing emissions, conutained in rcent publications (MIkesell 1992; El which could then be used to determine the fidly Serafir 1989). internalized cost of a project that emitted RENEwAmEusouRs. Thebsocialcostofdeplcting lamagiiggreehousegases. renewableresourcesisreadilydealtwithbyincluding Assessing the S&tainabifly ofProjects in project costs the cost of a program of sustainable yield, including the iterest on invested capital over ACCOUNING FOR ENvutmRO AL cosrs To sum- the matration period. In the case of harvsting a marize, for a project or program to be compatible primary foresta thetrees that have akhureds of with istamability, the following conditions must be pnwy ftorewst, the,otr that bedtakrenhundreds oft realized: yearsto growshouldnotbrtreated asfim gDds, but * Depleted renewable naural resources must be thiecost ofgrowingthemshouldbe imputed attheful1 rtesca oto dqaecmesto social cost. This same approach to project costs edorthesocialcostofadequatcompesation shouldbeappliedevenif efoestation isnotplanned to future generations for the loss of natural resource but the land is to be used for other puposes capjtal mustbeincluddinthesocialcostofthe Sustainabiity requires that the value ofthe resource capital be maintained for future generations. If * Compensationtofuregenrationsfordepleted harvesting the forest also involves the loss of a nonenewable natural resource capit must be valuable ecosystem and!orwidi, the loss ofthese included in the social cost of the projecl - Damage to life-supporting natural resources and values should be included in the social costs of theniomta assets must lie avoided, or the cost of project Ecosystems, wildlfe, and areas providing avoideia osto ecostof recreational amenities are exhaustible resours and avoidance cmpluded n the socia cost of the projec should be teedaccordingly in esiating prcject *The compensation included in the social cost of costsh ite projectmay take the form of either contrbutions to the quantity and/or quality of natural resource LnE-su?PoaTwsxsounis.Dtcekminingthesocial assets equivalent to what has been depleted or costs ofprojoctsattnbutedtothedamagedoneto life- damagedbytheprojevt, orthe accumulation ofafund supportenvironmnalresoures isthemostdifficult sufficient to offset the loss of income to future problem in ful resource accounting. There may be generations resulting from the depletion of natura littlebasisforestimatingthemonetrycostofcertain resource capital associated with the project types of virmetal damage, such as destruction This approach differs from conventional EA by of the ozone by chlorofluorocarbons (CFCs) or including in the social costs of a project an amount Mikesell 23 sufficient to compensate future generations for the severelimitsonthe degreetowhich compensationin present gencration's depletion and degadation of theformoffinancialcapitalcansubstitutefortheloss naturaresource capital. This is a logicalextensionof of cetain k-inds of natual capitaL the current practice of including in project costs As a technological optimist; I believe the more expenditurcsforsustainble-yieldfoxstmanagenent senous problems will arise from damageto the life- compensation for the destruction of wetlands and supporting and amenity-producing v metal wildlifohabitatbyreplacement inotherareas, andthe assets ratherthanifomthe depletion of minerals and restoration of land disurbed by mining and other energy sources. Technological progress may well economic activities. Compensation by investing in enable future generations to substitute the most other projects that may offset adverse impacts ofthe abundant materials on the earth's surface for scarce first project is widely recognized as a method of nonfuiel minerals and generate almost unlimited intemalizingtheenvironmentaldamage. Anexample suppliesofcheap encrgy. Thegreatestimpedimcntto is planting trees or preserving a forest that would sustainable development is maintaining the quality otherwisebedestedtocompensateforth creation of the environmental assets that support and give of greenhouse gases by a new power plant meaning to life. The social costs of depleting or degrading tese assets attnbted to projects should, LnroToCOMPESAON. Encludinginprojectcost therefore, be based on the cost of avoidance rather the cost of compensating future generations for the o loss of natural rcsource capital assumes that the cost o ngther chare required to is internalized by a tax on a private project bya inteae these social costs should be designed to compulsory payment made into a depletion fumd m i for ncgeto whauld be regardd as the case of a public projectL The accumulation of a regardpnnas ,, . . oan~~~~~~csistentwttisushmnabledevelopmctTherwould fiud designed to compensate ftre generations for bc te loss ofc source capital by substiettig fin a bo a conte depaleti cc laon of fimas afiom capitalforthenaturacapitalhasbeenquestionedby uuue ute w ill be amlarge and icas tnl somc ecoomists ho pointto ffie damage,buttherewill be a large and increasigneed for capital for global natural resource preservation, ions nsuchsubstitutions. For emplc there forrducingwaste, andforimcreasigtheproductvity may be. no substitute for enDoetlassets damaydbe the nosbttt frevrnena ses of natral resource inputs in the production process dltytheglleraho ofwastcbeyondabsorptivc ti rapacitby-hegnertmatioyo waste bypossibsolptiveeIt IS plausible that a century from now over half the capacity Also* it may be impossible to Provide world's capital investment will be required for this substitutes for amenity-producingresources such as purpose to assure global sustibility This shift in old-growth forests, ocean beaches, and scemcnvers. the allocation of capital investment will reduce the There is also the possibility that the productivitd of rp . . .. - . - . . ra~~~tc of grot of consumption, cspecially in the cptalmaydeclmeasnatualrersoureareexhaustead,a -~fl53~~5OI1iW5 iduxusted industal countnes, which must supply the bulk of so that the accumulated depletion fimd will not replace the real loss from depletion. On the otber nhesinoegnwthbworldn hand, given tecdnological progress, capital may bee more productive in the future than it is today. ENVRONmENTAL RS. Environmental risk should Herman Daly (1992) has argued that because also be factored into project costs just as risk is productionofmaamm-decapitalassets is natural providedforinanyprudentfinancial feasibilitystudy. resource inputs, there may be little substitution of Most resource projects involve some risk of capitalfornaturaresour,smintheprctonfimction. undexcdenvinmentaldamage,withmininglarg However, animportatuseofcapital is for supplying dams, forestry and resettlement prqjects among the technology that will increase the productivity of all most risky. Probabilities of unexpected damage and inputs inthe production prcess, and for substituting the average value of thedamage could be detemined more abundant natural resources for those that are from case studies of similar projects. Where the is scarce. In this way capital can substitute for natural no basis for determining probability of unexpected resources. Improved technology can reduce natural environmental damage, worst case scenarios migbt resomueinputsrequiredforagivenlevelofeconomic be used as a basis for estimating the highest output, and can reduce waste or render waste less conceivablecostfromnthis source. Suchestimates are harmful to the enviroment. Nevertheless, there are oftenusefizlinprojectassessments especially where projects are marginal 24 EA and Sustinabiiy atheProjec:anmdProgrn Level - , ,.. . . r. Overal ResourneAllocation and Sustainability from the project Much of the information needed for assessing the Sustainable deveopment dcpcnds on the overal s ocial cost off-natural resource depletion and allocationofproductiveresourccs and notshnplyn rutal damage is oalread provided by a project compatbility. EAs should, thereforc te cotakeennviomnadm agais rcady provjecy into account the effects ofthe allocation ofadditional However, if theestimatedloss of natural capital is to ivestment in the project's sector on sustainable betaedasasociacosttoteproject, t development This assumes the existence of a assessment must do more thanjust identify possible macroeconomic analysis ofthe economy onented - envioental hazards. Some evaluation of the promoting sustainable development Forexample, m relative importance of the enviromental harm, somrecomtres newagriculture andnura development wheterbycismagir moneta ycostornparing programs may contnrbute much more to sustainable the environmental harm with the cost of modifying development than additional power or urban the project or the cost of an alterative project that infrastructure. This does not necessarily In that would avoid the harm, is essential if the assessment all power projects should be shelved, regardless of is to prove usefiaL I have argued that sustainability treircompatlbithnatuaresoucecosevaon. requires reating natural resource depletion and It does mean that power should be given a lower damage as a social cost in the same way that air and prioritythantheagiculturalsectorandthisshouldbe water pollution, soil depletion, or loss of forest noted in the EAs for power projects. resenes are treai as social costs. Ildeed, many of Condusions te categores of environmental harm evluatd in environmentIlassessmentconstitutealoss ofnaturi The approachto BAoutlined inthis chapteris based rcsource capitaL onadefinitionofsustainabiltyasthepreservationof I recognize that sustainable development is a natural resource capital for future generations. ma nonii problem and cannot be achieved by Whether this satisfies the objective of project evaluation and selection alone. A full -intergeerational equity is more an ethical than an determiation of the conformity of a project or economic issue. At any rate, I believe this is the only prograiwith sustainabilityrequires macrcconomic concept of sustainabilily that can be applied at the analysisatthenational andglobal levels. Butwithout microeconomic level to projects and programs. This applying sustainability criteria at the project and approach avoids the pitfalls of tampering with the program levels, sustainable development may be social rate of discount and of formulating littlemorethianapolicy goalwithoutprocedures for intergenerationalwelfaretimctions (Norgaard 1992) implemcrtatiam It also avoids the question of the substitutability of manmade capital for natura resource capital rimsed Notes by Herman Daly (1992) and others. However, such I. If real iaraction coss nse with prouction, the questions cannot be dealt with at the project or rsaouce price will rise more apidly as will the social cost program level. of depletiaL Justthe opposite will occw ifreal extaction Identifyng and estimating aU the environmental costs decine, as has been the case with copper and cerin andnaturalresource costs inthe EAofaprojectcould other metals over the past several decades. have importantadvantages forpromotmg sustainable development First, by including these costs in the socialcostofaproject,projectsthatarelesscompatible Commission of Enviromnental Accounting. 1991. Taking with sustainability will tcnd to have a lower priority Nature into Account: Proposed Scheme of Resource and in some cases may be shown to have a negative airdEnvironmentalAccoeung. Stockholm: Ministry netpresentsocialvalue. Second,environmentalcosts ofFinance. can .,, cpewDaly, Herman E. 1992. "From Empty-World Ecnomics can be compared with remedial actions tnat Wll to Full-World Economics: Recognizing An Historical avoid or mitigate the advse impacts, orwith te net Tuming Point in Economic Development" In Robert social costs of alternative projects that will serve a Gooland, Hemn F. Daly and Salah El Seraly, ads., similar purpose. Third, such investigation would Population, Technology and Lifeso*: T7he Transition indicate the amount of co on required to to Sustaiability. Washington, DC: Island P:is. offsetthe loss of thenatural resource capitalresulting ElSerafy, SalaL 1989."ThePope Calculationof Income Mikeseil 25 fom Depletae Natnnl Rhofrs," in YJ. Ahmad, Mikasil, Raymond F. 1992. tPiojct Eulastion and SI. &Se ,andE. Lutz,eds.,EiwiroialdAccog SuninbleDevdopmenL"nRobenGoodlmd,Hcman forSwthvbklDev .opsnent. Washigtmon,DC: World E. Daly and Sulah El Serafy, ods., Population. Bank Technology and Lifestyle: The Transition to Hot:elins Herold. 1931. "The Economics ofExhaustible &ish2tabifi4y. Washigton. DC: It,nd Prs. Resorces." JournalofpoliticalEcononay29 (4):197- World Bank. 1991. "Envronmental Assessment" 275. Opeatioal Dmcint 4A01. Wasingto, DC. PaflH Case Studifes of Environmental Management In Industrial and Developing Counties 3 What's the Difference: A Comparison of EA in Industrial and Developing Countries HMay MacDonald Envitonmental assessment (EA) is one approach to EA, thelegaluirminmtforEA,publicparticipation, integraing environmental issues into economic and conflicting economic and environmental goals. decisionmaldng and, as sucb, may prove to be a Finallyconclusionsaredrawnregardingthebenefits valuable tool for planning sustainable development of learning fromthe application and interpretation of Although EA is curently practiced inmany coumnties, EA in developing countries. no two countries have adopted precisely the same procedures for preparation or implementation of EA EA in Developig Counties (Wandesforde-Smith and Moreira 1985; Harberry Pcrsoni observations in Zimbabwe revealed that 1984; Carpenter 1981). In any countzy or region, those responsible for preparing or reviewing however, theeffectiveness ofEA as an environmental ev ealassessmcats (forexample, government agement tool will always be limited by political iorenvi tmanags ofmultinaional context-tat is, by the degree to which the relevant corporations) apparently are concerned that the EAs ahorities arewillingorabletomake envimentally conducted in developing countries do not equal the sound development a genmine priority. high standardofthose in industrial countries (Calver Althoughmanylessonshavebeenlcarnedregarding 1992; Nixon 1992; Sithole 1992). The author issues, such as appropriate EA methodologies and reviewed five EA documents prepared in Zimbabwe the misuse of EA to give the appearance but not the including three for mining projects (Environmental realityofenvironmcntalprotcction, anideal approach Consultants 1990; ULG 1990; Whitlow 1990); one toenvinomentalassessmentdocsnotcurrentlyexist for a hydroelectric dam (Du Toit 1982; Mutizwa- Our understanding of the process and its links to Mangizaandothers 1990) andone foranoil pipeline sustainable development continues to evolve, yet, (Faim-HararePipeline1991). Thisreviewindicated repeatedly, we hear calls for specialized approaches that most of the traditional steps of EA preparadon for EA in the developing counties such as scaled- were followed: project description, identification of dowmorlow-costEAstategies (Burdge 1990; Fuggle relevant areas of the- environment, prediction of 1989; Biswas and Geping 1987; Chamibers 1987; potenfial impacts and identification of appropriate Lohani and Halim 1987; Carpenter 1985; Roque mitigation measures. However, altnatives to the 1985; Munn 1982). This oftenleaves the impression proposed project were not considered, and there was that the traditional full-blown EAs carried out in no suggestion ofamonitoring program to determine many industial nations are the standard against the actual impacts of a proposal once an operaicar which all other approaches to EA should be judged. was up andrunnmg. In onyoly ocase (the hydroelecti This chapter attempts to demonstrate that almost dam) was the local communiy consulted or given an all of the concerns regarding EA are universal and opportmity to review the work All the repu were that to claim otherwise is to contribute to the mYth prepared by only one ortwo authors whowere either that the industrial countries have many answers to geographers arbiologists, although there certainly is enlvirnmental dilemmas that only need to be shared expertise available in Zimb;.,we for assembling a with the South. A discussion of the problems multidisciplinary team in biology, zoology, associated with EA in developing countries will be anthropology, agriculture, s;ociology, geology, followedby abriefovcriewofthenwEAeKpmerEein hydrology, and various fields of engineing. industrial countres. Examples of areas of potential These EAs were different from EAs prepared by, dffnes are explored, including knowledge of for example, consultants under the Enironmental 29 30 A Comparison of EA in Industrial and Developing Countries AssessmentAct in the Province of Ontaio, Canada. public consutation during the EA process. The first All the EA documents were shorter than any impact studies involved very little, if any, public environmental impactstatement (ETS) theauthor has discussion of the work in progress or the final EA encountered from Canada, the United States, or the document Today, however, some practitioners feel United Kingdom. They were not comprehensive nor that the emphasis on public consultation has grown particularly detailed, andthey did not appear to make to the point where the definition of relevant areas of use of any sophisticated presentation devices (such investigation (that is, what constitutes a significant as desktop publishing). However, in allbut one case, impact) is often determined by the general public- the EAs were written in a concise stylewith a clear in somecases irrespective ofthefindings ofscientific indication of information that was not available and studies (Brouwer 1989; Kennedy 1989). adiscussionofuncertaintyregardinganypredictions The perception that EA is a highly effective of future impacts. enviromnental protection toolin the industrial world UnlMie in Ontario, EA is not institutionalizedinto isheldtobetruebymanymembersofthepublicwho the planning process in Zimbabwe. New legislation will often demand an EA for domestic projects and, is being developed, but there is not yet a formal increasingly, for international development agency uirement for the findings of an EA to be made projects in the name of responsible environmental available at each stage of decisionmaking, nor are management This view appears to be shared by decisionmakers required to demonstrate how an EA development institutions and agencies such as the affected their final decision. Also lacking are World Bank (1991), the Asian Development Bank provisions for apublichearingto relate EAto,)roject (1991) andthe Canadian IntemationalDevelopment approval. Agency, who are increasing their comnmitient to There are anunberofoften-citedreasons why the envirental assessment in the early stages of EA experience in industrial countries cannot be project design and as a requirement for project repeated in developing coumtries: approval. - The conflict between pursuing environmental While EA has been useful for predicting and considerations and much needed economic avoiding the negative impacts associated with the develcpment(Fuggle 1989;Biswas andGeping 1987; building and operation ofsome projects in industrial Horbery 1985). counties, it is far from being a problem-free device - The financial costs of conducfing a ful-blown for anticipatingand avoidingpotential environmental BA are too high (Biswas and Geping 1987; Mm difficulties Practiced on a project-by-project basis, 1982). EA is often used as an end-of-pipe solution rather - Data for identifying and predicting potential than an early planning technique. Project-based EA impacts are not available at an appropriate level of can limit the consideration of alternaives and long- detail (Yap 1990; Fuggle 1989; Lohani and Halim rangeimpacts. Forthese reasons, greater attention is 1987). now being paid to cond.ine EA of broader plans - The expertise for conducting a comprchensive and programs (Wood and Dejeddour 1992). As we EA is not available (Nixon 1992; Lohani and Halim haveheard so often, EA is only a tool and cannot be 1987; Roqlue 1985). a replacement for enlightened and enforced * EA is a technology developed in the North and environ tl policy (Armour 1991). therefore contains cultural values that make the A 1988 study of EA in Canada (Needham and transfer of EA to the South difficult (Tolba 1991; Swerdfager, 1988) surveyed public interest groups, Biswas and Geping 1987).1 academicians and EA professionals. The findings In the author's experience, none of these problems, reraLedanumberofrecurrmgproblems concerning excepthelast,islmitedtoEAindevelopigoountries. post-development auditing, process implementation costs,processdevelopmentandsupportcosts,scoping EA in Indust"jl Countrlies procedures and methodologies, consideration of O&rerthe last twenty years EAhas been continuously cumulative immacts, soundness of science in EA, refined and revised in countries such as the United provsion Of intervenor funding, legal standing of States,Canada,andtheNethrlands, whowereamong EA, accessibility of information, and timing of EA thefirsttoenacteavironmcntalassessmentlegislatiox during program or project development These con- One example of this relates to the importance of cems are similar to those raised for developing countries. MacDonald 31 Compaisooef FA Epuiee in Devdoping LeglRequiemntf0rE2 xad hxnb Cotre ttOne a wbhee i d comntes are abhed of Tlere arc many differnces between industial and devdoping contries is in making EA a fixmal developing countis vth respect to EA that may be requirocot of program and proj ct planning There more apparent than real, as illustated above. isnolegsbasisforEAinmandey-opingmtrics. However, some aspects do warrant further The EAs carried out are often initiated by extal consi udon,inclingnowwldgcoftheEAprome, agencies or corprations, although this is changing. EA legiatio public participation, and SameindustrialcountilstadohaveenvironmentaI goals of ecowmic grovth and sound i assesent legisaon undeumine the effectvcness management. of the law by not applying it to plans or programs, f ailing to offer procedural guidance to help tie EA to Knowledge of the EA Pmcus the planing process, giving exemptions to ThentrnationalAssociationforlmpactAssssmn ptes, aQwngthrdeant (AIA) and other orgaizations dconsirae tja legislation to be igoraed. there are a large number of individuals i the The European Community (EC), for examplce bas capability to desi, corduct, rzvlew and evaluatr had a Directive on environeal assessments of EAs. For bistorical reasons, the maority of tbese maorpojects simce 1985. As recently as late 1991, in ials are frm countricsofthe'Nord Atoug t 1eKgd 1mhas bhe accsed ofneglccting this is slowly changmig, themajor portion of taching ntoys my:pis D e into national laws about environmtal assessment takes place in and to have failed to undertake euvironmntal industiatiuns Organ iossuchastheBritish assessm for prioects likely to give nse to Council,theUnitedNufioEviomentpogrmmc "significant effects" (ENDS 1991). Devising and (NEP), theunitedNations Eduatioana, scica*fir, promulgating environmental assessment laws and Cultural organiation (UNESCO), and the stbe dofEAbeig edfplming Comrmowealth Secretarit have been a souce of decsons, but te is no garatee th this will fi ngforstudbents m developgcommtics to trel occr i either industial or developmg countri. to universities im North America and Europe where Pubic P dp the fundamcntals of EA are taught The concept of EAis notadifficultonetogntsp nordoes conducting The rcsults of public consultation will differ very an EA mquire hgly sophistcatd equipment, but htlefromnopubliccaosuliataifinfixmatio learnming from long-tcrm EA expeece can be is only presend to thc public for reviw and the, valuable for those counis institating a simil ugesto or commnts reeived during an open prcess. publiemeetdonotaffixtanydianecinthfediection There are a great number of highly educated, or acclusion of ft EA in insl coutris with locally born, professional people in devrjopig doraticpolicaltradsiis,thepublcisgenalW countriesworkingonar relatedtoEA. Thecurrent give ample oppotmity to pwvide comnts and problems of EA will benefit from the fresh review materals t ghout the EA process. The pepectiveshse individuals bringtosoneofthesc distinctionTmust be made, hower, beeen public aeas ofconvcumBecmiseEA isatcniquedevped presentation of EA inforration and public andpracticedintheNorth,itmyincde valuesand participation in the final statement on the traditions, such as some of the modes of environmental viability of the undertaking. LAXLK * usedforpublicprthatare Parcinvdineomuu ainduringEAofae not compatible witb conditions in developing express a "ligenng doubt that any rea dnges countries. However, a locally modified approac to occur in the project due to public input (OEAB EAwill not necesariyresultin anEAthatisof any 1987). Iessvaluetodisiom in tms ofsustainable The lack of true represeni;ation in many development In gnel, broader applicatiosm and govcments i lf poss an obstacleto citize experiences with EA across diffieunt cultural and attempting to give input iltO environment geographical stings offer the pmmise of a better d ciang Insomeparts ofbtewoxd, poticad nderstanding of EA practice. situatio such as sing-party go vnm s may 32 A Comparison of EA in Industrial and Developing Countries stongly discourage any public opposition to major Economic Growth and ErnironmentalManagement development projects, maling those who have It certainly true ta when economic growth takes concerms egarding a proposal afraidofthe reprisals that may result from speaking out Incorporating the prc overallotherdevelopmentgoals it creates voiced concerns and information provided by the a tension between economic and environmental publieduringEApreparationremainsproblemzticin concems. Many govermments and businesses of the both industial and developing countnes. Among South oenly state that economic development is otherfactors, tbis maybethe resultofareluctanceon their chief goaL but is this situation unique to the part of some experts to accept and respect developing countries? How many roads, dams, information from thosewith less forml training, or industrial developments, or natural resource itmay stem from the subjective nature of some ofthe extonschemes in industnal countnes have bee concerns ofloealcitizcnshataredifficulttoverifyor stopped by a national or regional governmet for mesh with the often technical and scientific focus of environmental reasons, particularly after the an EA. completion of an EA? The answer is very few. The There are many tools and methods for initiating conclusion to be drawn here is that the pnmary andpublicizingopporunitiesforpublicparticipation difference between industrial and developing in the EA process, such as telphonc tevision, countries with respect to placing economic goals radio, newspapers and leflets delivered door-to- aheadofenromentalones, is thatthissituationis door However, some are notsuitable for areas where carly articulated in the South, wlile mn the North it poverty precludes ownership of or ac;cess to audio- is not, even though economic growth remains the visualcquaipmentorwhveilhiteracyprohibits th I'Eusest priority in industria coies. of printed material. In pOOr regions, collecting Those who advocate a distinct approach forEA in informationmayrequirtheinvestigatortomeetwith developing countries generally agree that community leaders, obtain their peission and =levaluat oprcdselopmg agreement for co-operation, publicize a proposed countriesmutaccptdliecnvitabiliyanddesirability meeting by word-of-mouth and collect and of sctural and industrial growth" (Fuggle disseminate infrmationatapublicomeetingctrugh 1989). Following on this is the belief that economic the use of as many visual aids as possible (for developmentmustbethenumberoneprioityinhe example, drawings and models), developing world and that the luxury of placing Traditional methods of gathering and shang enviromna conces foremost in development informationlinless-develc pedregios may alsoprove mnmaking can only be realized inthe industrial to be useful in industrial countries where public world (Sithole 1992; cunene 1992). How often, involvement in decsionmaking is not partcularly however, are businesses of the North prepared to advanced. It has been pointed out that not only is place environmental concerns above economic ones public involvement of the type discussed above where a trde-off arises? important for identifying the public's concerms The International Chamber of Commerce (fCC) regarding a proposed project, but im some cas it has reuntly published A Btsiness Charter for may be one of the only methods for obtaining Sustainable Development tiht inle a ist of information about local conditions such as location, enironmental principles for environmental type, and extent of plant and animal species, or management Among these principles is a details of flooding patterns (Yap 1990). commitmeat to: recognize environmental Work on defining sustamable development has managementamongthchighestcorporatepnonrities; begun to include looling at various forms of assess envir nimpacts before starting a new communication used in indigenous societies and activity or project and before deconmussioning a attempting to understand how the values inhe= tin facility or leaving a site; and develop and provide currentformsofcommunication,particularlymass products and services that have no undue media, may either enhance or diminish positive environmentalimpactWill andGEolvken1991). interactions with the nviromnent (Hanson and ICCencouragesmcmberstoconductEAsofvanous Mlgallet 1992). Increasedimvolvementofthepublic undertakings but qualifies this by encouraging intheEAprocess indeveloping countriesmyaid in pcts andserviceswithnouneimpactswithout gaining greater knowledge for devising a givmgaclearindicationofwhatconstitutesanundue coimunDicationstrategyforsustainabledevclopment inpact At what point would a manufactuer from MacDonald 33 anywhere in the world deternite that the negative developmenL EA, alone, will not facilitate the environmental impacts of one of his or her products integration ofthese factors ineitherthedevelopingor was excessive and therefore cease production? industrial workL The context within which EA takes Developers in the North may be willing to consider place, themanner in which it is implemented, as well envrimmental issues more fully than in the past, but as how closely it imitates boththe present and flure the reality is that economic concerns will always reality, will ultimately determine its value for dominate with this group, since economic growth or sustainable development in all parts of the globe. profitnaking is their raison d'tre. Notes Conckisions 1. Biswas and Geping define technology in its broadest Theproblemsencounteredwiththesubstantivegoals SCmm5 to include plans, patents, designs, trademarks and andprocedumirequirementsofEAvaryonlyslightly copyrights, as well as hardware, such as boilers. between industr and developing countries. The RBefl ces traditional fidt-blown EA that many proponents in developingcountriesarereluctanttoattempt,usually Armour A. 1991. "Impact assessment and the planning for financial and fiming reasons, is not suitable for proes: a status report" Impact Assessment BAletin many situations even in industial counties (for 9:27-33. Asian Development Bank 1991. Enviromnmental AMs example, aslightrealignment of a road, construction AssessmenL Manila, Philippines ofalow-riseblockofapartments),although themost Beres, F. 1988. "Me Intrinsic Difficulty of Predicting appropriate EA methodology for a project or a plan Impacts: Lessons firm the James Bay Hydro Project" must always be considered on a case-by-case basis. EsvironmerallmpactAssessmentReview 8:201-220. MuchoftheEAcaniedoutindeveloping countries Biswas,AK.andQ. Gaping. 1987.EnIronmentaImpact is not "second best" to EA work in the North: it is AssessmnentforDevelopingCowzuries.LcndTycooly simply a different approach. Considering all the problems associated with conventional approaches Bronwer,f 1989. "Operationaliationand Specification to EA, it sesreasonableto assmecthatsomeofthc - of ELA Concepts Discussion?' In FL Paschen, ed., The experiences arising from EA applications in Rolec ofnvironmelmVsess ment Berlin Ethe developing countries wifl provide learning Burdge, RI 1990I mThe Benefits of Social Inpact opporhmities that will improve and enhance EAs Assessment in Third World Development" practiced in industial countries. - EvironmentalImpactAssessmentReview 10(1, 2). Fmancial limitations indevelopingcounties often Buidge, RJ and Robert A. RobetSon 1990. 'Social necessitate a cursoxy scoping of the issues ht may Impact Assessment and the Public Involvement result in an inability to predict significant 10(1,P s E81n90om. enaImpactAssessment Rvew enviromncntal impacts assoiated wlite an Calver. H 1992. Personal Communication. Consulting undrtahdng;but,again,thisproblemnisnotlmitedto Engineer, Anglo American Corporation. Harare, developingcountrics (Dickman 1991;Berkes 1988; i3babwe. Sdhindler 1978).Evenhiglyexpeiencedonsultants Carpenter4 RA. 1981. "Balancing Economic and frcm industrial countres are forced by budget Envimmental Oljectives: The QuestionisstillHowr constmints to limit their studies. EnvironmendlImpactAssessment ReWew 2:175-188- A real discussion of the language and concepts of . 1985. "Collaboration anong American and Thiid sustainable development is onlyjust beginning. The World Environmental Professionals: Constaints and importance of assigning a country to a particular 288 mties."9eE rnmenSProfessiona7:285 288. categoy based on its economic strengt mayfde as Chmbers, R 1987. 'Shortcut Methods in Social the search for genuine indicators of social and infrmtionGaingfrRtmalDevelopmentProjects environlmental wellbeing causes cunTent obsessions In Khon aen University, d ., RapidRural Appraisal. and prejudices to be questioned. Khon Kaen, Rural Systems Researh and Funng The genmne value and direction of economic Sysems Research Projects,. growth, its relationship to social equity, and how Dickman. lv 1991. "Failure ofan Envirnmtal mpact flhs concerns can be udmstood vidiin the conLxd Assessment to Predict the Impact of Mine Tailings on ofte wellbceing ofth e understood wti questions at Canada's Most Northerly Hypersaline Lake." - the heart of the current debate on sustainable nmend1mpac1AssessmentRMewII:171-180. 34 A Comparison of E£ in Industrial ad Developing Countries Da Troit, RF. 1982. A Prelimnsaiy Assessment of tm Concen in Canadians Experience." 7he Operational Environmental Implications of the ProposedMupata Geographer 7:3-7. nd Baftka Hydroelectic Schemes, Zwnbezi River. Nixon, J. 1992. Prsonal Communication. Managing Haae, Zimbabwe: Ministry ofNahnal Resources and Director, Rio Tmto, Harare, Zimbabwce Touism. OntarioEaviromentalAssessmentBoard(OEAB).1987. Envronmental Data Services (ENDS). 1991. "Brussels Review of South-western rransmission System Ups the Stakes on Environmental Assessment." EnvronmentalAssessment Reasns for Decision and Environmental Data Services 201:14-17. Decision. Tomnto. Environmental Consultants 1990. Sencol and the Roque,C.R.1985."EnvironmentalltmpactAssessmentin Enironment Proposed Environmsent-relatedAclivities the Associations of South-east Asian Nations." in connection with theSengwaCollieryProject Harae, Environmental Impact Assessment Review 5:257-263. Zimbabwe. Schindler, D.W. 1978. "The Impact Statement Fenta-HararePi,pene:.EnviromnentalStatement. 1991. Boondoggle." Science 192:509- Harare,Zimbabwe. Sithole, B. 1992. Personal Commication Ecologist, Fuggle, R.F. 1989. Integrated Environmental NatualResouTcesBard,MinistzyofNatualResoirces Managecment: An Appropriate Approach to and Tourism. Harare, Zinbabwe- Environmental Concerns in Developing Countries.? Tolba,vL 1991 -FacilitatingTechnologyTransfer inthe ImpactAssessmentBuUetin 8(1 and 2):31-45. Interests of the Global Enviromnent" Conference on Hanson, AJ.,andG.Rtgallet 1992."Communicatingfor Teciology Transfer and the Global Eniromnent- Sustainable Development" Nature and Resources Motives and Mechanisms. World Resources Ins i lte, 28:3543. Indon Horberry, J.A. 1985. Status and Application of ULO Consultants. 1990. EnviromentalImpact Shtdyfor Enronmenal Impact Assessment for Development Seismological Survey in the Zambezi Valley - Fia Conservation for Development Centre, IUCN, Gland, Report. Mobil Oil Company EHarr, Zimbabwe. Switzedn:& Intcmational Union for the Conservation Wandesforde-Smith, G., and LVD. Moreira. 1985. ofNature Subnational Govenment and ETA in the Developing K dennedyW. l989.OperaonalionndSpefication World' nviromensal Impact Assessment Review ofElAConcepts: Discussion." In Paschen, ed.. The 5:223-237. Role of Environmental Impact Assessment in the Whitlow,R 1990.ReviewoftheEnvironmentalImpactof DecisionmakingProcess.Berlit5rich SchmidtVerlag. the Freda-Rehecca Mine on the Bindura Area Cluff Kunene, ILD. 1992. Personal C om Senior MincralExploration. Haar, Zimnbabwe. Eeologist,NatumalResouB Hoari.rae,Zimbabwe. Willums, I0, and U Gol0ke. 1991. Second World Ministry of Natul Resources and Toursm. Conference on Environmental Management. Lohani, Bit., and N. Halim. 1987. -Recommended Intemational Chamber of Commercer Rotterdam, The Methodologies for Rapid Enviromental Impact Netheliands. Assessment in Developing Countries: Experiences Wood, C., and M. Dejeddour. 1992. Strategic DeriedfromCaseShdiesinThailanwdln AJKBiswas Environmental Assessment EA of Policies, Plans and andQ. Geping, eds,EnviromentalImpactAssessment Programmes.? ImpactAssessment Bulklinl0:3-22. inDeweopingCounwnes.LndonTycoolyteati WorldBank 199 l.EnvironentalAssessmentSourcebook. Munn,R_E 1982 "bnvimentalhipatAssessmentin VoL 1. Policies, Procedures and Cross-Sectors] Issues Developing Countries."Mazingira 3/46-9. (Technical Paper 139). Vol 2. Sectorsl Guidelines Mutizwa-Mangiza, ND., J.T. Du Toit, M. Mushay (Technical Paper 140). Vol. 3. Guidelines for Andebvu, RB. Gaidzanwa, J.C. Nkomo, and T. Envirnmental Assessment of Energy and Industry Mubvami. 1990. The Zambezi Valy Environmental ProjectS (Techical Paper 154). Washington, DC. Impact Study: A Review. Barare: Zimbabwe: Ministry Yap, N.T. 1990. "Round the Peg or Square the Hole? of Natural Resources and Touiism PopulistsTezlbnocrats andEnvironmental Assessment Needham, RD. and T.M. Swerdfager. 1988. inThirdWorldCounhties fImpactAssessmentBuilekin "Environmental Impact Assessment: Recurring 8:69-84. 4 Environmental Assessment: The Process in Thailand and Canada Nonita T. Yap Theeffective,integrationofeionmentprotection growingeconomyintheregionandis of considerable objectives mto the legal and public administration mterest to internationwi development agencies and systems ofmost low consumption countries (LCCs) environmental oions. Conmtries on a fast is rather recent. The institutionalization of track to industrialization are seen as particuarly envfrnmental assessment (EA) as a planning tool vulnerable to the undervaluation of social and remains exceptional. A number of factors probably environmental costs in theirpursuit of development contribute to this lag: the high costs involved in objectives. undertaking EA; the lackof envientalexpertise ThailandisoneofthefewLCCsthathas developed in LCCs; and the length of time needed for EA that theircessarypolicy, legal andinstitutional fiamewor delaysprojectimplementation(Lohani 1988;Biswas for environmentai planning impact assessment and 1989). management A comparative analysis of the EA The institutionalization process, however, has processinThailandandCanadacouldthusbcusefuL begun and is likely to continue due to a combination Such a comparison may also be interesting at this ofmtenalandextmnalpressureaAmongtheextenal time because both countries recently introduced forces is the fimding requirement for preproject legislation that effectively restructures the practice environmental assessment increasingly imposed by of EA. multilateral cial institutions (MFT)andbilateral ThischaptercompaesandontaststheEAproces assistance agencies. inThailandandCanada;analyzesthetrcndemerging Legislation recently passed by the Canadian in LCCs; and identifies some EA issues or areas Parliamentreflectsthistrend.BillC13 [now,Canada where donors and IFIs could allocate their resource Statute, Chapter 3711 specifies that Canadian with greater cost-effectiveness. Overseas Development Aid (ODA) projects be subjected to an environal impact screning in Cross-Count Comparison of EA Procedures theplamnningstageandwherewarranted, subniittedto Tim Old Systems and th Impetusfor Change a mediation or review panel. ODA's assessment of projects would be undertaken "in accordance with THAAi. Institutionalizationofthe EAprocessin theprinciples andpracticeofinternational law." Bill Thailand began with the proclamation of the C-13 provides for the use of alternate impact Enhancement and Conservation of National assessmentprocedures'inrecognitionoftheforeign Enviomenta Qualy Act in 1975. It established nature" of the project, provided that the procedue theNationdEnviroalBoard(NEB)firstunder "meets the basic goals and objectives of Canadian the Office of the Prime Minister and later under the environmntal policies." Minister of Science, Technology, and Energy. The Canada's dilemma and response parallel ihat of Office oftheNationalEnviromentBoard(ONEB) other donor comtries and intemational financial served as the Secretariat (Chia 1987). institutions (HFUs). The increasing interest among Section 17ofthisActgavethe Minister ofScience, donor countries and lending institutions in Technology andEncrgythepowerto setup standards hamoizingenvironmental assessmentprocedureis and indicators of environmal quality except m therefore not surprising -areas mderthejurisdictionofotlrrmmistriet Section In Southeast Asia, Thailand is one of Canas 17also alowedtheittpresribethecatore important development partners. It has the fastest of projects that rqired an Environnl Impact 35 36 EnvironmenlatAssessmenft The Process in Thailand and Canada Statement (EIS). In July 1981, such a list was thepragmatiereasonthattbeNationalEconomicand proclaimed (see table 4-1). For projects deemed by Social Development Board (NESDB)-the board the ONEB as having potentially significant that submitted all development proposals to the environmental impacts, the Board negotiated with Cabinet for final approval-had agreed in principle the licensing agency or project proponenL The that such projects would undergo EA and the EA preparationofanEAappliedtoprivatesectorprojects Report would be submitted to ONEB for approvaL where a license or permit was required (Pratsith- TheNESDBhadfurtheragrecdthatthecommentsof rathsini 1991). the ONEB would be incorporated into the project TIherewereconflicting opinions aboutwhetherthe document submitted to the Cabinet for approval legalrequirementappliedtopublicsectorinitiatives. (Pratsith-rathsini 1991). Another opinion was that One interpretation was that if projects and activities this discretion applied only to projects approved by were proposed or funded by a governnent agency, the Cabinetbefore issuance ofthe Proclamation List state entprinse or joint ventume, ONEB negotiated of 1981 and that all projects on the list were with the agency. According to this interpretation, automatically subject to EBA some public sectorprojects were subjeetto anEA for The old law was considered flawed in several Table 4-1. A Comparison of EA Processes in Thailand and Canada Th d Canada 1. Part of Omnibus Leslation on Envionmntal 1. Backed by separate EA legislation. Conservation. 2. Envionmental enhancement and conservation are 2. Promotion of sustainable development defined as defined as the objectives of EA; (no mention of one of the objectives of EA. sustanable development). 3. Projects requiring BA ae listed (only one List). 3. Has both a Mdatory Study List and an Exclusion List 4. EA requimnt applies to public and private setor 4. EA requirement does not apply to private sector projects or activities inthe List. projects or activties unless federal funding or fideral Crown Land is involved. S. EA TORs decided on and prepared by project 5. TORs prepared by the goverment proponnt- 6. Public participuition not integrated in the EA process. 6. Public participation integral part of EA. 7. Scope of EA at considerable discretion of project 7. Scope of EA deternined by TORs and public input proponent in scopmg process. 8. EA paid for by the project proponent and EA Report 8. EA paid for by proponent but all project-related conaided propety of proponent documents are public. 9. Environmtal quality infbrmation may be accessed 9. All project-related documents are public. by the public except where serity or prperty or business rights may be affected (Sunmary orEA Report may be accessible). 10. ARows for "standard" or "olsa assessment 10. Allows for Class Assessment and Prototype Assessnmnt 11. NEP or OEPP only "comment? on EA Report 11. Decision on project approval or rejection resides decison to approve or disapprove resides with the with the Minister of EnvironenL Cabinet (for public sector projects) or with the Ad Hoc Experts Committee (or prvate sectorprjects). Source: The author. Yap 37 respects. Environmental policy analysts and the private sector, NGOs, native groups, and environmental organizations noted the NEB's lack environmentalprofissionals,anddecidedtolegislate of substantive and enforcement authority. The EA andstrengthenthe envinmmental assessmentprocess. process was also criticized for being closed. it was The recent court decisions on the Rafferty Alameda paid for by the project proponent, considered a Dam in the province of Saskatchewan and the Old property of the proponent, and was not open to the ManRivcrDaminAlberta,whichshowedthatEARP public unless the project proponent volunteered to Guidelines were legally enforceable, further make it available (CIDA 1991). Even in cases where strengthened the argmnent for formal legislation.3 parts ofanEIS wereleakedto the public, as happened occasionally, there was no mechanism that would Defons ofthe Fnvimmem allow the affected community to request more UnderThailand'sEhancementand Cmservationof information. National Environmental Quality Act (NEQA), The impetus for change came from a coalition of "enviroumen' refers to "natur things which form forces and concerns. The 1988 floods in the south, the physical and biophysical conditions surrounding land subsidence and river pollution fiom salt minig man and man-made things. in the northeast, and public controversy over Canada's Bill C-13 defncs "environment as hydroelectric dams and reforestation projects "the componets ofthe Earth, and includes (a) land, dramatically increased public awareness of the waterandair, includingaUllayersoftheatmosphere; deterioratingstateoftheenviromientandthethreats (b) all organic and inorganic matter, and living to the country's natural resource base. It mobilized organisms; and (c) the interacting natual systems university students and urban professionals to form that includecomponents refered to inparagraphs (a) alliances with nongovernmental organizations and (b)." (NGOs) and affected rural communities. This lent greater sophisticationto the arguments for change. In Crteriafor E£ Requiremnt an attempt to address some of these problems, the Section 17 of Thailand's NEQA of 1975 gave the Anandgovexnmentthatcametopowerafterthc 1991 Mviiister of Science Technology and Energy t coup intrduced new legislation, the Enhancement powero list categories of projects requirng an EA and Conservation of the National Environmental UndrNQA,theMiniFrn dtheMiisty Quality Act (NEQA). of Science Technology and Enviromnent and this CAwADA. CanadabeganusingEAas aplanning tool mandatwas retaed for the Minister under Section aboutthesametimeas Thailand, in 1974, andclosely 46. However, umderthenewlegislation, theAMinister following the adoption of EAs in the United States. may grantexemption fiom EA (withNEB approval) However, unlike EAprocedures intheUnited States toprojectsandactivitiesifanEAhasbeenundertake that were enshrined in the National Envitonmental onprevious projectsoractivitiesofsimilartype,size, Policy Act, EA in Canada did not have a legislative or site. The exemption is granted "provided that the basis. proponet of such project or activity shall express to The consequences of this legislative vacmum and comply vwith varous measures prescnibed in the ihmercntweaklessoftheprocessitselfbecameevident environmental impact assessment report which is and were the object of criticism by envirenmcntal applicable as the standard for assessment" professionals and activists during ten years of Canada's Bill C-13 ontheotherhandprovides for implementation. The process was updated in 1977 two types of lists: a Comprehensive Study and attempts were made to fiurthcr strcngthen it in (Mandatory) List and an Exclusion List. The 1984 when Environmental Assessment Review Exclusion List is subject to review evey five years. Process (EARP) Guidelines wereLssuedbyan Order- The legiscation also allows for class assessment in-Council. However, difficulties persisted ScopeofRA particularly in relation to other federal agencies and toCrownCorporationsthatwereexplicihtyeympted THAAND. Section 46 of NEQA explicitly grants or whose responsibilities were not defined in the the Minister, "with the approval of the National Guidelines. Environmental Board, the power to specify, by In 1987, the Canadiangovenmentinitiatedaseries notification published in the Goverment Gazete, of consutations with special interest groups such as types and sizes ofprojects or activities, likely tohave 38 Enviromwsenta Assessment: The Process in hailand and Canada environmental impact" Sectdon 10firthergrants Enviomental Impact Assessment Division had the NEB "the powe to requime government agencis, responsibility and the authority to review EAs and state enterprises and private persons to deliver rccommacadcagesandtoatigationmeasures documents.relating to the xmination of impacts on as conditions for approval, if necessary. Section 18 environmental quality and documents or data stipulated that fe officialwith the legal power to concerning the projects or workplans of such grant a license had an obligation to submit the EA government agnces, state enteprises and persons Rcportto ONEB befcregranting &elicense. The EA for its consideration. . The Board may recommend Report had to be approved by ONEB before the remedial measures to the Cabinet." project could be implemented. ONEB had ninety CADA. Bill C-13 applies only to projects where days to complete its review, and ailure to respond to "a federal authority (a)istheproponentoftheproject the proponent beyond tbis period was considred and does any act or thing that commits the federal approval for the project to go ahead. authority to carrying out the prcject inwhole or i The ncwgislation,NEQA,upgradedthestatsof partor(b)makesorauhnizespaymcntsorprovides NBtoCabinetlevelwithtePrimeM ( a guarantee for a loan or any otber form of financial than the Deputy Minister) serving as Chair, and the assistantoheproponetforthepmposeofenabling MinisterofScienrcTechnologyandEnvironmentas the project to be carried out in whole or in par" mc themmLce fCyag TheotsheBoardmaners A "fedeal authority" is defined as "a Minsterof include:dtheministeAsgofikeytagniesesuchasFinance, the Crown in right of Canada," an agency of the theiuy, aNdSAgricltur; the Secrtary-General of Government of Canada or ote body ultimatl he NESDB, the Board of Ivesltent (BOaI) and accoimtabletoaMnisteroftheCrown,adpartment t Secretries of related agencies. Up to ordepnalcornsetoutundertheFininal ina Vcr e oforve'sn calificd Administration Act The EA legislation heror less tan applies to all projects funded infull or in partby the The Slecrtariat of the NEB, ONEB, has been Canadian International Development Agency aboshed and replaced by three departments: the (CIDA). Development projects within Canada, on Ofaice b Picy d Plannn the theotherhand,needtocomplysolelywithprovincial Office of Efoitieno Policy and Planing the EA requirements unless the project (a) involves DefEvirorfonlQutionConmolandmTheDepsleent federal funding (b) has potentially demonstrable of Eronmental Quality Promotion. These threc impacts on federa-administered lands and waters deparTments report to te sty of Science and/or (e) has potential impacts on intenational Techeomr and Endvirotnent conventions,thatis,protocolstowhichtheCanadian Tere are two separate tradks in tbe govermet is a signaoy. process, one for Private sector, and the other for the Whre both federal and provincial govents public sector projects. The EA for public sector areinvolveda projec hefedal governmenthas projects must be undetaken during the Feasibility traditionally deferred to the provincial EA s Study,yasdtheeportfiled with andreiwedbythe This changed in 1989 withtheCanadian federal couit NEB. The NEB may ask the opinion ofthe Office of decision on the Rafferty Alameda Dam in xmentalPolicy and Plaing (OEPP) ortaer Sasktchewan The court ierpreted the feda experts The Report (with the comments) is then EARP Guidelines as enforceable regulafion biding Fivt to the Cabinet for decisio on the Crown. This has resulted in a trmndous Forpivate sectorprojects, eAR isto be increaseintheuseandinfluenerofthefederaiprocess suiultaneously to the OEPP and to the (Robinson 1991). The significance of this change ig agency Section 48 does allow may be measured by the fact that during 1991 there c propont to submit an initial were thirty-five federal u ml assessmet evaluation (lEE) rather ta an EA ReporL PanelReviews, whereas duringthe tenyears priorD ~ As indicated in figure 4-1, the OEPP can only the RatierLyAlameda decision, the avage was one ora etheAReporisiontoapprove or two Pane Reviews a y.ordisapproethe Report lies with anAdHoc s Commitee. The OEPP has fifteen dys to comment nfe1W2WWnEA9WCY on the Gcorzectes of the EA and another fiftee THA. Under the old law, the Office of the daystomakeacompletrevicw.TheAdHocEers National Environmental Board through its Committee, which includes a representave of the Yap 39 Figure 4-1. Environmental Assessment Process in Thailand IN- Project Proponenit Submdt EIS to OEP and Permitting Agency OEP emiewnes ES and - Re ect conuCtee of Experts - A 4Pe reviews EIS (46 das)_ Pemitting Ag project Pponent reises Pern Aen yr wtifthold Issuese Eus Is a Private Sector Projects OEP approues terms of reference Proponent prepares EIS at stallc of conductin fesslgd ycb NEB submits couwnents OEP subnits commients CabinetIExpert person or Cabiriet ~~~institution suibmits b. Public Sector Projects 40 Enviromnental Assessment The Process in Thailand and Canada licensing or permitting agency, must complete its In Canada, no such restriction applies. The TORs review within forty-five days or the EA Report is arc set by the CEAA and opcn to public bidding. considered approved. If it is rejected, the EA Report is eitber revised or repeated and resubmited to the CrteraforARew Committee. An additional thirty days are allonved for In Thailand, the major critenon for reviewing the EA this second review. is whether or notthe projectdesign awill meet existing CANADA. In Canada, the EARP uiutdelies were environmental quality standards. Whercnoneensts implemented by the Federal Enironmental standardsof other countries are used. EIn theory, the Assessment Review Oce (FEARO. UnderaBill C- EAlooksatfourimpactdimensions: socio-ceonomics, 13, EARO has been taken out of the Fdieral ecologtcal resources, quality of life, and human use. Deparet of Ehnvonment and forms the core of a The major review criterion in Canada is whether the new and independent agency, the Canadian EA complieswith the TORs, which are also subject Environmental AssessmentAgency (CEAA), which to public comment wfiinplcmentthe legislation- The decisionto approve PublicParticipaion or reject the project resides with the Minister of Eronmnt T . Public participation in EA was not Bill C-13 continues to exclude private sector ilstitULtializdinthcoldSsteCmnoris itrequired in projects unless federal funds or fedeal lands are the new legislation.5 Some in the government argue involved Federal lands"ieans (a) lands belonging thatpublicmtezestistakenmtoconsLderationhrough to the Crown (b) intemal waters, fishig zone, and thepotentialrepresentationofNGOsontheNational tenitorial sea within the meaning of the Territorial Envuiii1al Board, which reviews the EA for SaandFishingZonesAct;(c)anyexclusiveeconomic public sector projects. NGO representatives may zone created by the Government of Canada; (d) alsobeinvitedtotheAdHocExpertsCommiteethat continental shelft and (e) reserves and other land reviews the EA Report for private sector projects. subject to the Indian Act Others consider that making the EA Report or its This definition of "federal lands" cffectively Executive Summay public is sufficient notification. cxtends the application of the EA review process to The new legislation does have someprovisions that predominantlyprivateseetor-fimdedorprovincially- have implications for local communiities and public flmded projects. This defintion was unsuccessfilly interestgroups withrespecttodevelopmentprojects. challengedbyaprivatecorporationintheProvinceof The Environmtal Quality Management Action British Columbia in 1988, and morerecently by the Plan developed under Section 37 decentralizes the Province of Quebec over the Great Whale enviommentalprotectiondecisionnalungprocess.It Hydroelectric. Project It continues to be a major enforces oflaws relatingto "polutioncontrol nature source ofconflictbetween the federal and provincial conservation, natural resources and cultural govemments. environment" in local (provincial and subdistrict) governments. The NEB is setting up four regional Who Underuzke the EA? offices for this purpose. In Thailand the Terms of Reference (TORs) for the Of equal if not greater significance is Section 6, EA are decided on and prepared by the project - which grants rights and duties to individuals "for the proponent but approved by OEPP. Section 51 of purposes ofpublicparticipationintncent NEQA grants the Minister the authority to equire andconservationofnationalenvironmentalquality-" NatEQA grants thr- ister the authority licens red These include the right to: thatthe EAReportbepreparedby licesed secalists. These are generaly firms with at least four st one * Be informed and obtain information and data being a technical specialist and three having an from the govermet on "maters concerning the undergraduate degree in the sciences. An ad hoc enhancement and consvation of comnitteehasbeensetupto approvetheregistration qualtyxcptwhtheinfomdonordataiuvolves of specialists orconsulting firms. In Canada no such officially classified material, such as secret restriction applies. The TORs are set by the CEAA intelligencepertainixgtona.onalseurity,or secrets and open to public bidding. petauiingto rigbts to pnivacy, property rights, or the Yap 41 rightsintradeorbusinesswhvicharedulyprotectedby environmental implications. Important examples law." inludeindustrialtrceplantations,curentyamainstay * Be remedied or compensated by the state in case of forest policy, and reforestation programs such as of damage or injury from pollution. therecentlysuspendedIKhorJorKor. Thesewerenot * Petition or lodge a complaint against polluters included in the List and have been the subject of where violation is witnessed. intense public controversy. Community opposition * Cooperate with and assist government officials has occasionally escalated to violence, such as the in the performance of duties relating to the buning of government nurseries and plantations by enhancement and conservation of environmental villagers in Buriram (TURA-CIDA 1991), and the quality. recent clashes in Nakhon Ratchasima between the UnderSection 8,NGOsandnonprofitorganizations military and park encroachers. A third of the three or juridical persons directly engaged in activities hundred or so families who were relocated in concermngenvironmentalprotectionorconservation September 1991 decided to leave the state's "without any objective to be involved in politics" designated resettlement areabecause of "frustration mayregistcrwiththeMinistryofScienceTechnology overunfuilflledgovernmentpromises." Theycamped and Environment Registered NGOs may request inthegroundsofanearbytempleandinJunethisyear government assistance to carry out the following: returned to their old village in Tab Lam National - Organize volunteers to assist in implementing Park in an attempt to prepare land for the planting conservation laws. season. Confiontationwiththearmnyensued(Bangkok - Mount public relations and environmental Post 1992g). education campaigns. Second, the List places emphasis on large-scale - EIitiate environmental protection and con- projects and overlooks the cumulative impacts of servation projects. many relatively small proj ects. The subsidence from * Conduct environmental protection and con- small-scale mining activities that resulted in severe servation research. river pollution in the northeastem provinces show * Provide legal aid to victims of pollution thatcumulativeimpactscanbesignificantFailureto NGOsmay alsopropose nomineestorepresentthe consider these impacts continues to take its tolL The privatesectorintheNEB.RegistrationofNGOsmay sequential development of a deep sea port on Si berevokediftheiractivitiescause"disturbancesor Chang Island and rock mining in the Chon Buri [are] contrary to public order or unsuitable." province have caused visible impacts on the social Sections 8 and 37 appear to provide a window of and cultural environment, and may possibly pose a opportunity for the public to participate in risk to humanhealth. This has led island residents to environmental protectionandresourcemanagement demand the prosecution of the rock mining plant As will be shown in a later section, communities are owner and the cancellation of a proposed solvent indeed using this window. plant in Si Chang and deep seaport in thi- Chon Bmi mainland. The promise of a taehnical school and Cimw in shar contattheCandanEVAprocss 400jbfothreinsdesotaprtoav has always been fairly transparent One of the 40ollifieds forthe residentsidoesnotappento.hav objectives of Bil C-13, according to the Preamble, is Find the EApossd e t g i to"facilitatepublicparticipationintheenviromnenta Famsaly, the EA process as deofed m the legislation assessment... [by] providing access to the information cosumities can be artficulated adequately byNGOs on which assessments are based!" The legislation ormenironmearoional.Tiassumption has opened up the process by allowing public input i undrstalprofess,onals. This assumption, early in the scoping and public review phase. while understandable, may prove smplistic. Constraints There appears tobe agenuinelackofconfidenceon the part of government officials and environmental Tsaa .lere have been and willycontinue to o professionals in the ability of local groups to disadvantages arising from relying on the List of participate in an informed and meaningful way as categones of projects that would require an EA.6 partoftheprojectpm WhingWenaskcdwhehcor First, the List does not include new areas of major not the failure to inform and involve the local economic activities with serious social and communitiesearlyintheassessmentprocesshadnot 42 EnvironmentalAssessment: The Process in Thailand andCanada proven too costly," as evidenced by several cases of "environmcat" remains restricted to the biophysical abandoned projects in the country, the responses dimension. There are admittedly many and frequently ranged from "no, we cannot have the public; cvow divergentdefinitions ofsustainabledevelopment(see time we have the public we get a mob," to "if you for example Redclift 1991, 1992). There is no involvethepublic tooearly, theywill always say'no' consensus on what needs to be sustained, for how to the project; they can have a role in implementing long, and over what area. However, what is common the relocation" to "the tribals are overly exploiting among all definitions and principles advocated so far the enviromnent anyway." Even the participation of is a recognition of the interdependence between the NGOsontheNEBortheAdHocExpertsCommittee biophysical and human system dimensions and its would appear to come rather late in the process. relevance to the pursuit of sustainability. CANADA. TheEARP Guidelines have beencriticized Under Bill C- 13, potential impacts on the human system are included in the assessment onlyif they are for bemg focused only on projects, which ceffectively caused by the environmental effects of the project. excludes froTm examination policy questions andinsonal failure to fully projectalematives, andplacestheassessmentprocess h reflectha different dimeson and late inthe projectcycle. BillC-13 doesnoteffectively planing implications of sustainable development, address these issues.8 Environmental NGOs have oritillustratestheinabilityofpublicinstitutionsand noted two areas of concern regarding Bill C-13. One rubic servants to innovate, take risks, and is that the legislation provides no guarantee for full pbc o innovate, takrs,and and automatic . . ~~~~accomnmodateconmplexity, uncertanty andflexibility and automatic 'ubhc disclosure of impact-related in.project-related decision criteria and the project domments, which is necessaiy for a credible decisi- process. and fair environmental review?'9 A second conccrn is the perceived ambiguity in the mandate and Other Observaons composition of Joint Review Panels.'0 According to mtic.theimiiatiosweeimpsedadratonalzed THAuA. There is greater use of IEE than EA in criticsthelimitationswe.imposedandrtionazed Thailand (Lohani 1988). Some analysts see this as sinowvin the unenviable positionofdrag positive in that collection of data nms concurrently Ie rgation tha may clarif these issues. The with the tecnical feasibility study and is tailored to regulation will define ie essentials of The the major impacts anticipated (Ouano nd.). NEQA procedue to be followed for CIDA projects. The imposes compliance moitorig of mitigaion procedurewouldhavetomeet, aswell asbeperceived meass on facilities and projects. as meeting, the "basic goals and objectives of CAwADA lEEE has been an integral part of the Canadian environmental policies" while at the same CanadianEA process, butuntilBili C-13- neitheFthe time allowing for a cost-effective design and timely ctenausedindecisim ngnortheoutcomewere deliveiy of projects that promote Canadian foreign open to the public. Bill C-13 calls for a "follow-up policy objectives. This is CIDA's principal program" for -(a) verifing the accr of the insfitutional mandate. environmental assessment of a project and (b) Whetherornot CIDAsucceedsinthis taskremains determining the effectiveness of any measures taken to be seen There are some who would argue that the to mitigate the adverse enviromental effects of the task is an impossible one becase the objectives of project]' enviromnental protecfion and foreign policy cannot be fiuly reconciled It is arguable that the final Neither the Thai nor the Canadian legislation adjudication between these conflicting public policy effcCtively integrates cumnlative impacts in the objectives would vary from case to case with the assessment process (see table 4-1). outcome detrmined largely by the relative strgth TrSds in EA in LCCs and stategies of the political actors involved. A more flmdamental but evitable weakness of the More andmoreLCC governments will institutionalize C;anadian EA legislation lies in the fact that while enviromnental assessment The trend is irreversible. "the promotion of sustainable development" is There will continue tobe pressurefrom donors and explicitly defined as one of the objectives of the IFIs. Eventually, however, it will be the interal legislation, the definition of what constitutes the forces-principally, the stronger, unequivocal Yap 43 evidence of environment-development interdepen- LCC govcrnments will receive in training the dence andapublicthat is betterinformedbythemass necessfry cadre of practitioners and in establishing media-that will sustain the momentum. the necessary ecological database. How will the content and process of EA look in Given the current sluggishncss of the global thesecountries?Toborrwfromanearlicrpublication economy, it is not likely that financial flows to LCCs on insitutionalizing EA, will LCC governments through ODA will be of such magnitude as to meet "round the peg or square the hole?"" the resources required for fully implementing tie Te*7ical D)imension- highlytechnological andrcsouc-intnsiveEAmodel oftheHighConsumptionCountries(HCCs).Inother Some governments will define a technologically words,"squaringthrholc'maynotbeaftordablefor elaborate and sophisticated system, seemingly LCCs in the foreseeable future. "squaring the hole." In Scutheast Asia, we see this Anotherdeterminant in shaping the EA model that in the People's Republic of China and to a certain eventually evolves in LCCs is the organizational extent, in Indonesia. Others will put in place a strength of the movemnent for social change in these modified, technicallymore modest process. Some of countries. There is no reason to believe tat affected the modifications will be creative; otherswill appear people will remainwithin the slots prescribed for to be a simple "cutting of comers," at least initiaLly. them by governments. Thailand, Malaysia and the Philippines appear to be The current developments in Thailand's Si Chang taking this route. The Philippine EA, implemented Island provides an excellent example. The interim under severe political, institutional and resources Prime Minister recently visited the region as part of constraints, is nevertheless dynamic, and its the government's public education program on the application is creative and responsive. The changes new legislation He usedthe costlypollutionclean-up prudently introduced through adminisaive order in Pattaya and the controversy on Si Chang Island to rather than legislative channels include: (a) "social highlight the need for a collective sense of acceptability" as an additional criterion for granting responsibility and cooperation on environmental the Enviromental Compliance Certificate (ECC) protection and management. Speaking in relation to neededforprojectimplementation;(b)thesetingup the demands of the Si Chang Island residents the ofanEnviromntaGuarnteeFundbytheproponcnt PrimeMinisterwasreportedtohavesaidthatteSi tocoverthecostofpotentialaccidents:(c) multipartite Chang controversy should serve as a lesson that coordination ofthe compliance monitoring program future development must be taken not only for with the regional offices of the Department of economicgainbutalsoforsocialandenvironne Environment and Natural Resources, Local reasons." He underscored the need to consider the Govment Units,Nongovernmental Organizations vicwsoflocalpecpleaffectedbydevelopmcntprojects and Peoples' Organization; and (d) Emergency but reportedly added that the "views of local Response Program as part of the ETS . communities affected by the projects should be secondary to national benefits" (Bangkok Post Poliical Dimension 19920. Some governments will fonmally aclmowledge the The Nation (1992a) gavethe following acout of need for and accommodate public input in different the villagers' response: stages of the assessment; others will not. Looking A representative of the Si Chang residents said again at Southeast Asian countries, the Philippines, after the meeting withAUaId yesterday that the Indonesia and Malaysia explicitly indicate public islanders were not satisfied with the premier's participation in the EA process, whereas China and unclear response to their demand for a complete Thailand do not stop totherockblasting andtheportprojectNoi Saenharoensap said if the government fails to Operationazation take any action in 10 days to end the quarnying and the planned port construction, the islanders Whether EA is operationalized and effectively will petition HRH! Princess M~aha Chakri internalized in the public administration system as Sirindhomnforhe P.Noisaidthvila gCsdidnot officiallyprescuibed,willultirnatelydependonmany wantthernforhepadthey t ll isd factors.Nodoubtoneofthevaniablcs istheassistance wantthe port Instead theywantthewholeisland declared a national heritage. 44 EnvironmentalAssessment: The Process in Thaoland and Canada Lessons for Donors and DU industies receive external funding; hence, none of The implementation of the EA process intccs LCthe impacts willbe linkedto donors and IFIs and draw the attention of HCC-based environmental groups. depend on sevcral factors. First, donors and [FIs But the serious en ental and human health should review the concept of exclusion lists, for impacts arewell estabshed and areneitherprvented example, the Inter-American Development Bank's norigated bysimplyumdg anEA- The EA (IDB) Category I and IL As the Khor Jor Kor no tedtobyimpodiy edsothatsmauEAust experience in Thailand unequiocally shows, evcn do notclog up the EA system but are insteadused to environmental rhabilitation projects (for example, assist in adopting low-waste technologies, for park conservation schemes, reforestation programs) example, water recirculation systems cr source can have senous indirect pomental ts I segregation andrecovelysystemsasforcyanide,heavy project ists are used, tben there should be explicit metals and solvents. Potential areas of assistance mechanisms for post-project impact monitoring and includc downscaling available low-waste periodic review of the lists. technologies, phasing out end-of-pipe technologies, Second, if the interest of donors and IFIs in EA as and idetifing appropriate policy instruments that apLaning tool xends beyondmeeting the demands would effectively bring about thcse technological of HCC-based constituencies, they should devote changes. some resources to examining cost-effectve ways of Third, along the same lines, there is need to gather dealing with the envirometal inpacts of s and analyz case experiences of EAmethods that are mndustries. Small family-operations, such as metal- t cost-effective. If the institutionalization and plaingger, arefadomiinan and sture-matdng, and implementation of EA in LCCs is to be sustained piggeies, are a dominant and scioeconomicaly thmroughindigenousresources, donors andFls should important feature in LCCs. Mostoftheseaties aively support experiments at developing less- producchazardousviastes andsiMplydonothavethe bftev x Theinfomationandresoure resources to manage them properly. None of these cosiybute s,edvA lifApromat inoCanada Figue 4-2. The Yap Seesaw Higft a ProducUvky Aggregate Ecological Demand Demand (Base) -Supply of -Populaton resources -Patterns of -Waste sink consumption -Life-support HUXIlAl1 izks t echnology *poRics soel ar&aon - / _ _ _ _ _ s y t e m Yap 45 and the United States may be feasible for extenally sociopolitical change. If the goal is sustainability, funded projects but is umealistic for the majority of then impact monitoring and management should be economic development activities that are being integrated into the assessment process. undertak en and will continue to be pursued in LCCs. Fifth, donors and IFIs needto accepttherealitythat Whatarecurrentlybeingpassedoffascost-effective the modalities of public participation in the EA EAsaresimpletruncationsoftheU.S. ortheCanadian process in LCCs may not be familiar ones, and the model. They may cost less, but their effectiveness is process may not be tidy. Educating the public in debatable (Lohani 1988). Creative ways of using HCCs should be undertaken. Public interest groups rapid appraisal and modified Delphi techniques to in HCCs must be made to recognize that there is no link up the EA process and indigenous technical one "correct'"model ofpublic participation and that knowledge systems should be explored, it is counterproductive for environmental NGOs, Fourth, if indeedtheobjectiveofu npact assessment donors and IFs to "pigeonhole" LCC communities is te promotion ofsustainable development, bilateral into one process. Torearticulate anearlier argunent, donors and IFIs should shift from environmental the public participation process in HCCs did not assessnment to technology assessment, formally evolve in a vacuum, rather it is a product of the recognizing that sustainabilityis determinednot only westernpolitical, technical, and culturaltradition. As by the biophysical but also by the social, economic, is clearly demonstrated by the developments in cultural and political enviromnents (Lohani 1988; Thailand and the Philippines, LCC "publics" will Yap 1990b; CIDA 1992). The impacts on these develop andstruggletbroughtheirownprocess. The dimensions must all be included in the assessment. role of environmental NGOs, donors and IFIs is to All developmentinterventions introduce some form activelyfailitatetheevolution,notdeeideitsdirectioa of technology or induce some technological change. Finally, if only for cost-effectiveness reasons, Technology is in fact the inmediate stressor. If one donors and IIs shouldstartdifferentiatingtheneeds pictures the pursuit of sustainable development as of LCCs with resp.ect to EAt Certainly in Southeast the struggle to balance the human demands against Asia, countries are at different stages of need. the ecological base or capital, as in a seesaw with Thailand's greatest need appears tobe in developing technology as the pivot (since it mediates the environmental expertse. The Philippines, on the mteraction between the two) and the plank being other hand, has a relatively high number of highly policy, culture, social and economic organization, qualified, committed environmental experts in the then one can see what a limited tool EA is (figure 4- public and private sectors and in nongovernmental 2). In undertaking an EA, one is by defimition and nonprofit organizations. What is seriously examining the impacts on the ecological base that is hampering the efforts of this pool of experts is the only one side of the seesaw. Technology assessment, lack of facilities-pollution monitoring equipment, on the other hand, is not as delimited. It is in effect an laboratories, computers, and even telephone lines. assessment of the positive and negative impacts of Donors and IFIs must dare to be flexble and theintervention.Itmaybevisualizedasanassessment creative, they should have the courage to experiment of the effects that a change in thepivot has on the with tools that would facilitate the evolution of a vanous elements ofthe seesaw-population, patterns participation process appropriate to the indigenous of consumption, cultural practices, and social and cultural, social and political context At the same economic organization, as well as the ecological time, they must be creative and develop reasonably fumctions.Ailofthcsecontributetotheoveralibalance clear but Ilexible lines of accotmtability. or imbalancc-to the overall sustainability or lack thereof All of the impacts of the intervention on No.es these dimensions therefore must be included in the 1. On June 23, 1992, Bill C-13 became the Act to assessment. Establish a Federal Environmental Assessment Process, An integral part of operationalizinp impact Statutes of Canada, chapter 37. assessment within a sustainable dev, ,pment 2. nterview with Vannasaeng Office ofEnvironmental fiamework is a recognition of the inadequacy of our Poliy and Plag, July 1992. knowledge and understandingofthe thermodynamics 3. For a more detaied review of the Canadian EA and Iedetans ofthbiogeochennaiccs process, see Robinson (1991). and kdmctics of biogeochcmical processes and our 4. In addition, several thousand projects undergo limited understanding of the dynamics of envirenmental screening a year, some require an initial 46 EnviromnenlalAssessment: The Process in Thailand and Canada cvironmental evaluation (telephone interview with Pat References Le Blanc, Director of the Federal Environmental Assesment Review Office, November 25, 1993). Act to Establish a Federal Environental Assessment 5. This resulted in some economic costs to project Process. 1992. Statutes ofCanada, chapter 37 (June 23). developers. The most famous example is the Nam Choan Bangkok Post 1992a. "A Thai Dances with Wolves." Dam, on the Khwae Yai River in Kancihanaburi, proposed June 23. in 1982 by the Electricity Generation of Thailand. It was . 1992b. -Dam Thrcatens Mae Yom Park? May 10. abandoned following protests by university students. The -. 1992c. "DongkwangForestNewRelocationSite" damproposal was revived in 1986 onlyto be shelved once May 10. again by an even broader coalition of pressure groups -. 1992d. "Estate Developers Told to Detail (Hirs=handLohman 1989). Otherexamplesofabandoned Development Plans." June 20. projects include: Shell Thailand Reforestation Project in . l992e. -Panel Set Up to Probe Clash with Chanthaburi, Suan Kitti's Reforestation Project in Encroachers.? June 20. Chachoengsao and the Cable Car Project in Chiangmai. - . 1992E "PM says Si Clang Must be Properly All encountered strongpublic opposition after the projects Developed." July 19. had been initiated. -. 1992g. 'Ibis Land is OurLand" June 17. 6. Attempts by ONEB to add to the prescribed list of Biswas,AL 1989."ReommetionsonEnvironental projectsoractiviticsrequiringanEAbaveapparentlybeen Impact Analysis for Developing Countries.- resisted by industry (Vannasaeng, personal Enironmental Conservation 61. communication). Canadian Interational Deveopment Agency (CIDA). 7. Khor Jor Kor, also called "A Program on Land 1991. -Thai Environmental Policies and Regional Resettlement forthePoorLivingin theForestReserves,' Resources Exploitation." Discussion Paper, CIDA, vas established in 1985 with the Royal Military as the Canada. implementing agency. The idea was to identify parts of -. 1992. CIDA 's Policy for Environmental (Gazetted) park reserves degraded from encroahment by Sustainabili4' landless peasants, officially declare them as degraded, Chia, LiI Sicn, cd. 1987. EnviromnrenrManagement i relocate the peasants vith promise of title to land outside SAutheastAsia Singapore. thereservc,andthusallowforreforestationofthedegraded Government of Thailand. 1992. Enhancement and area, generally through private sector industrial tree Conseration of National Envionmental Quality Act, plantation For example the military's 5-year plan for the (BE. 2535). Bangkok Thailand. northandnortheastemregionis tomakespaceforindustrial Hirsch,P. andL.Lohman I989. "ContemporamyPolitics tree plantations by relocating 50,000 families (2,500 ofEnvironmentin Thailan&d AsianStrvey 29(4):439- villages) who have encroached on park reserves. 51. Implemuentationof the progamm as been beset by several Lobani, B.N. 1988. "Envioment Assessment and problems. A common problem reported has becn that the Management in the Bank's Developing Member resetementsitesareaheadyoccupiedandtheeforeunable Countries.' Training Workshop on Environmental to flly accommodate the newcomers. This has led to Impact Assessment and Evaluation. Proceedings and hostilities in some sites. In two instances spccificallythe Training ManuaL VoL 1, January 18-24. Lucknou, Taplan National Park in Nakhon Ratchasima and India. Dongwang forest in the Kut Bak Disict, vast tracks of The Nation. 1992a. "Anand Meeting Fails to Cheer forestedlandwereputundertheaxetoresettlethedisplaced Islanders." July 19. park encroachers. Othersources of fiustrationandconffict . 1992b. "Cabinet Suspends Resettlement Plan?' include: (a) the promise of land titles not being fl1filled; June 24. (b) the amount of land granted being much less than that -.199c "Si Chang's Changing Face." July 16. promised; and (c) the land granted being unworkable. Ouano, R. nd. "Overview of Environmental lmpact 8 The Parliamentary Committee on the Environent Assessmet in the Asia-Pacific Region. willsupposedlyassessthepotentialenvironmenalimpacts Prasith-rathsint, S., ed. 1991. Thailand's National of policy related to development projects. However, the -DeveopmentPofikcyIssues andChalnges. Bangkok committee does not have a legal mandate. Thai University Researc Association/CIDA. 9. "TheProposedCanadianEnvironmentalAssessment Probe ItnationaL 1990a. "The Proposed Canadian Act Implications for international Projects." A brief Environmental Assessment Act. Implications for psentedby Probe International to the Special Committee IntemationalPrqjects." Abriefpresentedtothe Special on Bill C-78. November 1990. Committee on Bill C-78. Canada. 10. Bill C-13 allows the Canadian government to - .1990b. -Reviewofthelbter-AmericanDevclopment establsh Joit Panels with foreign govenments and with Bank'sNew Procedures for Classifying and Evaluating institutions of these govenments for the review of ODA- EnavionmenthnpactsofBank0ptions."-Discussimn fimdud projects. paper, Probe InterationaL Canada. Il.For th arguments, see Yap 1990. Redolift, N 1991. "The Multiple Dimensions of Yap 47 Sustanable Development." Geograhy 36-42. TURA-CIDA 1991. wThai Environmntal Policies and .1992."ThebMeanngofSutibleDavelopment" Regional Resources Exploitation." TURA-C DA Geoforum 23(3):395-403. Discussion Paper. Rdbinson, R. 1991. -New Devlpments in Federal Yap, N.T. 1990a. 'Round the Peg or Square the Hole? Environmental Assessment?' Impact Assessment Populists, Technocrats and EnvironmentalAssessment BuUlein 9(4):57-68. inThd World Countries? ImpactAssessmentBulletin Sekitar, J.A. n.d. A Handbook of Environmental 8(1 md 2):69484. Assessment Gurdeines. Dcpatment of Enronment -. 1990b. 0Susminable Development Explonng the Kuala Lumpur Malaysia. Contradictions." Curnt January. 5 Managing Tropical Forest Development: Technology Transfer in Environmental Assessment Witson Eedy and Lan HIurlen Environmental assessment and management The principles on which ourwork and this chapter rIementshaveevolvedrapidlyin SoutheastAsia, are based are universally applicable; we believe it is especially in tropical forest development, where essential that EA be used more extensively in international envirormuental pressure greatly envionmtalplanmingworldwide-Toillustratethcsc influnces multinational developers, funding and principles we will discuss the environmental markets.Inteationaldevelopmentimdingagencies assessment process in Indonesia, using as a case such as the Asian Development Bank (AsDB) and stud amajor forestdevelopmentprojectthatincludes tbeWoddBakhavenyprarepldeninmedl plans for EA technology transfer. The project will assessment EA) guidelinesthatrivalthe stateof de develop a 1,700-tons-per-day (tpd) pulp mill and art -in North America (AsDB 1990; World Bank 300,000 hectares (ha) of reforestation plantation in 1992). Goverment fimding agencies have also southern Sumatral The envionmental assessmnent supported the development of local enviromtal follows the Environmental Management regulation protocol. Application experience to make Development m Indonia (EMDI) program and the these laws functional is now grealy needed. AsianDevelopmentBank'sBAguidelis.Aninitial Canada and the United States have developed and EA has been completed and more detailed insmtiued EA requirements for some twenty years. enomentalivestgationsareplaned.Thestudies Their procedures have evolved tbrough tbe stages of are being fimded by Beak Consultants Limited pure inventory, impact prediction, and mitigation (BEAW, the Canadian Intlational Development planing, to the more prcactive approaches of Agency (CIDA) and th Baito Pacific Group. cumulative assessment, sustainable development, The overall objectives of the study are to (a) apply and adaptive environmental management (Jacobs state-of-the-art envionmental assessment practices and Sadler 1990). Thesematureapplicationmethods and management technology to ensure both should be transferred to developing counties to enviromental and economical viability, and (b) ensure that their new laws and guidelines are notjust demonstratethecritcalneedfortransferoftechnology good theory, but demonstrate sound environmental and experience in environmental assessment and management. management to developing countries. This will Enviroment and devselopment is the topic of the involve the folowing application techniques: decade. Itis intimatelylinkedwith keyissuessuch as -* sustainability assessment of forest plantation sustinable development, ecosystem diversity, and ranagement, cultural assimilation of itinerant global quality of life. Its popularity began to peak farmers, and reforestation of grasslands; withthereportoftheBrundtlandCommission(1987) - cumulativeimpactassessment,includingexisting and has continued through the United Nations impacts from, for example, slash-and-burn Conference on Enviromnent and Development agriculture, populationtraigration,waterand air VEarlh Summi') in Rio de Janeiro (1992). The pollution, and soil depletion; essential need for linking environment and - adaptivemanagemet includingthe rqirement development is a principle we all agree on; it is for monitoring and appropriate feedback about the required by most international lending agencies and management of forest plantations, effluents, and enshrined in the legislation of almost every country. local employment; and But discussion is no longer enogugh it is time for * tansfer of teclnology through association with acton 48 Eedy anzdHurlen 49 EMDI, the Indonesian govemmcnt, and Indonesian EMDI theIndoesin goernmnt,and ndonsia Table 5-1. Population Growth and Deforestation engineering consultants. Tabk in Ionesa This chapter demonstrates the critical need for lressuresi Indonesia transfer of application technology and experience in Indicator lava Sumatra Ot Total environmental assessment and management in - - developing nations. - 106 362 3317 175.9 (millions) Population Growth and Deforestation in 7 Indoesia (umbni2)t 7 4 .a 9 Tropical forests, especially those in Indonesia, are Populat1on.7 g3 valuable for a number of economic activities and (Y annual) ecological services: locallabor andforeignexchange; ecological diversity; watershed protection; nutrient P 988 10,778 37,267 49,043 cycling, subsistence use (for firewood and food, for 0,000 ha) instance); habitat for flora and fauna; cultural and Total annual social values; and global carbon dioxide (CO2) forestloss mLa. Ia m.a. 900 fixation (World Bank 1990; CIDA 1992). On the (1,000ha) islands of Java and Sumatra, population settlements, Loss to kb stable and shiftig agriculture, and forest or other gm00ha na . nat 180 resource harvesting have Ifdt alarge part of the land in a heavily used or unproductive condition. Eighty- LOss to five percent of the land base in Java is now under &dvclOPIICt na. IaL ma 250 intensive cultivation, with the size of the average 1ct0h familyfarmlessthanO.5 ha(WorldBank 1990). The (r,0ha) .casigpopulationhastolookelsewhereforland. LOSS to Transmigration policies that were implemented to smaliholder resolve the population concentration on Java have convemrson resulted in major forest impacts elsewhere, for (1,000ha) example, by encouraging slash-and-burn shifting na Data notavailable cultivation, which often causes Alanzg alang Source: WorldBak 1990. grasslandsthathavelittleeconomicorenvironmental diversity value. If these issues arc not resolved, the impacts will continue to spread through the less- sustainable developmenL Indonesia has had the developed parts of Indonesia as well. The World institutional and legislative tools for eental Bank (1990) esimated that the outer islands were management for some time, partly because of the expriencingnauralandmigrantpopulationincreases CIfDA-funded EMDI program over the past decade. EMDlhasalsomntroducedEAas anessentialplannmng of 5 percent ayear. Table 5-1 provides a sunmary of tool Th lnor nesnsinceembraced the development pressures on forests in Indonesia. toolThe donesiangovementmshas sinceal epd Indonesia has 2.5 times the forest area of al of eiviromnental managerent as a critical sDncept in western Europe. In 1982,60 percent ofthe land base its curent5-yearplan (Repilita). ISarecent issue the of Indonesia was forested (110 million ha). At that Jkrta 2mes quoted President Suharsi ay theing time 800,000 ha per year were being logged, more rdsoial toaders your indunes; noweyou mus than in all the rest of southeast Asia combined. resoucestodevelopyourindustes;nowyoumust Current estimates indicate that prmaiy forest areas repay us with envirommental protection and qualiy in Indonesia are disappearing at about 1 million ha of life." per year (World Bank 1990). Indonesia's large Adoping the Canadian Model for EA population is stnving tomeetthe economic standards of northern hemisphere hfestyles and this presents Evimonmentalassessmentisalegislativerequiremmt the major problem to mecting the definition of inlndonesia.MuchoftheEAprocess,asitexisedin environmental susamability (see Goodland 1993). Canada in the mid-1980s, was transferred direcly Planning and implementation are essential to mto Indonesian legislation through the EMDI1 50 Managing Tropical Forest Development: Thchnolagy Trasfer Although the institutional requirements have been Environmental assessment in North America has putinplace,theycontinuetobethesubjectoffunding evolved from a project justification exercise to an initiatives by the World Bank and the Asian innovativeplanning tool. Its main value is to provide Development Bank a fiamework for ensuing that all aspects of the The Indonesian EAprocess, AMDAL,is similarto proposeddevelopmentuarethoughtthroughecarefally the Federal Enviromnental Assessment and Review and are planned and implemented in an Process (EARP) in Canada (see table 5-2). Both environmentally optimal manner. These objectives countries' requirements include environmental of the EA process are difficult to transfer through screening, initial environmental evaluation (IEE), written guidelines or legislation only: they must be and comprehensive study stages. Although demonstratedtbroughpractice-theimplementation independentreview agencies have been instituted in procedues and institutional framework-to ensure both countries, the Indonesian legislation has more thattheywork This effectivetransferis one objectie formalized EA review guidelines. There has as yet of our ongoing EAworkin Indonesia. Our plan is to been only limited public participation in the involvelmcatconsultantsresearcersandgovemment IndonesianEAprocess. Severaldevelopmentprojects agencies throughout the study to demonstrate the havegonetroughtheEEorprojeetevaluationlevel importance of the planning and management (PEL) assessment; only a few have been assessed at components of an EA (Stone and Eedy 1977). the full EA or ANDAL levl. Table 5-2. Comparisons of Candian EARP and Indonesian AMDAL Environmental Assessment Procedures EA Process Canadian Indonesian EA Requiment crtera Federl mone ad or eguatory Potenally al existing or planned responsibility development Screening level Perfonned by intiating federal Perfonmed by BAPEDAL (a Crown department corpoation set up through BA legislation). Project nitial level (PIL) Initiating departmet regulates or BAPEDAL regulates or proponent does or initial evaluation level proponent does EA EA. (l) of new plan Project evaluation level Not done. As above. (PEL) or initial evaluation of existing development Full EA or AMDAL (new Project-specific panel to set EA and BAPEDAL sets project-specific guidelines proposed project) review results. and reviews results. SEL or full EA of cxisting Not done. As above. development EA guiddines. Specific guiddines only at BA-level Geneal guidelines in legislation. (set by panel). Other levels have generic BAPEDAL to set specific guidelines guidelines. through negotiations with govement regulating depatments and proponent (process yet to be implemented). lIpact evaluation A decision of the rview department or Regulations set 7 critedia with 5 levels of weightings and project panel; no written guidelines. impacts in each; becomes the target of EA acceptability to jus project Public involvement figh level required. Recommended but not yet inmplemented. Note: This comparison is ofthe Canadian process prior to the Cnadian Enviomental Assessment Act 1991. Source: EMDI 1991 Eedy and Hurlen 51 The Misi Pulp ad Forst Planuion Project industrial development already affects air quality, and various other social and ecological factors must Thbe proposed devclopment IS an integrated forest plato abe addressed to evaluate sustainability. plantationdand pulp mill proje0tthati ncludesa 0- Greenhouse effects and acid deposuion. Both tpdbl eachedKra.Fpulpmiilanda300,o00-hafort a research priorities in many industrial countries management area. Forest operations involve and findings must be applied to the global replanting 200,000 ha of grasslands or old rubber sustainability equation. plantation into a plantation of Acacia mangium, mixedvitheucalyptus and other spcies. The benefit majorissuspin lesort d AmericfosT age of plantation forestry with these species is the sma and are qiscsy becomingiAmportantinandonesia and area required and the short tumaround time. These oedevelopngcounties. other developing countres. species also may fill at least part of the demand for nativetropicalspecies andsaveviginforest areas. A Technology Transfer in Profect Plwing and pulp mill of similar size in boreal Canada requires Design about 1.4 million ha of forest, with species that need about 90 years to mab=re Technology b-ansfer in te EA plalnng process about 90 Years to maLta includes the evaluation of design and environental Initial Flndisng regulation issues, and we have found there is a great Biodiv y ws adeal to learn from our Indonesian colleagues in the Bioch.awty was a sig.ficant issu, m the nutW EA area of forest management. Iitially, best available feasibility study. Plantation forestry is sustanable technology (BAT) eccnomically achievable was our by design (assuming appropriate research and g point for environmental proion at the mana_~is incaWorated) statigipin fo -- eromenalproecionatth maemetiinor ,butithasbencriticid pulp mi. This required a review of the engineering as a rather ecologically sterile monoculture. Forest d i i l oi research and management are important parts of our Cdein iforsti ind ^Bt for enetics taught EA, th i.tia st.d r.,m e pevigte Cncan forest mdustxy. But forest gcetiecs tmight eAtinin tia sdrecommendedopreservingsthe us new parameers in ladonesia the 8-year growth remasinng native forest areas of the forestr a ycles in Sumatra allow testing procedures that are conce ssion,including signiicantblocks offorst and jistnotfeasiblewiththe8O9Oyearcyclesinnorthcm coffidors alongdrainagesystemsffiatgreatlydiversiy rnada the overall vegetation and wildlife habitat potential Site-specific studies are still being coducted to ofthe area. Agroforestiyintercropping andmiing of detenminethepotcitialforfirtherforestmanagement, the plantation species and ages have also mcreased u iastc development, waste biodiversity. Declopingplantations onAlangalang tatmentorotherspecialrcqirements. These studies grassland or former rubber plantation areas . are based on site meteorology, hydrology, ecology, improved the diversity and productivity of the areas resource us; ambient quality, regional socio- from ther pnor degraded state. It is planned that the economic and other considerations. The fol provision for local forestry jobs and agroforstly arsoreoftheBAToonceptsthatwe1 productionwill also reduce some ofthe incentives to i our initial EA practice shifting (slash-and-bum) agriculture in the m ow-chlorine bleEch:ng. Ths operaton was area. The following common issues have to be dealt r n t a with thmghout the EA process: latnvcy new to an area that is just begkning to wt Susthroughouty SthesA process neededtodetermin consider water quality issues m general and has not * Sustainability. Studies are needed to determine y t rece h opiae ol flw thelon-trm ffcLs(suh a o sols,nudcns, yet reached thle complicated world of low- the long-t effects (such as on sooils nutrients, concentrationbyhigh-riskehlorinatedhydrocarbons, diseases and pests) of short-term forest rotation and which has become an important consideration to the ) * f.rest 3. world marketability of the product ' No net loss. The basic concept of sustainability 'Low water conumption and recycling. This isthatthelong-termresourccbasewlllnotbedeleted process can be importat even in a rain forest area, This has been a planning requirement for some time especiallyduring the dry seasons and when there are m various sectors m Canada. hea d resource uses. 'Cwmdlatve effects. This is one of the important -Secondary treatment of mill effluent. components ofEA in North America. ht is especialy *Modern air emission control Process (con- important m forestryi m Sumatra where slash-and- . sa-ingadlow-o v i) ad bun agriculture blackens the sldes for months, 52 Managing Tropical Forest Development: Technology Transfer emission treatment (precipitators or scrubbers). fiber needs. There is need for some further rcsearch, BasedontheEAstudiescurrentlyinprogress,site- as proposed, to determine the micro-nutrient specific recommendations will be considered for requirements for multiple-cycle harvesting. tertiaryeffluenttreatment, low-volumegas coilection In order to optimize these interactions and achieve system, or special outfall designL EA studies to a sustainable development scenario, one has to look determinethese requiremnts include meteorological atamuchbroarandlonger-termperspective. Inou momtorng, hydrological data collection, biological study we are attempting to demonstrate and transfer resource and resource use studies in the receiving to the local govermnent and consulting groups, this environment, computer modelling, assimilative ecosystemapproachtoEAandthisunderstandingof capacity analyses, andeffectassessmcnt. The theory the interrelationship of the EA to the planning, for such studies is well documented in the literature, management and long-term success of the project. The application to the Sumatra site requires an inmovativeandcooperativecombinationofourNorth Conclsions American team's experiences and local knowledge At the tme of updating this chapter pate 1993], The transfer of technology is essentially a two-way political and economic issues have interrupted our process. The successful operationofBAT, ofcourse, plans to continue the EA process to meet all of the will also depend on adequate technology transfer to objectivesdisucssed. However,therecommendations th operators. have been reviewed and accepted, inprinciple,by the The traditional EA approach, which seems to be government, finncial institutions and the client We the state of the art in many developing countries, is hope the study will be able to continue in the near onethatrespondstoguidelinesorlegislationv.ithout future and will include the technology transfer the need for innovative assessment, cumulative EA approachproposed. analysis, and management planning. It is largely At the conclusion of the study, we will have equivalent to the North Americaa state of the art in demonstrated, thrgh application in Indonesia, the the 1980s when many of these guidelines and utilityandvalueoftheEAapproachtoenvironmental legislativeintiativeswerclransferred Thisapprach management We hope tis demonstration will is one of inventory, that is, documenting all of the conviugovemmentraiatorsofthestandardsthat environmental and developmental components in must be met for future EAs. This application and isolation ithout necessarily ling the vanous regulationmustgobyond paperguidelines. We feel elements of the development, the environment and we can convince our industrial clients of the long- the overall management picture. Sustainable term benefits of integrated environmental planning dSevelopment-the development integation we are trough the EA process. Not only does this lead to a trying to attain in the present EA process-requiwrs more viable, long-term (sustainable) retu for their the ability to link all of these factors and their investment, but it also provides for a better potential interactions. Emissions from the mill will environment and quality of life for theirpeople. We interact with the forest plantation, and runoff from are also integrating our local and North American the forestwill affectthe seasonal watersupply to the study team experise to transfer ability in applying mill Forest production is itimately linked with the the EA process as a planning and management tool culture andresouce use ofthe people in the area, as over the long ternL isthe waterusedbythemill. Theprojactcanintheoxy meet the general guidelines for environmental Notts sustainability, as indicated below: 1. The EA process in Canada is continually evoling - ln using the best available tecbnology, the mill thughtheCanadimnEnvimmtalAssessmentResach shouldqperate easilywithinthe assimilatie capacity Coumc, the-new Canadian Environmntal Assessment of the local environment, but furher studies have Act, Provincial EA requirements, and the practical been proposed to demonstrate this. Once the mill is eqpiences ofdevlopsregalators, consultants, andthe operational, the theory will have to be put into public practice by local operators, and this is where transfer of technology will be essential. * With tropical hardwood species, the forest area Asia Devclopment Bank (AsDB). 1990. Enviromnmenl sbould produce more than enough to meet the mill Guidelines for Selected Industrial and Power Ee and Hurlen 53 Developm ent Projects. Manila, Philippin: AsDB. Unofficial Tnslation. Jakarta, Indonesa: EMDL Beak Consultants Limited, Geomatics Intenational Inc.. Goodiand, RoberL 1993. "Definition of Envirnmental and WiratmanEngineeringLimited. 1991. "Msi Pulp Sustainability.A L;L4 Newskltter 5(2): 1-2. andForcstPlantationPrqectrEnvionmentalFeasi-bly Goodlad, Robert,HermanDal1y.and SalahElScra&r. cds. EvaluatioILn A report for The Canadian Intemational .1992. Poputidon, Technology and Lifestyle: The Development Agency and the Barito Pacific Group, Transition to Sustainability. Washington, DC: Island Ontario, Canada. NesC. Beak Consultants Limited (BEAK). 1980. World Bank Jacobs, P. and B. Sadler. 1990. Sustainabk Development Environmental Considerations in the Pulp and Paper and Environmental Assessment Perspectives on industry. Ontario, Canda: BEAK PlannfforaCommonFuture.HullQuebec: Canadian. BrundtlandCommission. 1987.0urcommonfutnre.New EnvirnmentalAssessmentRearchCounci(CEARC). York Oxford University Press. StoneD.,andW.Eedy. 1977."TheRoleoftheConsultng Canadian International Development Agency (CIDA). FiminEwironmentallmpactAssessment' Chemistry 1992. "Envixrnent and Development: The Cnruial in Conada (Februay). Decade" Development (Spring). World Bank 1990. Indonesia: Sutainable Development CommissiononDevelopingCountriesandGlobalChangt ofForests. Lan4 and Water. Washington, DC. 1992. For earth's sake. Ottawa: International - . 1992. nvironmentaAssessment Sourcebok voL Development Research Centre. I Policies, Procedus, and Cross-Sectorl Issus Eedy, Wilson. 1990. -Background paper-water? Focals (Technical Paper 139). vol. 2 Sectomal Guidlines Visions 2020:13-20. (Technical Paper 140). voL 3 Guidelines for Environment Management Development Indonesia Environmental Assessment of Energy and Industry (EMDI). 1991. 'Documents Relating to the Projects (Technical Paper 154). Washington, DC. Enviromental InpactAnalysis Pocess inxidonesia.' 6 Rapid Urban EnvironmentalAssessment: First Step Toward Environmental Management in Developing Countries -JosefLeintm Overview appropriate policies and tools for land managemcnt, infrastructue management, and municipal finance The World Bank Urban Management and tb and administration. Thrugh regional programs, the Ekonent Program (UIAP/E) has broad rearh UMP has setup parterships with national, regional experience in the area of rapid urban ntl and global networks and ESAs in applied research, assessmentThisk bapwedraopablecasestis dissemination of information, and experiences of to broaden knowledge about environmental issues ~bet pracicCs and promising options. and options forurban areas of developing counties, The research summarized in this chapter has been all durig a reatively short period of time. d,hbadstudsandrnrch,todevelop The methodologyt tbat has been developed nd an overall document on enviromnental strategies for testedcansistsofmaree-step process: (a)coplion cities. Theprofiles andenvironmental data have been of' a data questionnaire on urban ironiDental used for international forums on cities and the rin uic (preparationofamurbanenvimental environment, the UNCHS Sustainable Cities aioffiio gcalq anciscuss Programme, the World Bank's WorldDevelopment a olaiv serieatts; ofd 01i Report 1992, and urban enviromental projects. In of the results through a se consultations, tun, the results of these and other activities will be ulminng in a priont-foused public ioop- used to inprove the asses..sment process over time. Theassessmcntprocessisdesignedtobetterprepare In addition to city-based activities, the investments and to develop policy changes fbr om acomponent of the P has prpared improving urban environmental quality. These background papers and research on such topics as objectives are achieved tiroughtheformulationof an urban waste management and pollution control, environmentalmanagement strategy and actionplan e l in the urban sector, forcities;contentsofthestrategyandplanarebriefly regulatory and economic instruments for pollution outlined here. -control, the environmental dimensions of urban land Urban Manageme t and the Enronment use, and the urban environmental planning and management process. These studies are designed to Therapidurban environmntalassessmentapproach identifykeyurbandevelopment-enviromnentlinkages has been developed by the Urban Management and and suggest an environmental management strategy Envionment component of the Urban Management for cities in developing countries. Finally, research Program (UlM), which is runjointly by the United reports mnebeingpreared on (a) the health impacts Nations Development Programme (UNDP), the of urban eaviromnental problems; (b) the economic World Bank, and the United Nations Centre for valuationofurbanenvironmentalproblems;(c)urban Human Settlements (UNCHS). Te UMP is a major environmental data collection; (d) the local effort by UN organizations and external support management of hazardous wastes from small-scale agencies (ESAs) to strengthen the owntribution that and cottage industries; and (e) the application of cities andtowns in developing countries make toward remote sensing and geographic information systems economic growth, social development and the to urban environmental planning. All of these are alleviationofpoverty. InaddLitiontoitsenvomental inputstoafinalpaperon environmental strategiesfor focus, the program seeks to develop and promote cities in developing counties. 54 Leiahann 55 Guidancefrom the RecentPast: Obstacles and These three steps and how they relate to one another Objectives are described below. Very little information is readily available on Urban Environmental Questionnaire environmental conditions, the interaction between urbandevelopmetandns org| a l A commnon questionnaire has been used to generate urbandevclopmetandecosystemv ,orthen managerial a data base on a range of envintal icators. setting for responding to environmental problems in Tesre'ntietasdsge vraoeya the cities ofthe developingworld Recentattempts to The surveyinstmmentvas dedgnedover a one-year develop such information have been incomplete penod (October 1989-September 1990) by a becausetheyfocusedonalimitednumberofvariables technical woring group on urban environmetal that present a very narrow and limited picture of key indicators, consisting of representatives from the environmental issues i metropolitan areas;' took a following intemational agencies and intenational nrrow perspective by examining only one sector insteahaworndngintcefieldofurbanyeUnFumnd fao within the city;2 required several years of intensive, research and policy anaysis: the UN Fund for multidisciplinyresearch and mnalysis3 or did not Population Activities, Statistical Office, the develop asetofurbanrenvironmental datathatwould Dcpaent of Interati Economic and Social allow forcomparisonacrossdifferenttypesofcities/' Affairs, Environmental Programme, Development Asarc smucthoftXisworkhasnotbeniinmediately Programme, and Centre for Human Settlements; the- Asarcsult,touhoftnsewhodmustbeimmod y tothe World Health Organization the Organzation for relevant to those who must respond to the EcnDMC CoopeationandDevelopmient; the World environmental consequences of urban development E hontmmationantcrforUrantadies; dw in the developing world because the infonnation and Bank; theational Center forUrbanStudies; the ana;yss ae icomlet sctrbasda r otdaed International Institute for Environment and analysis are incomplete, sector-based, or outdated lmegteordRsucsItit;th For comparative purposes, past investigations may StchlEnment In stitute; at e sUr from theseproblcms and not be geeralizable Stockholm Elrvironment Institute; and the Network suffher fromatheses problems andnot be generalizabefor Urban Research in the European Community. to other cases.Indesigng thequcstionnaire thewolng To lean from this recent hstory and oavrcome , h wo ggroup past limitations, there appears to be a need for urban soughtto idcntifyamminimumsetofkeydatatbathave environmental research that is comprehensive a high probability of successful measurement in a multisectoral relatively short-tenn, and consistent large number of the cities in deeloping counties. A betwee cities. Therefore, one objective of th case inberofanaltcal arpreoachesw adrelevant survey study work (reported here) was to use and test in uments were reviewed to len from past different cities rapid evaluation methods that cut xperience and avoid redundant data collection. It across sectors. Inaddition,theworksoughtto lentide was concluded that indicators needed to be collected common constraints and standard analytical g c Baseline social and economic statistics approaches to problems; outline approaches for * Basele housi conditions setingrelativepnoities amongurban environmental * Baseline health conditions problems; and midicate aptions that could fonn part ^ *~~~~~~~~~~~~~ Natural enviromnent of .iromnental management strategies- Land use Rapid Urban Environmental Assessment Urban transport v Urban energy use Athree-step process wadsdtevlopedtorapidlyassess * Air pollution the state of the urban environment This process is * Noise polution based ontheneedformeasurement,observation, and * Water resources, supply and sanitation validation. To measure a consistent sct of data, an c Solid and hazardous wastes. urban enviro nental questionnaire is used. To Core indicators were then developed for these observe the nature, trends and factors that influence categories, with a definition of statistical variables environmental quality in the cities, a common and units of measuremcet For example, to describe fraework for preparimg an urban elviraentai thepredominanteoystemsinandaroundeities,the profilk has been developed. To partially validatete t classification of terrestial and aquatic results from the questionnaire and profile, Gooda css(iaeon oftinendesriptors)was selecti consultations were held with key actors in the cities. D ing on availability data were ollected for 56 Rapid Urban EnvironmentalAssessment three levels: the city proper, the meopolitan area, and the urban agglomeration. The city proper is Box 6-1. Generic Outline for Urban _ . . ........... . . . . -Environmntasl Prrisle defmed as the principal political jurisdiction containmgthe histoncal city center.The metropolitan L Infrdclon area is a politically defmed urban area set up for Background planning and administrative purposes that may Geophysical and land usc combine several jurisdictions (municipalities or socimcomic setting (demographics, economyic cities). The urban agglomeration is the total Eavuleurbant poveert) contiguous bmlt-up area that may splll over defined political boundaries. n &a of the Eniironmet Mn the UrbanRegion The categories andindicators were assembledito Natunl resources a draft questionnaire by the UMP. The UMP then Air qulity provided the resources to field test the questionnaire Water qcality (surtce, ground, coastal, fisheries) in each of the seven case stady areas. A local Land (forests and natural vegetation; agrictural consultantflrmorg.roupofinstitutionswasidentified landparks,recreationnandopen space; historical sites amd culual property) in each city to complete the questionnaire. They were Evonmntal hads selected on the basis of demonstated experience in Natund risks environmntal or urban rescarch ability to access Human-induced risks information from a variety of public and private D sources; and co cation skills in English, The Wat. suvpply questionnairewas fillldout,transittedtotlielMW/E wea a sanitation team at the World Bank, and reviewed to identify od contl problems with consistncwy, misintepretation, and Solidwastemangement missing information Requests for additional Industrial pollution control/hazardous waste information andvalidationofquestionable datawere management then communicated to the local researchers and, Transportation and telecommunications based on their responses, a final questionnaire was Energy and power gencration completed. This process occurredbetwce September Housing - 1990 and Marh 1992, depending on the city On Heualthrcare . . ~~~~~~~Rural-urban linkages average,twostaff-monthswercrequrcdtocomplete, Other review and finalize the questionnaire. IV The Setngfor EnwironmentalMogememd The Urban EWronmental Profile Key actors Althougha qusonnairecanprovideusefulbaseline Gorent (entral, reWonal, local) data, more description and explantion are required Pa sectorNGOs Popular secto (commuity groups,N;Os media) tor afuillerunderstanding of environmental issues in M Functions cities. Therefore, an outline for a generic Iustruments of intervention (legislative and envimentl profilewas developedthatcovers: (a) regulatory; economic and fiscal, direct general background infomation (b) the status ofthe investment; plannig and policy development, environment in the urban region; (c) development- community oranizations; education, taiing environmnt intractions; and (d) the isttinal and research; promotion and protest) setting for environmental management. This was E chanitsm fdorIdpIuic and decisipamaking reviewedandmodifledwith suggestionsfromstaffat (mechanisms for public participation; JNCES (Habitat). A copyofheflenalgencricoutliintctsectoral coordination; across levels of isNprovidEdaintboxt)-1.A pyoftheLalgm outliegovenment; betwen pubirc and private sectr, IS provided in box 6-1. intertemporal, information and technical The background section is intended to provide a historical, geophysical and socio-economic Consuuints on effective management perspective an urban development for each city, and Ongoing inititives for institutional strengthening to briefly explain how developmental activities and theenvironmenthave interactedovertime. Thestaus section summarizes existing information on the Let/mann 57 Table 6-1. Analytical Techniqued an Applicationd Technique Example of application Spatial analysis of land use, scismic and other maps Assessment of opcn space availability, flood-prone and seismically active areas in Accra. Review of survey data and institutional analysis Evaluation of functioning of sewerage and sanitation services in Accra. Overlay analysis of maps Assocation between water-bomne discases and biochemical oxygen demand in Jakarta. Prepaation and analysis of energr balance Sectoral concentration of polluting fuel usage in Jakarta; air pollution in Tunis. Trend analysis Growth and shift in peak hour tanport modes in Jakarta. Organizational analysis Environmental authority by level of government in Sao Paulo and Tianjin. Long-run marginal cost prcing Evaluation of degree cost recovery in Sao Paulo's water and sewerage charges. Flow chart Ocucpational and enaronmental health date flows in Katowice. Source: Ihe author. quay of various environmental media (air, water, where delegates from each of the cities wee presenL land and cultural property), and briefly analyzes the These draft profiles were reviewed with each of the key natural hazards (both geogenic and human- city delegations and corrections as well as new induced) that affecttheurban area. The development- informationwereobtained.AfterrevicwbyUNCHS, envronment section describes how development- the World Bank and two cxternal reviewers, a final oriented activities and services in the public, private environmental profile foreach city was then prepared andinformalsectorsinfluenocenvironmentalquality, by the LM/E World Bank team. andhowenvironmntalfact rs constrainorpromote Several different analytical tools were used to development. The setting section identifies the key interpret the infonmation from the case studies, public and private actors that are engaged in accordingtotheissuethatwasbeingassessedaswell environmental managemcnt that affects the city, th as the quality and format of the data. The key existing managemnent functions (instruments of techniques and examples of their application are intervention that are used, and mechanisms for presented in table 6-1. coordination and decisionmaling), constraints on ntl Consdadons effective management, and the initiatives that are being undertaken to improve environmental In four of the cities (Accra, Jakarta, Katowice, and management Sio Paulo), a series of consultations with key The same researchers who prepared the individualsand organizations (culminatinginatown questionnaire also prepared the initialprofile in each meeting) were held to discuss urban environmental city. First drafts were based on informationfomt problems, pnrorities and possible solutions. This questionnaire, interviews, existing reports, and other x prcessse-vedtoobtainfecdbackonthedraftprofiles data. Thesedrafls were completelymrewritten,using a and questionnaires from interested cifizens in the large amount of additional iformation not cited by cities; acquire additional information from the theresearchers. Then, seconddrafts were retuned to organizations andindividuals that participatec anthe the researchers for their comments and clarification meetings; andconductan expostcompanisonbetween of inconsistcies. In the case of four cities (Accra, the priorities that emerged from the data and profiles Jakarta, Katowice and Sbo Paulo), respons-es were and those that were perceived by the key actors. used to prepare third drafts that were taken to an The consultations and town meetings were international conference, "World Cities and Their orgarized by the "Five Cities Consultation Project" Environment" (Toronto, Canada, August 1991), (the fifthcity being Toronto) thugh the University 58 Rapid Urban EnvironmentaflAssessment of Toronto's Centre for Urban and Community * Themagnitudeofhealthimpactsassociatedwith Studies. This effort was funded by the Canadian the problem. International Development Agency, the Department * The size of urban productivity losses caused by of External Affairs, the Mortgage Housing the problem. Corporation, the edceration of Canadian * The relative impact of the problem suffered by Municipalities, and UM. In each city, a firm or local the urban poor. coordinators were hired to organize individual * The degree to which the problem results in or is interviews and/or small roundtables with municipal caused by unsustainable consunption of resources. politicians, local government planners, * Whetherornottheproblcmleadstoanirreversible environmentalists, regional/national officials, outcome. community groups, universities, nongovenmental * The extent to which political support or a organizations (NGOs), and private industry, and to constituency exists to support resolution of the bring tiesc actors together in afinalforumtodiscuss problem. theirperspectives anddeterminewhethertherewas a To apply- the first five criteria may require that consensus onmetropolitan enviromnentalpriorities. informationbefiurtherdevelopedduringpreparation The format for the consultations and town meetings of the environmental management strategy (see was determined by the organizers in order to below). The results of the consultations can be a accommodate local cultural practices and group useful guide for applying the final criterion. dynamics.7 However, the consultations all covered a Raid Assessment A Step Toward Urban minimum common set of issues: water resources, Eapiro mental St supply and sanitation/sewerage, land use, urban Environmental Mangmnt trasport,energyuse,solidandhazardouswastes, air Rapid assessment is the first phase of an approach pollution, and the natural environment The town that will enable urban managers to tackle priority meetings were organized under the auspices of the environmental problems in their cities. Subsequent top local official (mayor or govenor)(McCarney steps include: formulation of an environmental 1991). management strategy, development of an Successfiulmeetngswerheldineachofthecities, envirommental action plan at the urban leveL and concludingintownforumsthattookplaceinMay and sustained investments for environmental June of 1991. The dates and details for each forum improvement These steps are iliustrated in figure 6- are summaized in table 6-2 below. I and briefly described in the next section. Afterthe consultations,aneffortshouldbemadeto rank urban environental problems by combinng Environnental A'fnagement Strategy results of the public discussions with information Theprocess ofrapidurbanenvironmental assessment contained in the questionnaire and profile. The (datacollection,profile,andconsultations)isdesigned following criteria can be used to rank the relative to provide an iformationa and consensual basis for importance of these problems: Table 6-2. Environmnental Town Meetings City Date Number and types of participants Accra 5115/91 50; local and national government, NGOs, donors, industries, community organizations, cmvironmeital consultants. Jakarta 6/12/91 40; provincial and national governmetn, researchacademia, donors, industries, communy organizations. Katowice 5/17191 25; municipal politicians, city and regional officials, state industries, research institutes, academia, community groups, NGOs, private sector. Sao Paulo 5/31/91 120; city and state govenmen, NGlOs, resch institutes, academnia, professional rgnizations, media. Source: The author. Leitmanrm 59 Figure 6-1. Flow Chart of Environinental private(byhouseholdsandfirms).Itthereforerequires Management Process a participatory process among decisionmakers in governmentandtheprivatesector, ofteusingwoiidng groups of officials in consultation with technical RaIdecUrban sbegironmeprocAsessment specialists and key private/informal sector actors, to Decision. to begin process commit themselves to act, and agree on the policies Urbas enviroomnental ndicators and strategies they themselves will define. Urban environmental profile Public consultations and forum In general, the EMS is developed by the following Political connmitment steps: * Overcoming information gaps identified in the EnvironmentalMAangemenl Strategy rapid assessment by intensive data collection and Environental nsks and impacts analysis. Long-term goals * Preparingadetaileddiagnosisofthepresentstate Idenfification of options of enviromnental ifastucture andservices, eisting Least-cost analysis urban development and sector plans, related Strategy formulation environmIental risks and impacts, and possible - interventions. EnvironmentalAcdGn Plan * Carrying out a diagnosis of institutions with Sectoral pre-feasibility studies urban environmental management authority, Sectoral cost-effective options including policies, regulations, and capacities. Final assessments * Using a cost-benefit or cost-effectiveness implementation program framework to establish first-order estinates of the Pla.n ppation costs of environmental interventions and corresponding impact reductions. Feedback Monitoring and * Formulating a strategy that includes socially evaluation acceptable, long-term environmental quality goals; identificationandphasingofprioritysectoral actions to achieve the long-term goals; and needed policies, Projects tazdprogra= instruments and institutional development Policies Broad-based acceptance of the resulting strategy In stihlonol arrangements requires participation of all stakeholders in this process, including mechanisms for negotiation and conflict resolution. A suggested approachis to name preparng an urban environmental management a EMS manager to be charged with day-o-day strategy (EMS). The goal ofthe EMS is to accelerate of EMS er ot, supported by ay-today the improvement of environmental conditions ua steerin .. . . . ~~~~~~~~~cominmtte e, apublic advioy conmmite andtechucal cities, especially by integrating key aspects of urban wornggroupsi Sdvasn g d ominentshouldrequire policy and environmental management. The nggroups Strategy dmIppmtshouldrequ= objecfives are to establish long-term environmental betveen ne and twelve months. goals for the urban region; set interim enviromnental Urban Enmronmental Action Plan goals and objectives; rank polution control and other measures to improve environmental quality, corinpronioesure conincyaross identify pnority sectors for channeling investments, and recommend policy reforms, instrments, ad environmental media and across sectoral strategies. institutional arrangements needed to implement the Withln this framework, sectoral action plans need to EMS. The EMS process builds on existing sectorand be formulated to implement the EMS. These plans project work but emphasizes continuity in consist of both a sectoral development strategy and decisionmaling to implement agreed policies and a set of short and medium term nvironmental approaches. It should provide a decisionalking interventions, both corrective and preventive, for framework for public and private investments, while implementing the sectoral strategy. Then, an urban- recognizing that the investments will be primarily wide environmental action plan (EAP) can be 60 Rapid Urban Environmental Assessment formulated that combines needed actions in the staged investments spread over fifteen to twenty various critical sectors to achieve the objectives set yearswill be neededto reachtheEMS environmental forth in the EMS. qualitygoals. Successwilldependonsustainingboth The EAP should be developed using the same investments andinstitutionaldevelopmentprograms participatoryprocessforpreparingth-EMS.Itwould over the long-term. Procedures for long-term consist of the following elements: monitoring andevaluationareneeded, asarefeedback Status of the urban environment. A description mechanism into an iterative EMS/EAP process. of the existing quality of environmental media, the risk of environmental hazards, key envirornmnt- Case Studies for Applying the Methodology development interactions, and the setting for The case study approach was selected as the means environmental management of testing the methodology partially by default and - Optimal environmental quality. A summary of partly because ofthe advantages it brings to helping long-termurbanenviwnmentalobjectives,andintcrim identify appropriate urban environmental targets to be achieved. interventions.Thereisnounifiedtheoryforexplaiing * Possible scenarios. A presentation of the health andpredictingtedynaaicsoftheurbanenionm impacts, productivity effects and ecological Consequently, there is no rigorous, theory-driven consequences associated with different levels of methodology for conducting analysis in this fieldk environmental degradation. This could include a Still, there is a need to collect information, descrnbe business-as-usual case, a scenario based on interim observations, and suggest explanations for objectives, and a long-term/best-case sitation. t phenomenainanattempttoestablishaprctheoretical - The least-cost approach. A series of pre- cause-effect framework. Though second-best in feasibility studies that develop the alternatives that comparison with the more replicable and comprise the least-cost strategy in greater detail. generalizable techniques of theory-based inquiry, - EconomicandfinancialanlYsis. Anassessment the case study method is a valid research tool in the of the projected economic and financial costs and absence of theoretical guidance. benefits ofleast-cost strategy. The strategy could be This argument aside, preparing and co assessed as one singleproject or as a set of separate cases is aworthwhile approach to problem evaluation but linked activities. for several reasons. To begin, cases that focus an = Institutional analysis. An assessment of the previouslyunderexploredterritorycoilectknowledge managerial improvements, organizational that is based on experience; as lessons frmn practice arrangements, jurisdictional changes, training areacumatedandassessecdabaseofdatabecomes requirements, andsoforththatwouldbenecessaryin available for developmg theories. Next, cases allow order to implement the strategy. for observation of a wide range of variables, their * Implementationprogram. Thecosted, scheduled interactions, and the outcomes of this interplay. and coordinated core of the action plan that covers Tird,theyprovideanopportwitytotesthypothescs issues such as financing, institutional responsibility, in anumberofdifferent stfings. Finaly, case studies tnningofmvestments andpolicychanges,moitOrng, haveanon adiccvalue:becausecasesarederived .evaluation, and public participation. Preparation, fromexperience,yaremorereadilyunderstoodby reviewandcompletionofthisplanwouldtakcbvtwcen practitioners whoare responsiblefr shaping policy one and two years. prioritizing problems, and implementing solutions.8 Sstuaned in estment Program CntenaforSecfion The EMS/EAP process results in priorities for If the case study method is to be used, then how investmrents in pollution control and other measures should one select the individual cases? Criteria for to improveurbanenviromental quality,whicharein selecting the cities were derived from several simple turn incorporated in a mnltiyear economic plan. assumptions: Implementationofasectorinvestmentpackagemust - Transnational generalizations will require be supported by the corresponding policy reforms evideace from diverse geographical, political, and and institutional, legal andfiscalprograms resulting eonomic settings. fromtheEAP. Dependingonbudgetconstraints and * Urban enviromental problems vary according current environmental conditions, a succession of to the level and distribution of a city's wealth. Leitmnan 61 * These problems also vary depending on the The Case Shtdies Chosen structure and location of a city's economic base. These criteria were combined with a resource * Megacities have different and more complex liitaionto sectsix ities and one urbanizingarea: systems formanaging environmental problems than Accra (Ghana), Jakaa (Indonesia), Katowice smaller ones. (Poland), Sl Pa ulo (Brai). -anjin (China), Tunis * Rapiddataeollectionandanalysis aremorereadil~ o~, aulo (Bai) .ini (Cia ui .. Rapidda.a.o.. etimandanalysism-emoreradily (Tunisia), and the Singrauli region (India). Though achieved in cities where work of a related nature is Singrauli isnotacity, itwas selectedfortwo reasons: already taking place. first itis agoodexampleoftheurban environmental Thefollowing criteniaflowfomthese assumiptions: shadowthatcitiescastonte hinterland (intis case, (a) the cities should be selected from different enviromental degradation from urban demand for continents, cultures and political systems; (b) they electricity and, secondarily, coal); and second, it is a should reflect different levels of per capiCa p 'lUt rapidly urbanizing regio that has a special set of with varymg degrees of poverty; (c) they shouldbe enviromental problems. Table 6-3 presents characterized by different stages and tpes of ifornationontheseseveareas,organidaccordig industrialization; (d) both large and smaller cities to the selection criteria presented above (a-e). should be included in the sample; and (e) baseline The abilty to tie into related work was crcal for data should be available fiom ongoing activities in m in each city. For Accra, the cities so that primayrearch can be minimized. information had been developed from the UNCHS Table 6-3 City Chancterisfics by Criteria Criteria Accra Jakarta Katowice Sao Paulo Singrauli Tianjin Tunis Diverse Africa SE Asia Europe S- America S. Asia NE Asia N. Afica geography Diverse Military/ 1-party/ Democracyf Democracy/ Democracyr! 1-party/ Multi-party! political! dereg to dereg to former market regulated socialist market economic market market socialist economy market economy economy systems economy economy economy economy Diverse income level O350 850 4,475 2,540 340+ 380 1,260 (USS per capita) Diverse income level 48 17 2 37 47 6 18 (percentage in poverty) Diverse Low/ agric. Medium! High! heavy High/ High! High! Medium/ industrial products manufct. industry wide-rangc mnng and wide-range manufact level/base energy Diverse cty size (metro. 1,565 16,828 2,180 16,938 696 8,660 1,558 pop. 000) Related UJNCHS MEIP city; Local CETlSB; EdF EIS; IBRD UNDPIWB work Structure SEI; 1RD research NGO woad TCP study, loans EPM; Plam; SEI; Jabotabek institutes; SEI; IERD IBRD NEAP; NEAP; I-m 13RD Emv. loans review -IBRD loans I13RD Urban mngmt loan I&th Source: The author. 62 Rapid Urban EnvironmentalAssessment (Habitat)-supported structure planning process, comments on each of the three components known as the Accra Plaiing and Development (questionnaire, profile and consultations). Briefly, Programme, preparation of Ghana's national the advantages of the general approach are that it is environmental action plan, the Stockholm rapid, costs relatively little, centralizes diverse Environment Institute (SEI) urban household information, and benefits from local access to environment study, and through the World Bank's information. On average, the three-step rapid firsturbanprojectin Ghana(completedin 1991) and assessment required six person-months of efforts second urban loan (initiated in 1991). For Jakarta, over a period of five to nine months. The local costs related work included activities of the UNDP/World for research, writing, and organization of the Bank MeLropolitan Environmental Inprovement consultations ranged between $16,000 (Accra) and Program (MEW), the SEI study, and the World $27,000 (Jakarta) per city. The research and public Bank's First (1988), Second (May 1990) and Third discussions led to the centralization of a wide range (June1990)JabotabekUrbanDevelopmentProjects. of environmental information in one place for the ForKatowice,envirormentaldata hadbeencollected firsttime ineachcity. Involvinglocal researchers and by a number ofnational and local research institues institutions facilitated access to information and in Poland, and the World Bank's environmental decisionmakers for a varieLy of reasons (knowledge management project (1990). For Sio Paulo, urban of the local language(s) and culural practices, past environmental work had been conducted by the Sao experience with the subject matter, relevant Paulo state environmental company (CETE SB), organizations and individuals, and established nongovemnentalresearchorganizations andthecity reputation in the field). govenment, the SEI study, and a number of World On the other hand, the general methodology also Banksectorloansoverafifteen-yearperiod(industry, had a number of disadvantages. The first limitation pollution control, water supply, sanitation). For stems from an intrinsic part of the process: the Singrauli, enviroental information had been methodology generates purely descriptive developedthrough anumber of studies intheregion: information. It provides some guidance as to what a enviromental impact assessment prepard by mightbeapriorityproblembutlittletonoindication Electricit6 deFrance; anenvirmentalrviewby the as to what might constitute the range of possible IndiarTownandCountryPlanning Department, and solutions. Second, the approach relies on existing an ongoing World Bank environmental planning sources of information. By using secondary data, study. In anfjin, environmental and background results (numbers, analyses and discussions) are informationhadbeendevelopedaspartoftheWorld confined by the range and quality of work that has Bank Light Industry Project and the Urban already been done. However, the methodology Development and Environment Project Finally, in identifies gaps in knowledge. Third, results cannot Tunis,theassessmentcoulddrawonworkoftheUNI alwaysbeusedforcomparisonbetweencitiesbecase World Bank Environmental Program for the the informationappliestodifferenttimeperiods,was Mediteranean, the national enviromnental action derived in a different manner, or is based on a plan, and a range of World Bank lending operations different samnple. ibrurbandevelopment, watersupply, sewerage,flood Narrowmg t critique to each step ofthe process, protection, and tasportation, the benefits of the questionnaire are that it is a straibhtforward guide to gathering a comprehensive Lessons for Fhtute Research set of data on a paricular city or metropolitan area; The research described in this chapter yielded bringstogetherdatafrommanydifferentsourcesand observations on process as well as substance. This allows for intra- and intersecoral comparisons that information can be divided into two categories: (a) are often not possible from a singlc source of the utility of the research methodology, and (b) areas information; and can serve several usefil purposes, that would benefit fiom further inquiry or different for example, generating information for preparing research approaches. the profile, the consultations, and inter-city comparisons. On the negative side, some of the Adtorages andLimint of the Methiodolog- questions were subject to misintepretationL A good The benefits and disadvantages of the overall deal ofeffort wtinto corectng these errors andfor methodology will be reviewed first, followcd by explaining the meaning and means of aswering Leitmann 63 particular questions. Also, in each city, certain data linkedto the developmentofanurbanenvironmental were simply not available from secondamy sources. management strategy. This meant that the question or table was left blank, that conversion factors from other cities were usedto Direcionsfor Futue Research calculate values (with uncertain degrees of err), or The following topics arc fnuitful areas for futue that prinary data should have been collected research(presentedinnoparticulaorderofpricnrity): (unfortunately, funds were not available for this - LindngHealthEffectswithEnWronmenntalCon- option). ditions. In all of the cities exceptKatowice, there was The benefits of preparing the profile were that it relatively little information on the cause-effect summarized information on causal relationships relationships between environmental problems and between environmental qualiLy and development their human health consequences. Useful activities and on the institutional dimension of urban epidemiological and other analytical work could be environmental issues that were not collected in the done on the emissions-dispersion-exposure-health questionnaire; brought together conclusions from impact pathway. reports developed in diffret sectors or over time - Valuing the Economic Costs and Benefits of that referred to a commnon problem; and served as a Urban Eniuronmental Activties. Reliable values useful background document for the consultations, for the productivity, amenity and other losses and government agencies, NGOs, donors, and others. gains associated with enviromental conditions and The principal drawback of the profile is that it is a hazards were not available in all of the cities. There static document Each will have a relatively short are many techniques for calculating the monetary Hftspanasnoprovisionsweremadetoinstitutionalize value of these impacts; they could be tested to the updating of the profile. There were also a set of deteine which are most appropriate for different practical problems, similar to those for the types ofproblems andlevelsofavailableinfomiation. questionnaire, concerning preparation of the * Alternative Methods ofAssessing Public Pri- document: information was missing; key reports onies. Consensus-orienteddiscussionisonlyoneof were notavailablein thecityorwerenotusedbythe several techniques for developing a sense of what local researcher(s); significant amounts of time and peoplthink is important Other approaches include: effort were required to explain paticular secltions revealed preference, contingent valuation and and review the draft information; and the qualty of wilingness to pay,9 classic public opinion surney the writing itself was often poor. In most cases, the research (see Beatty 1991; Egunjobi 1989), and revisedversion oftheprofileborelittleresemblance special models for discerning public preferences.'0 to the locally-prepared research These ould be tied in the same ities and compared Thhe consultations and town meetings had the withconsultationresults,orusedinconjunctionwth advantageofbeingflexble instruments for involving consutations in other cities. abroadspectrumofconcernedpublics. Becausethey * MatchingrJurisdctions with Ecological Boun- were organized localy according to local traditions, daries Moremfonnaionisneededaboutthereults, they generated meaningful discussion for the imitationsandmpporftiiesforcreatingormcxitia ng participants and allowed them to reach a consensus ititutions so that their area of responsibility in each case. However, since the method for amrving corresponds with the ecsystems that affected theLz at a consensus differed in each case (from subtle Research could be done on authorities in cities Of negotiation and polite acquiescence in Jakarta to a developingcountriesthatareorganizedaroundwater formalparliamentary-stvlesessioninSioPaulo),the basins, airsheds, waste management areas, abilitytocompareresults is limited. More importaatly, agricutural zones, sites of historic or cultural value, the consultation process ended with the final fonm. and so on. Theconsensus wasnotliinkedto any formal planing * Comparing Policy Instruments for Envron- or decisioninaking process (though the mayor's or mental Management Cities often adopt similar or governor's office was centally involved in each of differ policies to deal with the same type of the town meetngs). Thus, whatever momentum that envinenlprblem.Whydothesameordifiret was built up did not have anywhere to go; in many approaches succeed or fall? For example, both ways,theconsultationprocrsswasalostopportunity. Jakar and Sao Paulo are faced with degradation of This will not occur when the rapid assessment is theirmainwatme.sh Guided landandinfrasucture 64 Rapid Urban EnvironmentalAssessment developmentwas a fairlysuccessfulprotectionpolicy thdevelopgworlddurigthemid-1980s, butthecontent in Jakarta. Regulation and enforcenent of zoning and quality of these documents varied gatly, limifing have been near-complete failures in Sio Paulo. What heCr compability. fiLctors were behind thesc experiences? 5. These included: UN StatisticalOffice -Concpsand Methods of Enviromnent and Human Settements Statis- Notes tics-A Technical Report," 1988; European Economic Community Green Paper on the Urban Environment," 1. An example of this is the Population Crisis draft, 1990; World Bank 'SurveyofResource andEavi- Conmittec's analysis of environmental quality in the ronmentalAccountinginlndustrializedCottries, 1990; world's 100 largest metropolitan areas. An "urban living andUNEPAUNCHS 'Urban andRegionalEwnronmtl standard score" is developed for each city by combining Planning and Management Guidelines," 1987. scores on indicators of public safety. food costs, living 6. These included the questionnam on "The State ofthe spacejhousing,communications, education publichealth, Environment usedbythe OECDiEUROSTAT; the "City peaceand quiet,trafficflow,andlcanaIar.Thisapproach Date Framework" used by UNCHS; the ECE's forces theaotenarbita-yselection ofonevaluetoreprcst 'Experimental Compendiun on Envronmental Statistics acomplexindicator,forexample,publichealthisassessed in Europe and North America"; the questionnaire for onthebasisofinfantmortalityperl000livcbirths,which NUREC's Interational Stistical Yearbook of Large excludes consideration ofthe status ofadult mortality and Cidies; and the draftUNBP/IEO questionnaire to evaluate morbidity. A second methodological problem is that national hazardous waste situations. different data ae used for diferent cities to rank the same 7. For example, three roundtables (on water resource indicator, for example, air quality is mensured onthebasis problems andpriorities, airpollution, andhousing andLthe of ozone, sulfur dioxide, suspended particulate matter, or natural envionment) and two seminars (on hazardous nitrogen oxides. Third, i order to develop a table and waste and industial devclopment) werc organized to ranidngs without missing variablcs, the number of accommodate the large number of actors and to avoid indicatorswaslimitedtothosementionedabove,resulting duplication of previous consultations. In Silo Paulo, in the exclusion of important areas such as water quality, institutions andkeyindividuals were contactedseparately, open/green space, sanitation and industrial pollution (see trough both interviews and questionnaires. Population Crisis 1990). 8. Recently, these and other reasons provided the 2. For example, studies have been done on the linkages justification for a case-study approach to evaluating between enviromentandhealthin arrticularcities. Some environment-development linkages in rmal Africa (see representative titles include: Radhika Ramasubban and Blackwell, Goodwillie and Webb 1991). Nigel Crook "Mortality Toll ofCities: Emerging Patterns 9. This approach is being used by the Stodkholma of Disease in Bombay," Economic andPolitical Weekly, Envionent Institute's household enviromnent survey VoL XX No. 23, 1985; C. Hertzman 'Poland Healthand team in Accra, Jakarta, and Sao Paulo. Envirment in the Contxt of Socioeconomic Decline," 10. Several ofthes exist Arecent application, based on HealthPolicyRcsearchUnitReportNo. 90:2D, Vancouver, weighting and ranking the discussions and responses of University ofBntishColumbia, Januaiy 1990;PedroJacobi concerned publics, focuses on public priorities as they "Habitat and Health in the Municipality of Sio Paulo," relate to equity and efficiency in air quality (Davos 1991). Environment and Development, VoL 2, No. 2, October 1990;andOfficeofRousingamndUrbnPrograms "aking Referees Environmental Health Risks in Bangkok, Thailand," Amuzu, AT. and S. Leitrm 1991. 'Enviromental Washington, DC; USAID, December 1990. Profe of Acra." Draft. Urban Magemen1 t Pirogm.- 3. One of the first efforts in this area, the Hong Kong wasiigon, Dc. Human Ecology Progamme, is a good example of this Bartone, Carl, Janis D. Bemstein, and J. Leitmann. 1992. limitation. It was initiated in 1972, field work was 'Environmental Strtgies for Cities: A Frmeworkfor completed in 1975, analysis was completed in 1980, and Utan Enronmentail Management in Developing the results were published in 1981 (see Boyden and o Countries." Draft. Urban Management Program. 1981). Wahntn, DC. 4. Forexample, the UnitedNations has colecteda set of Washlngton, DC. data for omr 100 citics internationally. (United Nations BEatty, Kataleen. 191. "Public Opinion Dlata for PopulationFund. 1988. Cities: Statistical. Administrative prings." Environmental Impact Asessment Review andGraphical Info mation on the Major UrbanAreas of 11:29-51. Oae World. Barcelona; Institut dEsEtudis Metropolians de Blackwell, Jotan, Roge Goodwille, and Richad Barcelona, 1988). However, most of the data are quite Webb. 1991-Evromnent andDevelopmentinAfricw geneal and do not allow for any dletaled environmental snantss Ie Scolle pr3et anivrsiy f Trono) SekcedsCaseStudies.EOMGMmicDevelopnmetlntt analysis. The '¶Ecovile. project (University of Toronto) Analytical Case Study 6. Washington. DC: The World generated a nunber of eavronmental reports on cities m Rnlc Leiionns 65 Borlkcwicz, Jeny. 1991. 'Enviromnental Profile of Urban Management Program. Washington, DC. Katowice." Draft. Urban Management Program. McCamey, Patricia. 1991. Draft Terms of Reference for Washington, DC. Local Consultants Working on 'World Cities and Boyden, S., S. Millar, K Newcombe, and B. ONeilL Environment A Five City Consultation Process."' 1981. The Ecology of a City and Its People: The Case CentrcforUrbanandComnunityStudies,Universityof ofHongKong Canberra: AustralianNational Univeity Toronto, Canada. Press. McNeil, May. 1991. "LocalConcemnsVoicedonUrban Davos, Clitmis. 199 1. PublicPriorities forEvaluatingAir Environment" The Urban Edge 15(6). Quality Management Measures." Journal of Nirody, Anita. 1992. "Environmental Profile of the EnvironmentalMazagement 33: 205-267 Singrauli Region of India.' Draft Urban Management Egunjobi,Layi. 1989. 'PerceptionofUrbanEnviroomental Progrm. Washington, DC. Problems: APilotStudyoftheCityoflIbadan,Nigeria." Population Crisis Committ 1990. "Cities: Life in the African Urban Quarterly VoL 4, 1 and 2 (Febnay, World's 10 LargestMetopolitanAreas."Wasbington, May). DC: Population Crisis Committee. Hadiwinoto, Suhadi, G. Clarke, andJosefLeitmann 1991. Socidt6 dlngtnierie pour le Dtveloppement Economique "Envirommental Profile of Jakarta." Draft Urban et SodiaL 1992. "Profil environnemental de Tunis." ManagemnentProgram, Washington, DC. Draft Urban Management ProgamL Washigton, DC. Leitmann,Josef. 1992.'EnvironmentalManagementand Urban 'Management Program. 1992. "Urban Urban Development in the Third World? PhD EnvionmetalIndicators QuestonaireY Washington, Dissertation. Berkley: ULniversity of Califomnia. DC: Urban Mangement Progam. 1991a."EnviromnentalPmfileofSioPaulo."DzafL World Bank. 1991. Urban Policy and Economic Urban Management Program. Washigt DC. Development:AnAgendafor he 1990s. A WorldBank -. 199lb. "Enviromnental Profile ofTiain." Draft Policy Paper. Wasbington, DC. 7 Applying Proven GIS Technique in a New Setfing: GAP Analysis in Costa Rica Basil G. Saitky, homs E. Lacher, Jr., G. Wesley Burne&, Jorge Falls, and Christopher Vaughan Overview integrationofdataonfeatures suchaspoints,line and T'he biological resource base in Costa Rica and other polygons. Others emphasize the informatfon within GIS, addressing the computer processes of data enty, developing countries is changig rapidly. There is a storage, retrieval, analysis and display. A few critcal need for timely information about the status of et eeovdt ecieteytmwti wildlf especies and tbirdistnbutionvwfiiUndchangig defimtions have evolved to describe the,astem mit hin widlfespcThies andtheir distu ex iterbntechangie GIS-that is, the modeling or decision-supportrole of ecosystems. This problem IS exacerbated by t:he transuational migratory behavior of wildlife and by the system. For example, Carter (1989) defines a thedifferencesbetwecnnationsinenviro potalplicy system as "an institutional entity, reflecting an and in enviroimmental data. organizational structue that integrates technology Costandiinwevronmetal forthis projectbeuseit dt with a database, expertise, and continuing finncial Costa Ricawas selected forthis project because It iS suorovrtm. - ~~~~~~~support aver time " well-studied, has an excellent system ofparks, and has the appropriate level of data and eperience in t inoerto have approprite expctato fmtand fields of remote sensig and Geographic I ,n investment made i GIS, it IS essetbial to nmderstand 1~ ~ ~~~~~~~~~~~~h the .1 . t componentsdescribed byDicknsnand Systems (GS).' IS is amnatturetechnologyconsisting Calkins (1988): technology (hardware and software), ofcomputerhardwareandcomputermappmgsoftwae data, and infrastructure (staff). Walklet (1991) that is becomirng more affordable, available and '. . . estauates that data costs consume 80 percent of the powerful. The lementatonof anatonal biological GS bit If data aleady exist in digita fomat, then resources GIS for Costa Rica will provide capacity to this cost may be rcduced for some applications. analyze petinent considerations in habitat mapping Hvwever, this is rarely the case, particularly in assessment, and conservation, such as site seletion, ~ain~apiain.I otcss fotms siWorshavereauircineutst,and oal applications. In most cases ceort must ,inimumsizt ,.savereawrements .n imetbvity. be allocated fordatacollection andverificafion. Whe By establishng priorities for conservation areas, G1IS can be used to incorporate existing digital geographic mnapped data exlsts i cartogrhic format, it mUst be dtfromvarious sources at variable scales GIS also converted to digtl format-cthermanuaflytraed or data fi-om . - automaticaly scanned and interactively edited. Two providesrapid analysis fnumrous spatiaparaters otherdatasourcesusedin thisprojectarcsatellitedata concurrently and is easier to usefor map updating of and ficld data collected using Global Positioing dynamic data. System (GPS) receivers. GIS is also a useful tool for GIS integrating all of these data sources and for reahing GIS has emergedas a pisingtoolfren i al new levels of analyical capabilities. Further, GIS can planning audhas attracted grwng attention. Abroad be useful in catalyzing avenues of interagency understanding of GIS is critical to the successful Somtin implementationofasystm,particularlysinceitoffers Sometimes, the process of automation is more great potential for natral resource management and sigmficant fhan le finmal product an order to produc herdoreruns ffierskofraisinginflatdexpectations- maps for decisionmakers that are meaningful and These differing expectations are refleted in the reliable, agencies are forced to develop standards, nmherous definitions of GIS (see Maquire 1992). decide which data are truly worth automatig, and Some stressthegeographywitbinGIS,relafing issues pioriie funding for future data improvements. This such as geographically referenced data, spatially level of communication and cooseatincag n extend indexed data (Hassan and Hutchinson 1992), and muchfurtherthansimpledatsharng 66 Saviisly Lacher, Burnett, Fallas and Vaughan 67 GapAnalysis Gap Analysis in Costa Rica Gap analysis is a GIS techniquethatcorrelates species Costa Rica is one of the most data-rich among the distributions with boundaries of ecosystems and developingcountries andshouldserveasameaningful protected areas to identify efficient linkages in the caseintheintemational ipleientationofgap analysis. conservationnetwork Gap analysis provides a method More significantly, othercountrics in Central America for assessing present measures to protect biological are comparatively data-poor, and the extension of the diversity and for identifying focus areas for optimal gap analysis model to a regional fiamework could conservation efforts (Scott and others 1987). Gap enhance databases for regional and global studies. analysis is defined by Davis and others (1990) as a This project is testing the hypothesis that a gap search process for biotic communities and species in analysis model at the national level for Costa Rica, need of preservation management GIS is used to using available digital and cartographic holdings and overlay maps or layers that are geographically satellite imagery, provides new insights into the referenced toeachotherand to createnew information development of national priorities for biodiversity through the combination of those map files. The conservation. In order to test te hypothesis, GIS will various data layers include information on the be implemented for an analysis ofbiological resources distribution of features across a broad spectrm of data in Costa Rica The evaluation of available data disciplines: biology, pbysical geography, resource sources will facilitate the establishment of data management, and rural sociology. Thus, gap analysis rcquirements for the intermational application of gap is atoolthatforces sndardizationandcommunication analysis. Theresearchobjectivesinthisprojectare: to between scientists of various disciplines-a concept identify and place in digital format exisfing data on which is gaining popularity in the environmental geographic distributionsofselectedimportantwildlife management dialogue between scientists and policy species; to generate land cover and vegetation maps analysts. using satellite imagery at three levels of spatial Although there is curntly little published on gap resolution-30 meters (m), 80 m, and 1 kldometer analysis, it is receiving a high level of atetion fiom (km); tocombinethewildlifedistributiondatawiththe conservation agencies and organizations. It is vegetation/cover data and with digital maps ofpublic considered politically attractive for several reasons protected areas to idntify gaps in the conservation Gap analysis is an effective tool for decisiomnakers network; and to develop an automated decision and policy analysts because it clearly maps out frameworkforprioritizinglandareasforconservation conservation priorities and the path used to rcach and sustainable development those priorities. Gap analysis results can be combined fD with economic development needs as constraints or opportumities in geographic selection of sutainable The amount of available baseline data is small development projects. In addition, gap analysis has a compared to the number of species that remain good track record. It is being utilized in the United unidetified or poorly shtdie However, it is beyond Statesinldaho,Califomia,Oregon,Utah,andHawaii; the scope ofthe study to utilize all the data published andGIS operationsarebemgsupportdbytheNational for Costa Rica. The purposeoftheprojectis to identify Ecology Research CenteroftheU. S. Fish and Widlife those species that can be utilized effecfively in gap Service (Scott and others 1990). Davis and others analysis.Thecombinatonofwildlifedistibutiondata (1990)describeproposedU.S. legislation(H.R. 1268) layerswithother datalayersforms thebasis ofthegap that would establish aNational Center for Biological analysis model. Diversityand nin Research.Amajoraspect The extent and quality of species distribution maps oftheproposed legislationis the synthesis ofavariety are highly variable. Range data are more readily of data sources of varying scales in GIS format to availableformammals suchasprimatesorspeciesof performgapanalysis.Thus,gap analysisislflklytobe birds, having special interest groups such as parrots. a focal technique in biodiversity and sustainable Reptile, fish, insect, and plant range data are not as development research in the future. However, gap well documented. Studies performed on the scarlet anabsis has been demoated only in the United macaw(Vaughan,McCoyandLiske 1991), andon the States, whe data is readily available. The tedhnique colared peccary (McCoy, Vaughan, Rodriguez and remains untestd where different data availability Kitchen 1990) indicate the level of effort requied t conditions prevail. provide good data on individual species. 68 Applying Proven GIS Technique in a New Selting The entry of available biodiversity data into a GIS have been analyzed in the Yucatan (Green and others format will be based upon previously collected 1987) and the U.S. National Aeronautics and Space vertebrate range data and existing data on endangered Administration (NASA) has done extensive analysis species. Species data mapsprcpared by the Universidad in Costa Rica (Sader and Joyce 1988), but most of Nacional on nineteen species (Vaughan 1983) are Central America remains unmapped. being updated through field visits and interviews. In order to provide acomprehensive vegetation map Distribution data for game species and select at a meaningful scale and data volume, AVHRR endangered species are being added through the satellite data are being analyzed Although AVHRR combination of field interview data with the digital provides a spatial resolution of 1 kin, Kerber and data available from the Instituto Nacional de Schutt(1986) reportthatinaLevel 1 landcover study Biodiversidad (INBIO) in Costa Rica. Maps for each (offorsts and agriculture andurban areas) performed ofthespeciesarebeinggeneratc.datascaleof 1:200,000 forthe ChesapeakeBay area,classificationaccuracies for their distribution throughout Costa Rica. were increased by only 5 percent when the 80-meter MSS dataclassificationwas comparedtotheAVHRR imageAnlsis classification. Successinvegetationmappingofthe RemotelysenseddataprovideanoperationalGISwffi Nile Delta (Tuckcr, Gatlin, Schneider and Ruchinos timely and synoptic data. Remotely sensed data are 1982) and in land cover mapping for Africa (Tucker, vital to the project because they provide a means for Townshend and Goff 1985; Justice, Holben and updating existing vegetation maps and perlForming Gwynne 1986) indicate that AVHRR classificatin regional vegetation mapping. shouldprovideameaningfixlvegetationmapforCosta Tbree types of satellite data are being utilized: Rica A country the size of CostaRica (51,100 kin23 Landsat Thematic Mapper (TM), Landsat would populate a vegetation database with Multispectral Scanner (MSS), and Advanced Very approximately 50,000 points. AVHRR is a good Hiigh Radiometic Resolution (AVHRR). Although medium-resolution alternaive to MSS, particularly if eachofthe sensors varyinspectral resolution (number the techniques in this project are extended to the of bands) and in tmporal resolution, the prinary remainder of Central America or to other regions, difference in their utility in vegetation and land cover because the size of the AYHRR dataset is mapping lies in their spatial resolutions. The TM has approximately 1 percent as large as an MSS dataset a spatial resolution of 30 m, while the MSS has a for the same area (Hastings, Matson and Horbitz resolution of 80 in Spatial resolution of the AVHRR 1989). is 1 kmL Each of the three types of maps generated In assessing the utility ofcoarse resolution satellite through the image classifications require different data, Rollerand Colwell (1986) list several benefits of levels ofground tithgandverification. Ifcalibration synoptic sensors such as AVHRR and Coastal Zone between the various stages is achieved, then a finer ColorScanner(CZCS).Thesebenefitshaveimmediate database can be used, in part, to train and verify the savings for the global modeling community if certai coarserlevel. Thecalibrationofcoarseresolutiondata compromises in spatial resolution can be accepted. todataofhigherspatialresolutionshouldenhance the The acquisition of a single database acquired at one level of information extraction from the coarse time eliminates the need to merge and edgematch resolution data. Thus, the application of satellite numerous adjacent images. It is often easier to obtain imagerywiUlbeinprovedtiroughthei plementaton cloud-free or cloud-reduced imagery with the higher of a method and data source that is more rapid, lower temporal repetition available with coarse resolution in storage and processing requirements, and more sensors. Itis possible thatmulti-tempoal analysis can cost-effective. compensate forsome ofthe information loss associated Vegttionmappingisommoalyperfmedutilizing with decreased spatial resolutionL satellite imagery analysis techniques. Although the Roller and Colwell (1986) cite two cases in the use ofremotely sensed data is becoming more widely United States where resource inventories have been practiced, it is an expensive technique because of the shown to be effective using a combination of cost of satellite imagery. Staff specialists and inage stratification and calibration techniques. Regional interpretation software and hardware arerequired As trends were depicted in Wisconsin surface water a result very few areas within Central Ameica have mappingusingCZCS,whileselectareaswerecalibrated existing satellite classification maps. Landsat scenes using LandsatMSS data. Extrapolating the datato the Savilsky, Lacher, Burnell, Fatios and Vaughcn 69 state of Wisconsin resulted in totals comparable to higher spatial and spectral resolution data to increase aerial photo interpretation techniques (within 7 the efficacyofthe lower resolution data. Likewise, the percent). In an inventory of irrigated agricultural land morc expensive data would have to bc acquired for in Nebraska, AVHRR data were used successfully in those areas where gaps in the lower resolution data conjunction with MSS photographic prints. occur. Amajorfocalpointintheassessmentofintemational data sources is anevaluationofthe threcdistinctimage 1i51ngProtectedAreas sources for vegetation mapping. It is hoped that the The GIS overlay process identifies the gaps in the integration of two or more of the sources will provide conservation network by adding the map layers on ameaningfil andcost-effectivemechanismtoperform wildlifedistibutiontomap layersonvegetationderived regional analyses of vegetation. There are vanous from imageanalysisandboundariesofprotectedareas. trade-offs in relying on any one of the three data The term protcted ara includes a full range oftypes sources, and it is not known to what degree e three of geographic entities set aside for various pwposes. can be used synergistically. The quality of individual conservation areas wil vary The most obvious factor in weighing the trade-offs according to the tpe of protected area (national park among TM, MSS, and AVHRR data is cost. The versus forest reserve), the funding allcated for higher spatial resolution TM data are much more management ofthe reserve, and the conservation ethic expensive, currently US$4,400 per scene. Historical and development pressures associated with the local MSS scenes (older than two years) are available for and national political geography. The International $200, and AVHRR data costs $80 per scene. It also Union for Conscrvation of Nature and Natural requiresmoreTMscenesthanrMSS orAVHRRscenes Resources (IUCN) 1982 list for Costa Rica includes to cover the same geographic region. Thus, coverage two intemationalbiospherereserves (728,955 hectares for Costa Rica using AVHRR costs $80, while MSS [ha]),thirteennationalparks, fourbiologicalreserves, costs $1,200, and TM costs $27,600. a national reserve, awildlifi sanctuary (317,113 ha), In contrast, the better spectral resolution of TM twenty-four anthropological reserves (295,338 ha), makes it more attractive, because classification maps and seventeen forest reserves (335,273 ha). produced from analysis of TM imagery yield a higher To assess the functional linkages between the numberofclassesthaneitherMSSorAVHRRanalysis biosphere reserves and the other protected areas, can produce. Ongoing TM imagery analYsis at tbe classification criteria are being established and Universidad Nacional for the Guanacaste region is employed in the gap analysis for Costa Rica. The generating approxmatcly flirty-two vegetation and criteria will result in a ranldng of protected areas as land cover classes. A comparable analysis applying well as an identification of economic and political MSS or AVHRR data is expected to produce only six realities which can be contradictoxy to the mission of classes. The degree to which gap analysis can be the park. performed using fewer classes than is possible with ItisnotsufficienttomeeJyidentifytheboundaryof TM data will be assessed. aprotectedarcaindigitalformatwithoutanassessment One problem with most imagery in the tropics is oftheconditionoftheboundary.Edgescanbefrontier, limiteddata availability due to extcnsive cloud cover. fenced, or an imaginay line heeded only on paper. In order to build a national coverage of Costa Rica Schonewald-Cox(1988)makes acaseforthecondition using adjacent MSS scenes, it will be necessary to oftheboundaryofapreserveasindicativeofthchealth acquire three different dates of one of the scenes to oftheentirmpreserve,analogoustatheconditionofthe overometheproblemofcloudcoverindifferentparts sldn of anorganism. Clarifying the boundary health of of the scene. It is not yet cetain that a national a reserve would enhance the -gap analysis model composite map can be generated using AVHRR, significantly,butmorerealistically,suchavalueisnot because ofthehigh cloudcoveratthetimeofdayofthe readilyavailableandis morelilcelytobe aresultofthe satellite overpass. In contrast, forty-four TM scenes overlay of the protected areas layerwith data from the were identified as having 20 percent cloud cover or demographic layers. less. Baseline dataonprotected areas arepresentlybeing I it is possible to integrate the three different placed in digital format as part of the Food and satellite sources, astratifiedapproadhmaybe employed Agriculue OrganizaionoftheUnitedNations' (FAO) in regional mapping This approach would utilize the Tropical Forests Resource Assessment Additional 70 Applying Proven GJS Technique in a New Selling digital data will be acquired from the United Nations output from the gap analysis model to other data and Environment Programme (UNEP) Global to the related issue of sustainable development, an Enviromment Monitoring System (GEMS) Global information system process allows concurrent Resource Information Database (GRID) (Croze and examination of the issues linking environmental and Gwynne 1988), and from the IUCN Conservation developmental modeling. Monitoring Centre (Pellew and Harrison 1988). Physical and demographic map layers are two Boundaries of protected areas are being labeled categories of data used to enhance the gap analysis according to unit name and finction (park, forest, or model andto apply themodel inidentifying sustainable wildlife sanctuamy). development project areas. The physical database Duingthimplementationofthegapanalysismodel includes climatc, elevation, soils, and hydrological at the national level for Costa Rica, only that portion data. These data are typically available in digital ofthenationcoveredintheTMimage analysisisbeing format at exremely general scales for regional studies utlizedinthefirstiterationoftemodeLUndemtanding (1:10,000,000). Most of the data in these data layers of geographic phenomenon is strongest at the highest are being transferred from traditional cartographic spatial resolution. In addition, a portion ofthe ounmty products andplaced in digital fonmat (digitized). This is intentionally being left for later examination at the is a time-consuming process and is slowed further by national scale, so that an unbiased evaluation of the theneedtocolectmapsofdifferentnationalpublication model's performance at the national scale can be sources of varying qualities and scales. Soils maps made. There are numerous geographic issues thatwill ex7st for Costa Rica at a scale of 1:100,000 and siope be assessed atthis phase. For example, doesthemodel and geological maps are available at a scale of identifythe gaps inthe conservationnetworkthatthe 1:200,000. Costa Rican team members know exist? Are new The demographic database is designed to identify areas identified? Are the new areas valid? How wl general human impacts on the ecosystem. It is doesthemodelhandledistrilutionsofrivcrinespecies, composed of the locations of urban areas, smaller such as crocodilians? How does the number of areas human settlements, and transportation infrasucture. identified in the model vary as spatial resolution Data on the locations of indigenous populatons are (vegetation layer used) is changed from 30 mto 80 m beingincludedbecausethatinformationisparticularly to 1lan? Howdoesthe absolutegeographicdimension significant in the identification of sustainable of specific areas identified vary when using the thr developmentprojects, the preservation of bufferareas pixel sizes? around wildlife sanctuaries, and the assessment of lm,p;ementng GIS in CDta Rica human disturbance to reserves. Costa Rican map coverage ofthe road systemand ofhumanpopuations TurningtheGISintoanautomateddecisionframework are available at 1:200,000 and 1:50,000. One project moves the gap analysis model from the theoretical performed by Environmental Systems Research mode to implementation in a resource management bIstitute, Inc- (ESRI) forthe DefenseMappingAgency environment. The decision framework is the computer (DMA) provides digital data useful for the hunman programming associated with replicating the various geogmphydata layers at the scale of 1: 1,000000. The- steps in the gap analysis in a "user-friendly" manner. Digital Chart of the World (DCW) project is based on Documentation of the data flow between vaious 270 map sheets providing global coverage of the programs in the model is necessary in order to change DMA Operational Navigational Charts (ONC) series variables or weights in the gap analysis model and to commonly used by airplane pilots (ESRI 1989). The use the model in an operational setting. DCWdataprovides agoodframeworkforth regional The significance of the project extends beyond database as well as for transportation and humnan eciromnentalbeefitsbecausetheGISinthisproject setlement systems. General land use trends will be provides a framework that includes both ecosystem generatd fromthe combination ofthe DCW data with and land use data. It is an ideal technique for the AVHRR vegeation/land cover data. strengthening understanding of the interrelated We expect that a strong spatial correlation will be processsofconservationandsustainabledevelopment indicated between the physical data collected in this Not only are areas of habitat conservation identified task and the output fiom the gap analysis model andranked,butalsopotentiallocationsfor sustainable Consideration will be given to whether these data development projects are identified By relating the shouldbcieiudedinthegapanalysismodeltoenhance Saiyt*, Lacher, Burnett, Fallos and Vaughan 71 its accuracy oriimproveitsefficiency. Theavailability Notes of the physical data will bc wcighed against the of th phyical ata ill b weihed aains the 1. This research was supported under graint No. HRN- difficultyofachievingaccuratevegetationmappingin 5600-G-0O-2008-00, Progrm in Science and Technology order to assess whether the physical data can be used Cooperation, Office of the Science Advisor, United States instead of the vegetation data in special cases. The Agency for International Development identification of sustainable development project locations is a process that begins by maskdng out all Refences geographic areas that are urbanized. Then an ctJR l989."OnDeteGeograpiclnoxiauon asscssment is made of the role ofthe various types of System." In W. Ripple, ad., Fundwnenals ofGeographic roads in the transportation network in economic Infonnation Systems: A Compendium. Falls Church, VA development. Buffers are drawn around arcas that are (USA):American SocietyofPhotogrammetuyandRemote impacted by negatively scoring highways. Mining Sensing. developments ar considered in a similar fashion. The Croze, H., and M.D. Owynne. 1988. 'The GEMS/GRID areas not suitable to sustainable development are Toolbox." In V. Martin, ed., For the Conseroaion of subtractodusingstandardGIS tcniques. Areas around ardlh, Proceedings, 4th World Wildemess Congress, s.rtdugtnaGSte u . .Denver, Colorado. indigenous populationcentersandconmnmitieshaving Davis, F.W., D.M. Stoms, j.E. Ests, J. Scepan, and 1MU appropriate population densities are added to a map Scot 1990. "An Infor ation Systems Approach to the generated by creating a buffer around protected areas Preservation of Biological Diversity.' Internationar (excluding the protected areas themselves). The Journal of Geographical Information Systems 4(1):55- intersection of te two maps contains areas worthy of 78. examination for sustainable development projects Dicinso, IL. and [W. Calkins. 1988. "The Economic associated with human-biosphere edges and EvaluatonofnmplementingaG IS . InterationalJournal interactions, of Geographic Inform7ation Systems 2:307-3 27. * ~~~~~~~~~~Envhiconmtal Sysms Reweach Institutc (ESRD. 1989. Conclions "ESRI Awarded DMA Contract for Digital World Database Project"ARC News 11(4):1-2. Gap analysis is a technique that is timely for policy Green, KM., JY. Lynch, J. Sircar, and L.S.Z Greenberg. developmentinconservationgeography.Theprospect 1987. "Landsat Remote Sensing to Assess Habitat for fortheinrnationalapplicationofgapanalysisappeas Migatory Birds in the Yucatan Peninsulsa, Mexico.- good since it is technically feasible. Examination of ['ida Silvestre Neotropical 1(2).:27-38. datasouecs y te for mjorcateotis (wldlfe, Hassan, Hiassan M., and Charles Hutchinson, eds. 1992. data sources by the four major categories (wildlife, Naturol Resource and Environmental Information for vegetation from satellite imagery, protected areas, and. Decisionmakoing. Waslington, DC: World Bank physical/demographic)imdicatesthatmuchinformation Hastings, D., M. Matson, and A.H. Horbitz. 1989. iscummtlybeingplacedindigitalformatoris available "AVHRR" Photograumme*ricEngineeringtndRemote in traditional cartographic media. Sensing 55(2):168-169. Thesatellite-derivedvegetationmap shouldserveto IntetnaionalUnionforConservationofNatureandNatural ;ntegrate avariety ofdata sources anddata layers. We Resources (IUCN). 1982.IUCNDirectorvofNeotropaicl will determine which sensor system affords the most ProtectedAreas. NJCN ComDub sion co Natieonal Palks meaningftu andcost-effective scale forthat integration. and Protected Areas. Dublin: Tycooly Intetional Available species distribution data used to generate Justice, C.O., BR Holben and M.D. Gwynne. 1986. the gap analysis studyfor Costa Rica shouldfacilitate -Monitoring East African Vegetation Using AVHRR the identification of geographic areas and specific Data." International Journal of Remote Sensing species that warrant additional research. 7(11):1453-1474. The results of the gap analysis also should provide Kerbr, AG., and J.B. SchutL 1986. "Utility of AVHRR the scientific community with conservation datahat Channels 3 and 4 in Land-Cover Mapping." are helpfiul in bridging the continuum between Photogrammetric Engineering and Remote Sensing environmental science and environmental policy and 52(12)18271833 enviErormental siedunerand envirf oentl policytand Maguire,D.J. 1992. "An OverviewandDefinitionofGIS." law. Inceased undrsanIn-g of regional database JIKDlJ. MagiwU F . Goodohils,and D.W. Rhmnd, ds., construcfionanddataqualityisvitaltobettermodeling Geographical Information Systens: Principles and of regional and global change and impact assessment Applications. Eassc Longman GroW United Kingdom 72 Applying Proven GIS Technique in a New Setting Limited Groves, 1990. Gap Analsis: Protecting Biodiversity McCoy, MBD., C.S. Vaughan, M.A. Rodriguez, and D. Using Geographic Information Systems. Workshop Kitchen. 1990. "Seasonal Movemcnt, Home Range, Handbook, University of Idaho, Octooer 29-31. Activity and Diet of Collared Peccaries (rayassu tajacu) Tucker, C.J.,J.A.Gatlin, S.R. Sdmeider,andlM.A. Ruchinos. in Costa Rican Dry Forest" [Ida Silvestre Neotropical 1982. -Monitoring Vegetation in the Nile Delta with 2(2):6-20. NOAA-6andNOAA-7AVHRRImageiy." Proceedings. Pellew,R.A.,andJ.D.Harrison. 1988."AGlobalDatabase International Symposium of Remote Sensing of the .on the Status of Biological Diversity: The IUCN Environment Cairo, Egypt, January 19-25. Perspective." In H. Mousey, ed., BuildingDatabasesfor Tucker, C.J., J.R.G. Townshend, and T.E. Goff. 1985. Global Science. Philadelphia, PA: Taylor and Francis. "African Land-Cover Classification Using Satellite Roller,N.E.G.,andJ.E. Colwell. I986.' Coarsc-Resolution Data." Science 227(4685): 369-375. Satellite Data for Ecological Surveys." BioScience Vaughan, C. 1983. A Report on Dense Forest Habitatfor 36(7):468-475. EndangeredSpeciesinCostaRica. EditorialDepartment Sader, S.A., and &T. Joyce. 1988. "Deforestation Rates Universidad Nacional, Costa Rica. and Trends in Costa Rica, 1940 to 1983." Biolropicu Vaughn, C., M. McCoy, and 3. Liske. 1991. "Scarlet 20():11-19. Macaw (Ara macao) Ecology and Management Schonewald-Cox,C.M. 1988. "Boundaries intheProtection Perspectives in Caram Biological Reserve, Costa Rica." of Nature Reserves: Translating Multidisciplinary Proceedings, iMesoamerican WorkshoponConservation Knowledge into Practical Conservation!' BioScience and Management of Macaws of the Genus Ara, 38(7):480-486. Tegucigalpa, Honduras, January 4-7. Scott, J.M, B. Csuti, J.D. Jacobi and 3.E. Estes. 1987. Walklet, Donn C. 1991. "The Economics of GIS: "SpeciesRichness:AGeographicApprcachtoProtecting Understanding the Economic Motivation and Future Biological Diversity." BioScience 37(11):782- Requirementswhich Justify the Use ofGIS as a Practical 7P9. Solution for Environmental and Resource Planners." Scott, JM., F. Davis, B. Csuti, B. Buttefield, R Noss, S. Proceedings, GIS(LIS '91, Atlanta, Georgia. Caicco, X Anderson, T Ulliman, F. D'Erchia, and C. Part La Sectoral and Social Issues in Environmental Assessment 8 Impad Assessment of Dams and Reservoirs: The Work of the Internatonal Commission on Large Dams JanA. Veihop life on eart, as we know it, is impossible without expense in erecting buildings." He the noted"it is water.Areliablesourceofwaterfordomesticuseand cleartoalltbatthereisgreaterdcimentfrommnng iraigation has been provided by dams for weli over than the value of the metal which the mining 5,000 years. Civilizations have risen when water produces."Today,thereisstividncofnegctto suppliesweeassurcdandhavefalienwhcaknowledge balance tbe allocation of benefits and osts among andexpmiencetomaintain andrepairdamswaslost the various social groups. Hydroelecticpowerhasbeendevelopedonlyduring Many lessons have been learned fiom oversights thepast 100years, althoughwaterturbineshavebeen andneglects. Asaresult, env talimpactsnow around for 2,000 years. form an inherent part of project evaluation and Today, there are 37,000 dams in the world over 15 acceptance in many counies throughout the workl meters (m) high; nearly 80 percent ofthese dams are A multide ofeffects arc analyzed andincorporated lower than 30 m (figure 8-1). The dams serve many in the design of dams, such as hydrologic regime, purposes, but more than 85 percent have been water quality, underground seepage, watertblu constuctedsineemid-ctuytosatisfi theincreawsing seismicity, as well as effects on climate. Illusaon demands for water and eergy (figure 8-2). Soaring oflessonslearnedisoneofthe keystonesof thework populations and expectations for improved living of the International Commission on Large Dan condition are escalating the requirement for food (ICOLD)andshouldbeusedindevdopingguidine production, industrializadon, and economic gowth and legislation for fiutre projcts. More dams, of whatever size, are needed to regulate theiydrological cycleandtoprovide areliable source ofwatersupply,especiailymthedevelopingcountries (fige 8-3). Without dams people would be faced with year of hunger, alteating with years of 28.546 floog _ Numeed darns esceeding flooding. IE .LI~~~~~~~~~ a givun f~~~~tmghl Thecreationofreservoir,howv,as aprofound E 36* 37 15: impact on the envirment, ecosystems, and flora z 7. 8 3r37 . m ; and fiuma upstream and dowastram of dte dam, as aao0o 1.651 Born 'rellas onthfe humaninhabitants ofthe affected area. JOO 90 la m Some fdy years ago the environmental social and 6 26s Z200m1. cultwal impacts of reservoirs were not very well 6o0- csurca: IcoLD - Warld undertood and were ofen overlooked. Yetin 1556, 3uo - oent) the German scholarAgnicola wroteinDeReMetallica that several centuries of gold and silver mining iLn Saxonia and Bohemia had "devastated the fields, 3000. because water used to wash the ores poisoned the 2000 - brooks and streams and destroyed the fish or drove. them away. As a result, the inhabitants of these 321 4 26 regions on account of the devastation of their fields, woods,groes,brooksandrvers,flndgreatdifficulty -130 60 100 150 200 (. - in procuing the necssities of life, and by reason of t destnuctionofthetimbertheyare forcedto greatr. 75 76 Impact Assessment of Dams and Reserwoirs Figue 8-2. Number of Dams over Time, 900-90 recent decades construction of new dams has frequetly become controversial. Comprehensive studies of the impacts of dam projects would include 40.000- . biological, geophysical, political, social, economic, 36.237 (19B6)-T ad financial evaluations. Ecvimmenn Impacts and the Role of 30.000- .C ICOLD E Impacts of dams and rservoirs are both direct and E 20.000 /indirecL Direct impacts oocur on soils, vegetaton, Rg vrEwildlife, wetlands, fisheries, and climate in the o / watersheds upstream and downsteam of the danL E . I Downstream impacts include migratory fish, water 2 10.000- 5.26a C1950. logging, spread of diseass, and saltwat intrusioL Alteration of nver flow downstream may also have major affects on ecosystems and human activities. _ i Reservoir impoundment submerges agriculture and 1900 1950 eo '70 '80 153 forest lands and affects human populations dicly. indirect impacts are due also to construction work andothrmnduced developments. Duringcstruction new access roads and construction camps wil be built, as well as rnsmission lines. Damsmay indue With increased density of population, evident agricultural, industial and muimcipal development limitations onavailabiL ofnew lands for agriculture, activities. thepreseeofchicalpisoningoftheenvironment, On the other hand, reservoirs themselves are and,mostofalLwiththrecognitimothatmanmaybc affected by the development of land and water affecting his environment in a detrimental and resouresinthecatcbmentarraabovedas.Examples possibly irreversible way, it is no wonder that in are agriculture, population resettlement and forest Figur -3. World Population and Dams, 1600-2000. 1 53.0CC -t0.000: 1~~~~~~~~~~~~~~~~~~~~1.0 2 1 2 2 ~~~~~~Pgoula::cn | 1 --'-rl.C IiCo 1700 18aco C9W 2=0. Year- Ve--rop 77 clearin&which cause increasedsiltationandchanges impact of individual dams and related construction of water quality. work on specfic aspects of the environment. The The thrust of this chapter is to point out many bulletin on""Dams andthe Environment-Notes on successful ways in which designers, engineers and Regional Influences" describes the history of five scientists can plan dam projects to prevent or projectsindiferentelimaticareasinAustia,Finland, ameliorate their adverse effects. Major effects do Mali,Sweden,andtheUnitedStates.Anodherbulletin preserve the ecosystems of entire watersheds. These describes in detail the effects of the closure in 1932 activities are addressed in papers and during oftbeZuiderzeeinTheNctherlands,andthemeasures discussions at the triennial Congresses of ICOLD taken during development of the four polders to andarembilightedinthetechnicalbulletinsproduced accommodate the drastic change from a marine- by the ICOLD Committee on the Environment braclksh estary with two tidal movements a day to ICOLD promotes the advancement of dam an eutrophic frcshwater system with a fixed water engineering by providing its 5,000 members with a level. forumfor discussion and exchange ofknowledge and experience. Its principal objective is to ensure that M mnt of nt°fenal Impact dams are bilt safely, economicaly and with respect Mona gement Plans for the enviromnent. ICOLD plays an inportant role in expanding on the knowledge and the ability of Management plans to achieve eavironmental and engineers and planners to properly incorporate socriologicalgoals andtomonitorprogressandsuccess environmental factors in the planning, design, frequently cover a single project and sometimes an construction and operation of large dam projects. entireriverbasin. TheMountElbertPumped Storage Effectiveiemenion of suchklowledgeand the Project in Colorado (United States) is an example of experienceofprojectplamnersaiddesignersisusualy the former, and the Delta Works in the Netherlands inffie hands ofowners, legislators, local and national of the latter. The Three-Gorges Project in China governmets, aswell as financial institutions such as offers an example of the use of existing methods to the World Bank assess the basin-wide impact of a huge project Before presenting some examples of ICOLD's THEiMUoNT ELDRTPROCT (TCrxWINAns,COLORADO). work it is importantto point out that construction of Te Twin Lakes have been subjected t ecological new dams has notbeen stopped. On the uoaIy, the changes ever since hlunnans settled in the area over current survey by ICOLD among its 79 member one hundred years ago. Being oligotrophic (nutrien counin-s and 15 others, shows that more t.a 2,000 poor) the lakes have always been known for their dams over 15 m high were under construction mtycoldwa fLgeventhoughtl 1991. These include 71 very large projects, defined w c i i * . . t ~~~~~~~~~werc converted into irrigation storage zeservoirs in as having adamover 150m high, oravolumeofover 0o I. The originalfauna was replazedwith lae and 15 million cubicmeters m),orareservoir capacity rainbow trout and freshwater mysis shrimp. of over 25 cubic klometers Qm) or a power staon Development of roads, tansmountain diversions of over 1,000 megawatts (MW) installed capacity andminingactivitymiteareaincreasedheavymetal Therewere271 suchprojectsinoperationworldwide deposition inthe lakes. At the samentime population duing 1990 and 86 more were being planned. sttlement changed the cheaical limnology of the The environmental impacts of dams and reservoir** lakes due to the addition of plant nutnents, such as construction have been rewiewed m more than 250 papers submitted to [COLD Congresses ete phosphous. 1973 and 1991 (sceappcdixg-).Theseincludenot Development of the power project included the 1973 pandin 1991 (eseeapnix bu8asmngeetn purchase of all the land surrounding the lakes'and its onlyplaning and design,mbut alsomanagement and conversion to public rccrcation areas. Historical monitoring of impacts durng construcion and buldimgs ere protectod and restored. Most of ffie sTbsesxuent operaihon, power plantstructrs, allwaterconveyancetunnels The slibtiletins publishedbltyCOLD(see appenldix and thepower lines were placedunderroud These 8-2) coverexamples ofsuccessfulmitigation and the measeres vastly improvedhe aesthetic appearance influence of regional climates (temperate, tropical, of the area The area remains a valuible fisheary subtropical, aridandseverewinter).- rstbletin resource and provdes peaking power and water to also provides a matrix for listing and evaluating the - 78 Impact Assessment of Dams and Reservoirs thousands of people. The positive and negative thermal stratification, aquatics, fish, fauna and flora, impactsofthepowerplantonthclakcs'ecologywere sedimentation, geology, induced seismicity, soil, evaluated after construction. Positive effects are: public health, inundation, and resettlement, as well aeration of the lower lake during winter stagnation; as effects onthe downstreamriverandonthe estuary. increased reservoir habitat for shrimp and plankton The lossofland andtherelocationofsome 3D0,O0O- production; increased supply of planktonic food for 800,000 people are extremely important issues. It fish,especiallyintheareaofthe powerplanttailrace; wasconcludedfromthesestudiesthatproperplanning and increased contribution, circulation, and and non-engineering measures can mitigate production of nutnents to the euphonc zone. undesirable impacts. Negative impacts include: some mortality of game fish; thetransferofmysis shrimp fromthelowerlak, Applicaton of Regu4lions wheretheyare mostneeded,totheforebaywherethey Environmental regulations often have a profound are least needed; a slight increase in turbidity due to effect on project planning design, construction, and turbulence in the lakes; and an increase in the operation.Newproceduresforprojectplanninghave fluctaion oflake levels making it more difficult for resulted in new engineering designs, such as multi- ice fishennen to use the lakes. level outlet structures to optimue downstream water Theengineeringofthiswaterresourceprojecthas quality and temperature for fish protection; in- bencarefilllyblendedwithenvironmentalprotection reservoir andlor dowmstream oxygen injection to and development values. provide dissolved oxygen for fish; clearing of T_m DELTA woEs PoiEa (TIm NIanL&Aims). h vegetationto avoidwater qualityproblems, maximize nagmentoftheEastemnScheldtbarrieraspartof biological habitat diversity, and provide for safe the Delta workcs, demonstrates the bic-r asharg recreation; provisions for fish screens, fish ladders, influence of environmental interests and the i; g fish lifts, and bypass structures to assist migratory indutonthedesignoandoperationalpotedeshf fish, inplementing reservoir operational rules for managing the barier. The twofold objective of the downs fows at crtical times to protect dlamwastosafeguardtheregionagainXstfloodmngand - reproductLvc habitat, migratory routes, recreation topreserveatheguniquesaltwNatergainstooinga use, and water quality; reservoir shoreline Studies covered the physical situaton evrecL development to provide biologically productive after construction, the most suitable form of wetland habitat completion of extensive pre- management, anduse ofthebarrierduringclosureof impoundment cultural, sociological, and economic secondary dams. Operational policies wili be studies and subsequent development of appropriate evaluated after five years, and, if necessary, will be ttlementprograms. Muchofthisnewtechnology modified. Safety evaluation will be concerned with s beng applied to existing projects as well, thereb the strength of the barrier and the dikes. The inVrogtheenvimentofestabLshodresevoirs development of the ecosystem toward a new Regulao orig,fit,fromgoveinmentilaws; equilibrium will be carfully monitored to verify second, fromorganizationalpolicics; andthird,ifro earlier forecasts and to modify and adapt the models thcrequi ecntsoffinancial institutions such as The that have been developed prevously. Oppouites WorldBank Selectedexamplesfromthesecategories for furlher development of the area will be studied, are presented below. including reduction of flow rates, changes in level of Regulated Flows (France). Ai agrcemcnt salting and extension of fishing and recreational between the Ministry of the Environment and activtiies without risk ing the nrenviroment Electnit6 de France (EDF) has fixed the targets for downstream regulated flows, fish migration and THE THREE-GRGES PRoJECT (cEmA). The com- mservoir drainage. prehensive assessment of the huge Three-Gorges - European Economic Community (EEC) project on the Yangtze River uilized the ICOLD Guidelines (Italy)- The development of criteria for matrix presented in Bulletin 35, as well as methods selectingpotentialreservoirsitesforawaterresources proposed by UNESCO and UNEP. Project benefits nasterplaninSardinia,Itay,requirdpreparationof includefloodcontrol,power generation,andimproved environmental impact assessments of twelve irrigaton. Environmental impacts on the entire river alteative dam sites using the policy guidelines of basinmclude: climate, watr quality and temperature, the EEC and the ICOLD matrix of Buietin 35. Velrop 79 Environmental Assessment (Poland). An EA of works program of the Corps of Engineers must theeffectsofhydrauicstructures onthe environment comply with tfirty-five environmental laws, which before and after construction is obligatoiyin Poland. presentenvironmentalrequirements andneeds along This includes: climate changes, gromundwater levels, with other water resource development and reservoir slopes, water quality, floods, biological management considerations and responsibilities. changes along the reservoir rims, and regional *Legislatfion (former USS). Design, construfion management. and operation of reservoirs in the former USSR are * Environmental Impact Studies (Spain). controlled by the principles of land and water Environmental impact studies are required in Spain. legislation and similar acts on, for example, Detailed studies of the watershed processes have woodlands, soils,wildlif, and protection ofhistoxical beenrcarriedoutleadingtosuccessful implementation andculturalmonumcnts. Thhe lawon "Environmental ofsuchbeneficialalterationmethodsasreforcstation, Protection and Rational Utilization of Natural increased infiltration, reduced soil loss, and coantrol Resouces" became effective in 1975. Following of drainage system chanels. theirinroductionproposalsforseveralhydroelectric * Federal Law (Swtzerland). The new Federal projects on rivers in Siberia were rejected because lawonProtectionoftheEnvironmentwasenactedin large areas of arabIc land would be flooded. 1985. It addresses the development of natural *Policy (WorldBank). One of the major concems rcsourceswhileprotectingtheenvironment.Itprotects of the World Bank is that the sociological and persons, animals, plants and their biological envinmentlcernsofdamprojects arcaddressed communities and habitats against harmful effects or at the earliest possible stage of project planning and nuisances, and maintains the fertility of thre soiL It that actions are carried out throughout project minimizes the impact of any installation which may constructionandintooperations.WorldBankpolicies appreciably affect the environment, including cover indigenous people, wildlands, and cultural hydroplants with an installed capacityover 0.3 MW. properties.' ThemostimportantissuefortheBankis A recent EA report for a new project in a pristine, to decide whethera damshould be builtornot. This isolated valley addresses the landscape ofthe valley, decision is usually based on an economic analysis, vegetation, and the protection of nature, fanma, which includes sociological and environmental isheries and alpine pastures. factors. i Regulatoq Agency (Thailand). The National Environment Board (NEB) in Thailand, which is the Control of Water Qualiy regulatory agency on environmental policy, has Water quality in rivers and reservoirs .s profoundly prepared ten categories of the types and sizes of affected by the constuction of a dam. Physical, projectsthatrequircanenvironmentalimpactreport, chemical and biological processes in the rservoir aimed at allocating water resorces to the varous affect the quality of the water released from the users (municipal, industrial. irrigation and reservoir to the river. Climate, reservoir shape, environment). One of these deals with dam and quantity and qualty of inflow, upstream water use, reservoir projects with a volume of l00 hm3, or a land productivity, industrial activity and stuctura rescrvoirareaoverl5kn2,andanotherwitirfngation features of the dam and outet works, as well as projects larger an 12,800 hectares. For the Chiew projectoperationaffectthelinmologicalprocesses in LamMultipurposeProjectenvionmentalissueswere the reseroir and the quality of water in the river effectively integrated early in the project plmming downstream stage. These included resettlement of 400 families, Mathmatical and physical modeling has greatly timber logging, clearing forest areas, partial improved the understanding of the causes of poor inundation of a wildlife sanctuary, reforestation, watr quality, aswllasthcdcvelopmentofmitigating excavation of archeological artifacts, preventive measures. Decompositionof organi matterthermal measures against waterborne diseases, construction stratfication and production of organic matter by of new fishery stations ar studies to improve salie phytoplankton and aquatic weds all have negative soils in downstream irrigable areas. The total cost of effects on water quality. this envirommental mitigationprogram was reported Eutrophicationoflakdesactreservoirs as aresultof to be less tham 4 percent of the project cost excessivenuritsbisundesirableandmustbeaverte *EnvironmentalLaws (United States). The civil The process ofeulrophicaton taes quite a longtime 80 Impact Assessment of Dams and Reservoirs in nature and depends on the climate and local Bunger outlet values. conditions,butitcanbegreatlyacceleratedbyhuman * ConVlicting Water Use (France). Multiple and actions. Itis a highly complicated phenomeno that often conflicting uses of water are addressed by depends on the bydrodynamical, chemical, physical, planners and operators through drawing up biological and geographical characteristics of the comprhcensive plans for alternative uses of water; reservoir. Measures to counter eutrophication have implementing delayed socioeconomic structures been carried out at many reservoirs, for example, around new projects; conserving water quality; and water is released over the spiliway in -Ireland and pooling sldls and fumding sourccs. bottomoutletsarebeingtriedinMoroccotoevacuate - Aeration Measures (Germany). In the heavily nutrients and weaken stratification, while activities populated Rubr River Basin, careful planning and in the watershed are being controlled. Selected managmentofareservoirdemonstatedthatintensive examplesworldwidearedescribedbelowto illutsrate recreationcanbebalancedtoprotect andenhancethe various responses for water quality problems. natural environment. Water quality improved after - Groundwater (Austria). Groundwater studies constructionofadamandwasmaintainedbyacration near the Viena-Danube channel indicated the measurestopreventstratificationandeutrophication. effectiveness of a systcm of pairs of large diameter Siltwasremovedfiomthereservoirswithoutseriously vertical filtering wells, as part of the construction of impacting on water quality. theVienna-Freudenauhydropowerplanttosimulate *EcologicalModel(Germany). lnCkrmanydams the original interaction of the Danube River with the supply about 20 percent of the total consumption of surongding areas. industry, agriculture and population. Increasingly, "Water Quality (Brazil). Applicationofmodelsto water purity is affected by exploitation of the water quality problems in rcservoirs in Brazil catchmentareasbyman,whichleadstopollutionand demonstrated the importance of residence time, the euption Methodstolimittlcinflowofutrients presence Of vegetation, andupsteam pollution. For into the water were found to be more successful than example, due to the very short residence time, good the application of in-reservoir techniques. An water quality developed m the Tucurui reservoir, ecological model was developed to predict water despitethedecomposiionoflargeamountsoforgaic quality m the reservoirs and lakes, and to provide a matter from drowned vegetation. The Balbina basis for decision making. reservoir, also in Brazil, shows the opposite because * Eutrophication Control (Japan). In Japan of long residence tm aeration and circulation have been used in four - Downstream Releases (Czechoslovakia). reservoirs to counter eutrophication. Lowering the Frequentlywaterqualityiscontrolledbydownstream water intake from 1.5 m to 10 m was effective in releases.Frequenandvolunedependonthepurpose combatting eutrophication, hydrogen sulfide, and and fimctionofthercscrvoir, its storage capacity, the offensive odors and taste. In another case, amovable demand of the users and the type of releases. In fountain was developed to pump colder water and Czechoslovalda the negative influence of increased precipitate it onto the water surface to reduce the fluctuaton and a decrease of minimum discharges phytoplanktonbreeding enviroment Water quality due to power operation ofrcservoirs was minimized was controlled for anohier reservoir in Japan by by construction of a re-regulating reservoir manipulation of the vertical stratification using a downstream. multilevel outlet works. * Multipurpose Reservoirs (Czechoslovakia). * Regulating Ponds (Republic of Korea). It is Multipurpose use of reservoirs can easily affect commonpracticetouseregulatingpondsdownslream water quality. In Czechoslovalda, 150 reservoirs oflargedamstoallowthetemperatureofthereleased were analymdbymeansofpbysical andmathematical water to increase by exposure to the atmosphere. methods. It was concluded that the use of driking * Ozonization (Spain). Two-phase ozonization waterreservoirsforsports andrecreationshouldnot has been studied successfully in a pilot plant for a be forbidden a priori; instead, each case should be reservoirinSpaintoreplacetheoxygeninthistypical analyzed seprately. hot lake with its single stratification in the summer. * Oxygenation (Czechoslovakia). Ecological *TidalBarrage (UnitedKingdom). Constumtion balance was restored in the downsteam section of a of a tidal barrage across the Sevem Estuary would nver through acnal oxygenation by using Howell gready effect the existnghigly stressed ecosystem Ye/trap 81 Mathematicalmodelsofwatermovementandphysical dissolved oxygen content; and adverse effects on processes, involved with the sedimentary processes, touism by maling the delta too shallow for boating have provided an initial assessment of the changes Other beneficial and negative effects occur the barragewouldcause to the sedimentregime.The downstream, including: stabilization of the nver results of these studies will be made widely available regime by reducing the tendency to wander; decrease to the public and encourage consultation and in water temperature fluctuation; undermining of comments. bridge piers; continuing erosion of river banks; v Reaeration (United States). Surface-fed aggredation of the riverbed; loss of nutrients; and reacration was successful in elininating anaerobic detention of plankton in the resevoir. Long-term conditions in southem California. Results were erosion effects have been studied with computer diminished algablooms and creationofayear-round models for both the Rhine and the Rhone rivers. cold water fishery. Rapid population growth and increased human * Water Temperature Control (United States). activities are increasing soil erosion problems, (for The temperature of the water released from the Lost example, in Indonesia). While soil conservation Creek dam on the Rogue River is critical for the measuresinthecatchmentareaarethebestcure,such breeding of anadromous fish. The study indicated practices have been successful mainly in relatively improved temperatures during fall releases by small wr,nbeds. The iblhowing selected examples acceptingwarmer-than-desiredreleasesinthespring show various responses to sedimentation problems. and summer. * Sediment Flushing (Algeria). Flushing of sediment is done by reservoir emptying at the end of Counternweasumrs to nSe&ntaltion-.. *-. -- ithe irrigation season. In the Fergoug reservoir, 90 Because dams and reservoirs are among the largest percent ofthe sediments havebeen sluicedout in this artficial structures on earth, they can be expected to manner. affect the environment Sedimentation es of great -Density Current (China). Venting of the density concern because it reduces reservoir capacity. Long- current has become an art and a science in China. term operation of reservoirs should be controlled by Crtain conditions have to be met in order to assure the lifetime ofthe civil works, not by sedimentation. thatthedensitycurrententeringthereservoirreaches Reservoirs should last 250-300 years; and in cases the damn and the sluice Knowing the incoming flow, oflarge,knownsedimentinflows,"reserve"capacity the lydrographs, the reservoir characteristics andthe shouldbe available for 100-150 years, or even200. size and elevation of the bottom outlets, it is then LarpercservorsbehidtheGlennCanyonandHoover possible to predict the amount of sediment sluiced Dams in the United States and the Aswan Dam in out through the density eurent. Egypt meet these criteria *ReservoirEmpiying (France). Of 450 dams, 15 Potential losses of reservoir capacity can be reservoirswereemptiedaboutonceayear,asreported countered by soil conservation measures in the toICOLDinl988.Advancementsininstrumentation catchment area, interception of sediments in the and the development of mathematical models have upperregions, flushingofsediments through bottom enabled the judicious operation of various outlets in outlets, venting of density currents and by dredging the dams to control the impact on fish life. The main disadvantage of flushing of sediments is -SednmentRemonal (RepublicofKorea,l Methods the waste of water. The water-detritus ratio varies used at the Palding dam reservoir in Korea included from the 2-50 range to a maximumm of 100. This a silt protector at the intakes and the use of a bydro- amount of water can be reduced significantly when clone, an oil fence and a suction dredger. flushing is carried outtogetherwith suction dredging - Sediment Ou/low (Morocco). Submergedguide or venting by density current embanknents were constructed in the Oued Neckor Adverse effects of sedimentation are not limited to Reservoir to lead the suspended sediment flows over the loss of reservoir storage space. Ir. addition, there the spiliway. is contaminationofthe envinentdue to absorption * Sediment Transportation (Switzerlmnd). Good ofchemicals on the surface ofsedimentaryparticles; agreement on quantities of transported sediments physical damage to the turbines; ecological effects was obtained between actal operations and model on the growth of fish because of changes in the tests for the Gebidem Reservoir in Switzerlandl 82 Impact Assessment of Das and Reservoirs RFushing (Yugoslavia). Favorable results were 1976 Twelfth Conress (Mexco) obtained by flushing smaller reservoirs through Q bottom outlets resulting in no further build-up of Question 47 Te Effects on Dams and Reservoir of sediments in front of the dam and no significant SomeEnomnentsFactors:(a)problemsoffloating consequences in the river downstream. Sediment material, sedimentation, salination (excluding lowintosthereservoirs wasreducedby cstducng eutrophication); methods for forecasting and remedial small sediment retention dams and through the measures; (b) special design and construction application ofbiological measures. The cost ofthese considerations in regions subject to extremes of works exceeded the original cost of the dam by afew temperature and precipitation; and (c) economic percet For larger dams, considerablc effects of evaluation of these enironmental factors sedimentconcentrationswereobserved ontbeecology 1982Foweeni Congress Ro deJaneiro) of the river downstream. * Mechanical dredging. This method has been Question 54 Reservoir Sedimentation and Slope employed successfully to remove course deposits in Stability-Technical and Environrmetal Effects: Austria, China, Japan and the Netherlands. Dredged (a) sedimentaton (estimation of sediment load and materials are oftn transportd through pipes over silting, control and release of sediments, and longdistances(16-lS1).Thereareivwdediffences downstream effects); and (b) stability of reservoir in te world concerning preference for sediment slopes (geoteclmical hydrauic aspects, and other disposaL Forexample,inJapanfine materials are left aspects). in front of Xt dam to be cared downstream by 1988Sixteenth Congress (s co) floods, but in China these fine particles are used for irrigation fields and land reclamation. Question 60 Reservoirs and the Environment- Experience in Management and Monitoring (a) Conclusionsl- environmentalregulations and impacts onpromotion, Tlhe principal question facing so is whether a cosuction and operation; (b) effectiveness of future dam will be useli or detrimentaL whether environmental protectionmeasures, including water such a dam will inprove the environment as a whole quality; (c) Costs of environmental protection as well as the wellbeing of humans-or whether the measur; (d) benefits to the environment; and (e) particular dam will spoil these. And if a dam is to be managcmcnt plans, monitoring and comparisonwith bilt. according to what characteristics and criteria predictions. should it be built? 991 Seventeenth Congress (enna) Those who see the need for more dams and at the same time are concerned about possible adverse Question 64 Environmental Issues in Dam Projects: impacts ofthe dam face twG formidable challenges: (a) contributions of dam projects to human d to inform the public of the beneficial effects of dams enviroental needs; (b) environ menal evaluations and, to convince owners, financiers and govemments (biological, geophysical, political, social, economic, of the necessity to remedy the drawbacks of dams. and financial, etc.), andwater quality; (c) operational appraisal (casehistories and comparisonwithorigin Appendix 8-1: Environments Topics Discussed objectives); and (d) public awareness. at ICOLD Congresses, as Published in the Proceedinp. Appendix 8-2: ICOLD Bulletins Related to Envirmental Effects 1973 Eleventh Congres arid) Bulletin 35 (1980) Dams and the Environment Question40 The Consequences ontheEnvironment Bulletin37 (1981) DamProjects andEnvironmetal of Bmlding Dams: (a) physical effects (for example, Success sedimentation,erosion,waterregimes,waterqualy Bulletin 50 (1985) Dams and the Envioment- (b) biological effects (for example, fish, eutro- Notes on Regional Influences phicauon, deformationi (c) influence on humans Bullein 65 (1988) Dams and Enviroment-Case (pollution, displacement and resettlement of Histrics population); and (d) evaluation of beneficial and Bulletin 66 (1989) Dams and Environment- detrimcntal effects of damnmn& Zuiderzee Damming Vellrop 83 BulletinL 86 (1992) Dams and Enviomcnt-Socio- Dams."TanzactionsofthcEleventhCongress,Madrid. economic impacts Vol. 1, Question 40. Paris: ICOLD. - -. 1976. "The Effects on Dams and Reservoirs: Some A series ofstate-of-the-art papers on geophysical, Envirmental Factors.' Transactions of the Twelfth watersquahty,flora and fmarpaspects andeanothera Congress, Mexico City. VoL IV, Question 47. Paris: water quality, flora and fauna aspects and anoher ICOLD. bulletin on case histories are under pr:parafion. - . 1982. ReservoirSedimcntationandSlopeStability: Techinical andEnvironmental Effects." Transactions of Noles the Fourteenth Congress, Rio de Janiero. Vol. m, 1. For a smmmy of the Operational Directives (ODs) Question 54. Paris: ICOLD. amd policies on eaviromental and social issues related to 1. 988a. 'ResCrvoirs and Environment Experience Ban&-financedproj ects, seethe fourthannal pt onethe in Management and Monitoring." Transactions of the environment (World Bank 1993). SiteenthCongress, SanFrancisco. Vol. 1, Question6O. Paris, ICOLD. References . 1988b. World Register of Dams. -oodland,Robert 1989. TheJVoldEa NewPolicy o - . 1991. "Enviromental Issues in Dam Prqjects." Transacfions oftheSevententhCongress, Vienna. Vol. the Environmenta Aspects of Dams and Reservoir 1, Quesfion 40. Paris: ICOLD. Projects. Wodd Bank Series 458, Washingon, DC. WorldBank 1993. The WorldBaontand theEnvironment lnemationalComiissiononLargeDams(ICOLD). 1973. Fiscal 1993. Washington, DC. "The Consequences on fte Envionment of Building -9 Public Partcipation in Environmental Assessments in Africa Cynthia C Cook and Paula Doundly-Rowrk The involvement of an informed public and the In 1987,fiflyprojectsinurbanhousingpopulationm participation of affected groups in project planning health and nutrition, and irrigation were reviewed to are critical to the success of development projects, in assessthelessonsofBankxperiencewith community Africa as elsewhere. The World Bank recently participation. This review defined participation as introduced environmental assessments (EAs) for its "anactiveprocessbywhichbeneficiary/clietgroups projects Xt include consultation with local groups influencethedirectionandcxecutionofadevelopmeat and nongovernmental organizations (NGOs). The project with a view to enhancing their well being" purpose of these procedures is to ensure that the (Paul 1987). It identified the potential objectives of views of such groups are fully taken into account in participation as (a) empowermcnt, (b) capacity prqjectdesignandimplementationinordertoimprove building, (c) increased project effectiveness, (d) project viability and sustainability. increased project efficiency, and (e) cost sharing. It This chapter reports the results of a review of the pointed out that Bank policies tend to encourage flrstgenerationofEAsundertakenforBank-financed participation in relation to project effectiveness, projects in Sub-Sabaran Africa. The purpose of the effiLciency, and cost sharing; capacity building and review was to: (a) identify the range of approaches empowmment are not often seen as Bank objectives. used to secure public participafion; (b) evaluate the It also pointed out the lack of operational guidelines effectivencss of these approaches in achieving the for Bank staff and the fact that appropriatc objectives of different groups; and (c) recommend participationtechniquesarclikcelytovmybycountiy, ways to improve the effectiveness of public sector, and stage in the project cycle. participation in fture EAs of projects inthe Bank's A subsequent review of Bank projects involving AfricaRegion. participation found that, although there was substantialliteratureonparticipationwithintheBanik World Bank Expience with Participation ndividual Bank staffhad made few attempts to. The World Bank began to recognize the importance involve beneficiaries in project design and of popular participation in development projects as implementation. The review also noted that the link evaluationevidencebegantolinkpmjectsuccess and between participation, project success, and sustainabilitywithbeneficiaryparticipation.1 World sustainability seemed to have been clearly Bank sociologists took the lead in bringing this demonstrated but that Bank policy and practice did relationship to the attention of Bank management notyetfullysupportthis approach(NagleandGhose (Cemnea 1985). A review of Bank-financed projects 1990). Partly in response to this fmding, the World carried out in the mid- 198 Os showed that failu to Bank has recently undertaken an extensive Learning attend to social variables in project design and ProemssonParticipation,basedonanindepthstud iniplementation often led to failure to attain project of twenty Bank-supported operations that are objectives (Kottak 1985). Another chapter in this consideredtobeespeciallyparticipatoy. Theprocess collection pointed out several ways in which defincspopularparticipationas"aprocessbywhich beneficiaryparticipation couldleadtoproject success people, especially disadvantaged people, influence (UJphoff 1985). Bank-sponsoredevaluationresearch decisions which affect them" (World Bank 199 la, on selectedurbanprojects, basedon the participant- emphasis added). In defining disadvantaged people, observer approacb, developed into the methodology the process refers not only to the absolute poor, but of beneficiary assessment (Salmen 1987). to a broader range of people who are disadvantaged 84 Cook andDonnelly-Roark 85 in terms ofpoverty, illiteracy, ethnicity, or gender. It cooperation in implementing the recom- fiurter spccifies that '"infuence" means more than mendations ofthe EA (para 19, emphasis added). simply involvement in project implementation or Such consultations should occur at least at the sharing in project benefits. following two stages of the EA process: (a) - shortly after the EA category has been assigned, World Bank Polkcy on Environmental and (b) once a draft EA bas been prepared (para Assessment 20). In October 1989, the World Bank issued its first T new OD also elaborated on the requirements Operational Directive on environmental assessment for infomation disclosure (OD 4.00, Annex A). This directive called for the lIn order for meaningful consultations to take involv0ement of afected groups and local NfOs in place. it is necessary that the borrowerprovide project design and implementation, particularly in relevant information priorto consultations . in the preparation of EAs?2 To supplement the atimelymannerandinaformthatismeaningful operationaltdirecive(OD), achapterinEtheABank's for, and accessible to, the groups being EopironmenaldAssessment Sourcebooi(t991b) was consulted... In addition, the borrower should dEvotedto"CommunityenvoivementandbheRoleof -make the EA report available at some public Nongovernmental Organizations in Entvironmental place accessible to affected groups and local Assessment" This chapter defines the roles and NGOs for theirreview and comment (per 21). responsibilities of Bank staff; EA team members The Afn Cotext (implementing agencystaff and consultants), affected groups and local NGOs; describes the public Gcvrnents in Sub-Saharan Africa were poorly consultationprocess atnationalandlocallevels; and prepared to meet the Bank's new requiremnts for provides checlkists to help Bank task managers and envirnmntal assessment partIcularly with regard others cary out the process. The guidance provided to theirprovisions forpublicparticipation. After two in this chapter is necessarily general, as it must apply to three decades of devlopment experience, African to all parts of the developing world. countries entered the 1990s almost as poor as they The main responsibility for assisting Bank task were at the end of the colonial period (World Bank managers in implementing the operational directive 1989). falls upon the Regional Environment Divisions (REDs). In turn, it is the taskmanagers' responsibility Analyzngdevelopnwnthire to assist the boirowers who are responsible for The manifest fildure of the World Bank and other preparing EAs. Task managers usually work with donors to ifd ways of assisting African countries to borrowers ataveryhighlevelofresponsibility, thus, embark on sustained growth caused much soul part of their task is to enable their counterparts in searching withithe donor commiity and led to a government to work with field staff and local more open dialogue with African decisionmnakers. authorities to ensure that EA participation One ofthemainconclusions oftlhis dialoguchas been requirements are met. Borrowers incountriesthat do thatdevelopmentefforts inAficahavefailedbecause nothaveahighdegreeofenvironmentalmanagement of the inappropriate behavior of governments: capacity in government for preparing BAs often call The post-independence development efforts upon consultants, either international or local, for failed because the strategy was misconceived. assistance. EA consultants also have an imporat Governmentsmadeadashfor-modemization," role to play in the process of local participation. copying, butnot adapting, Western modeLs. The In October 1991, the World Bank issued a revised resultwaspoorlydesignedpublic investments in version ofthe EA OD as Operational Directive 4.01. industry; toolittleattentiontopeasantagriculture; With respect to participation, the new OD further too much intervention in areas in which the state intexpreted the requiremets set forth in the original lackedmnngerial,tclnical,andentreprenetrial version: skldls; and too little effort to foster grassroots Consultations do not reduce the decision development. This top-down approach authority of the borrower, but are a valuable demotivated ordinary people, whose energies way to improve decision making, to obtain most need to be mobilized in the development feedback... and to increase community effort (World Bank 1989). 86 Public Parficipalion in ElvironmenlalAssewmments In Africa AnanalystofdevelopmentadministrationinAfrica partrspwith thepeople,nsuringtheinvolvement points outthe paradox inregimes thateameto power of women at all levels of decisionmaking, and on awave of popular participation in the struggle for extending and protectingpeoplc's basic humanrights. independence feeling forced to move in the direction It calls for an cnd to interifal armed conflicts and the of single-party systems and increasingly centralized redirection of national rcsources to productive control (Hyden 1983). The power ofpolitical leaders activities and social services. Finally, it urges that is rooted in personal charisma and clan allegiances national development programs be planned and rather than in legitimacy derived from an accepted implemented in the framcwork of a participatory politica system. Consequently, they are vulnerable political process and that strategies for economic to attack and prone to construe any disagreement as growth be based on the concepts of self-rcliance and a political challengc. Few African countries offer the sustainability. protections for human rights that would permit and encourage individuals to speak out against official Po-arParicipafton and Em!ronmental decisions. Thus the "enabling environment" for Assessment In Africa popular participation in development is far from With regard to cnvironmental assessment, no Sub- favorable. Saharan African country has yct established formal Otherfactors,twmakeitdifficiltformostAfricans requirements, although in some countries such to participate effectively in public decisionmaking. requirienents may be implicit in legislation and Poverty, of course, is the major disabling factor; regulations pertaining to mining, construction, and when people's energies are concentratedon day-to- industrial development (World Bank 1991c). day survival, they cannot give high prioritY to CoutiesthathaveprepadNation irentalI participatingindecisionsrelatingtoadistantfutre. Action Plans (NEAPs) with the World Bank and Rurrality creates additional obstacles to participation other donor assistance agencies (Madagascar, because afthe relatively high cost of reaching small, Mauritius, Lesotho, Ghana, Rwanda, Burldna Faso, scattercd groups of people and the high opportumitY andthe Seychelles) have all placedthepassage ofEA costs borne by those who do participate. IlliteraeY legislation high on their policy agendas. Without and the proliferation of local languages are furthcr suchalegislativeframework, there canbenodomestic barriers to participation. Social and culural pattns policy on public participation in enviroznental constrain the participation ofwomen, young people, assessment Countics needing to meet World Bank and certain ethnic groups. Finally, there may be requirements for environmental assessment have conflicts between customary law and modem legal hadtDdevclopparticipationproceduresonaprojcct. systems, particularly concerning rights and specific, ad hoc basis. responsibilities, with respect to local resources that Soon after the World Bank's EA policy was first can complicate the participation process. issued,the Bank'sRegionalEnvironmental Division Nevertheless, there is in Africa a resurgence of forAfrica(AForganizedaconsukationmeedn popular participation in development, largely with leading African experts from govemments, expressed through NGOs rather than through grassroots institutions and NGOs, to explore the participation in the bureaucratic processes of concerns andthe constraints experiencedby affected governmts. These local NGOs and their national groups and local NGOs participating in project and intnaional networks have often bem more activities m Africa (Kamugasha 1990). The purpose effective in bringing about positive change than of this workshop was to explore wys and means goverments have beenm An NGO initiative at the through which African borrowers could implement U.N.GeneralAssemblyinl988ledtothcorganization the Bank OD requirements for local participation in of an International Conference on Popular enviromental assessmernts. Theworkshop explored Participation in the Recovery and Development the roles of international, national and local NGOs ProcessinAfrica,heldinAx7sha,Tanznia, in 1990. and the meaning of"conmmunity involvemnent." The The agencies, govermments, and NGOs at the workshop strongly recomnended that approaches to conference adopted an "African Charter for Popular localparticipation in Africa be grounded intheuse of ParticipationinDevelopmentandTransformation,7' traditional institutions, still perceived as the most also known as te Arusha Declaraion. The Charter legitimate source of decisionmaking authority at the calls upon African govemments to establish a sew' local level. Cook andDwwIlyRa 87 In 1991,AFTENissuedguidantotskoagers whenthe EApolicywas first issued andto which the based paly on the laiiu from this workshop. It provisions of ihis poficychnicalydidnot apply. In derfes 'local participation" to include the connecdon with hese prqects, regional staff were papation of publc ageceS, private interest anstucdt e bestCffrttocoWplywithOD groups, amd national NMOs, at ne level; and the 4.Oorcqurccosistftwith tprocj participationofpeopledirectly affected bytheproject, schedules The tbird caStegy included five EAs for at ano leveL With regard to affected gsus it projesb whose preparation begn. afte thfe OD sys: gudele were imL te For theseprojects, ful This includes, but is not limied to, the inteaded effarts should have been made to incude local berefcianes. Other gru4ps, partcularlY those participatioa. OngoinzgEAs that didnothave at last that also make use of the local -resources on acompleteddraftbylJune 1992werenot iluded in which aprojectmay deped,will also be affected the review. by a proect- They have a right to be informed TheEAswereundetabkcintwety-fivccounrie aboutitandtomaketirvewslmownto project ar more than half of aU the ounties m Sub-Sahan planners. All of the groups eat uwil be directly Afiica. The majorty of cou included had only affectedbyaproject shouldhave an oppormuity oneEAcompleteorinprocss.TwoEAseachwere to influence the decision to go ahead with a doe in Ghana, Madagascar, Malawi, Mozambique, project and the choice among diffret design and Senegal; three EAs have been earetd o in optiansweasthewdeaitededsigofaproject Kena, and five in Nigeria. The EAs reviwed arm and the inclucio of components to reduce, or also repesentative ofthe fthrc main sectors sulject compxnsatf costs that willbe borne by local to EAwork: nne we for agricultue pro (the people. (Wodd Bank 1991d, emphasis added) in area development, three in forestryfenvirnmen, Methowds ansd onalyi, aorvis ationig cuoe fisheries); fit min hnfds xdAayi (s xwatersupply,seventransport and This sht evaluates Word Bank eeic=e with twxDurban), andelevein energy andindusty(seve loca participaticm in the fir gertin of EAs yropower two petrolem, oneimng,o umdrtaknmforBakac dproectsinAficnaover industrial z0ne) (see box 9-1). thelastfivnyears.Itisaislta pttodocumentand Afier-thepreli yreviewassessdtherangeof analyze how successful the Bauks EA requirements approahe used to secure localparticipation. in the for its projects-4hat now include onsltao wvit thrr-fiveEAs anddefindthCprimaryiesmrcaiqg affected groups and local NGOs-have been in to its e ffctivness, fit EMAs r eting the prmotinglocalpa aticpai pThepimaryobjecfives range of issues i fied Were then analyzed im ofthisreviewwer toW oe andanalyzehowlocal greate .detail. The countries represented in this paticipation has be addressed in EAs carried out subsomple include Benm, Chad, Gabom, Ghana, intheAfiicaRegionandtodevelopeo n tns Lesotho, Malawi, Mal,-Maurtis, Miozamique, to asistutask,manag nd, ic,boa to . Nigera, Sychels, Tanzamia, Uganda, and Zair improve the effectiveness of local participaion in The EAs cover projects in agriculture (area fixture EA efforts. Tht method used to achieve this development,fwesty,andirgation),i EUsucture operational level of analysis is based upon an (transpt and waW supplY), and ey (pw). analyical fiamework tba by utiliig prefered Tenwxresecledfioddetwtyeveni"hste levels of susanabisy, deinm sttegydisncos projects, and al five "full effort" projects wer and options within the participatory process included (sce box 9-2). (Donnelly-Roak 1992). The analysis of documentary matrials for this subsample was panded through ?ersonal -or medmawd gy telephone interviews with task managers, EA EA DATmAsL A total of thrty-fivc E A w C cEsuItBs, and othermivolvedou`tYdeparmnt; availablefiir review. Th=e ofd=EAs cetrpocy,andAFTEstaAerisoftelW wer xawmed before the Bank had any fo intWriDatIaepetsandNGOsinvved environmental assessment requirements. Twenty-with EA report meeting in selected coutris Nas seven EAs, a majarity of the sample, conced pacv pletds astomovebd intenl Batc projects whose preparations werew advancedAodo 88 Publc Participation in EnviromnentlAusessments in Africa - Box 9-L Envirornental As sessent Rmh the naturc and extent of any social or Reviewred - . environmental impact and the acceptability of proposed ruitigatozy measures, patecularly to A9s compiedbedforeOctober15, i989 --affected groups..Such consultations should Botswana: Tuli Block Roads occur at least at the following two stages of the Cental Afica Republic: Boda-Bambio Road EA process: (a) shortly afer the EA has been Rwanda: Gitirama-Kibuye 8ighway assignd, and (b) once a draft EA has bee Best Effurt (Rsforproets inadbefore ob p a (OD 4.01, pans 19-20) 15,19y89)i - In describing the public consultation process in developing countries, the Bank's EnWronmental Beniir Power Rehabilitation AssessmentSourcebooknotes apremise essential to Chaoi Petroleum and Power EA success in Africa when it observes that EAs for Djibouti: Urban II devclnpingcountries"eannotfunctioninthereacdve, -Ghana: FeederRoads- Ghana: Feeder Roas .responsivestancesuitabletoindustrialcountries,but Ghana: Livestock uinea-Bissau: Energy .must take a proactive, initiatory approach to Kenya: Expot Promotion (ndustrial zone) encourageandpromotecitizenparticipation"(World Kenya: OQlaria Geothermal Enegy Bank 1991ib). Lesotho: Highlands Water S . . ,. ~~~ANAYAL FRMSW Statigiitieary 1990s Madagascar. Tan Plain Delopient (uban) the notion of sustanabiity, adapted from the Mlad Fisciienies environmental disciplines, has become one of the -|Mali: Agriculura SectorAdjustmnent -criteria by which project success is defined and Mauritania: Water Supply evaluated. Sustainabilityislnedtolocalownership M! ambiqe: Agiculual Servces of projects, acquired thomugh participation: Mozanb! que: Rural Rehabilitation Participation [is] awayoffactoringlocalbeblavior Niger. Transpor.t - and beneficiary assessments of risks, costs and Nigeria: Oso Condensate (offshor oil) benefits into project desig ....While those i Nigeria: Multi-state ROadS . assessments consist of rational economic Nigeria Multi-te Water (Funtua Dam)- ... Nigeria: Muti-state Water CZ.aiwa Dam) decisions i the context of the socio-economic/ genegal: WMster m cultw rnvironment they are inclined to be eSega: Dialakoto -Kedougou Road Seneles radstructure/nvironment Taychanias: Forest Resource ivianBox 9-2. EA Reports Selected for Detailed Tanana Forest Resource MaBnagemcnt- l. Uganda: Poe Analysis. Zaire: Forestry/Environment. Best Effort FAs Bemin Power Rehabilitation both the experience and the perspective of the Chad Petrm and Power individual interviewed concerning the issues Ghana Feeder Roads discussedinthis report andother areas of importnce Lesotho Higands Water identified by the person interviewed, that were not Mali Agricultural Sector Adjustment originally anticipated by the interviewer. Mozambique Agriculturl Seices Seychelles Infrasfcm/Envirnment DEFINN oF PARTICIPATION. The review required Tanzania Foest Resource Management specification of a workilg definition for local UgandaPowerII - participation inEA processes. The Bank's OD 4.01 Zaire ForestryfEnvironment description of the expected proces was the primary FdAs reference. The Bank e the boower to take theviews Gabon Forsty/Enviroyment of affected groups and local NGOs fully into Majawi Power V account in project design and implmentation, Mauriius SugaEner (Bagasse) . . . . ,,,.- ~~NigeLia Fadama Irripation - and i particular in the preparation of EAs. mhi sniea Fawer I process is importt inder to understandboth CookandDonnelly-Roark 89 misunderstood by, or to seern. illogical to, the empowermentstrategyinitiat a grup analysis and project designer....Bcneficiary participation in a leamningprocssthatallowsspecificgroupstoinitiate projectwouldalsoservetoalignprojectobjectives action to bring about structural change (Oaldey and and activities with local needs and aspirations. Hardssn 1984). Alignment appears necessazyforproject success These four participation strategies, as defined in and ultimately for sustainability....Alignment the typology, differ substantively in temns of intent, would also scem to promote community and not unexpectedly, the results are also quite iDr!olvement and grassroots institutional diffeent. Key to the differentiation is the level of development, as beneficiarygroups will bemore power sharing and control taking place within each inclined to organize around problems and category. Ithas beenobservedthatticseparticipatory oppormtuities they regard as,important (World categories become differentiated strategies that are Bank 1985). increasingly complex but more directly able to attain The growing concern for sustainability has the objective of locally sustainable development as effectively supported the case for including both participant responsibility and control are increased. localparticipationanden vo ntalassessmentin Using this obscrvation, an analytical framework projects. These two aspects of project design are emphasizing the critical reiationship between mutnallyreinforcing. Requirements forparticipation participantcontroloverprojcctprocessesandiualistic inenvironmental assessmcnts implicitly recogizes expectations for project sustainability has been both people's rights to participate in decisions that developed. It is therefore utilized in this study to wil affect their ecological systems, and the value of further demystifr the concept of participation and their information and analysis in defning options make it more accessible to operational initiatives andmakingdecisions.Atthesameime,therelevance (Donnelly-Roark 1992). of indigenous peoples' knowledge systems and- The participatory strategy of mobilization mnnagemcnt practices is increasingly recognized as consults intemal participants but keeps the the environmental disciplines sig A the importance control solely in the hands of external initiators, of these systems and practices for successfil and is therefore easy to initiate and manage. conservation (McNeely and others 1990). - Because it has no intnally engendered controL Because the purpose of EA within the Bank is Uto it has a minimal chance of creating a sustainable ensure thatdevelopmentoptionsunderconsideration base among the local actor/participants. Actions are enviromnentally sound and sustainable," it makes to sustain musttherefore continueto restwiththe sentoevaluatethesuccessofEAlocalparicipation external agents. Different fiom mobilization, strategies in tenus of sustainability objectives. but similar to each other, the participatory One of the most useful typologies classifies community development/organizing strategies participation approaches currently used by are at the same level of power-sharing.3 These interationaldonororganizationsintofourcategories: two categories negotiate the type, levl, and mobilization, community development, organizmg, timing of control with local participants and are andempowcrment(OaldeyandMarsden 1984). Each therefore capable of generating adequate levels ofthesecategories is definedintermsoftheintentto of sustainability if the project output meets a sharepowerand the types of organizations involved strongly felt commnunity need. Finally, the most Briefly, the mobilization strategy assumes that the complex strategy of participation- basic decisions nnderlyg a proposed action are empowerment-encourages participants to taken at a national level and then invites identified create autonomous realites, thereby placingthe beneficiariestoendorseandcollaboramewithdecisions highestlevelofcontrol andresponsibilityintheir taken. The community development strategy hands, with consequent high levels of orgaz meetings to better understand community sustainability (Donnelly-Roark 1992). perceptions about a pre-identified constraint to Based upon the Bank's definition of local development and involves the affected people in the participationinenvironmental sssments, itappears designandmaintenanceofprojectinitiativestosolve that the "consultation/mobilization" strategy has the problem The organizing strategy facilitates beenselectedfor lementationln the EA proce, group efforts to increa their influence on areas of the consultationlmobilizationstrategycanlflilltwo decisionmaking that affect them. Finally, the different participation objecives: (a) it cam inform 90 Public Participatfon in Environmental Assessments in Africa people about the project and project planners about toprojectcffectiveness. Thus, theuseofconsultation people's views and concerns, and (b) it can create strategies that create the required "space" for local opportunitiesforpeopletoinfluenceprogramdcsign people to influence EA and project outcomes is and implemetntation, without giving them the power defined as the criterion for successful local totakedecisions. Bothoftheseobjectives arccovered participation in this study. by the Bank definition of desired EA outcomes. These two substrategies, although both are within F 4J7gs thcconlmobilizatioa category,uscdifferent The preliminary review of the thirty-five EAs techniques to promote the two-way information identified ten techniques used to focus on local exchange necessary for all participation strategies people's concerns. The identified techniques andthe and can be expcted therefore to have very diffcrcnt number of EBAs using them are presented in table 9- impacts on project sustainability. 1. An unexpectedfinding of thepreliminary analysis The EA "inform strategy," usefuil primarily in wastheverylimitedrangeofparticipatoryapproaches industral country environmental assessments, implemented in the EAs reviewed. assumesthatthepoplounderstandtheissuesinvolved The first five techniques listed in table 9-1 (socio- andhave the ability, thewillingness, and the resources economic docunent review, institufional interviews, to be competitive and confrontational in promoting priorsrveyresults, fieldinterviews, andfieldsurvey) their perspectives with the institutional initiators of arenotparticipatory. They are information-gathering ieproposedprograms. This approach techniques used in social science analyses. Twenty- allows for a two-way exchange of information, three of thre thtirty-five EAs reviewed used one of cffectivelyreleasing the informng orgnizabonfrom these five tchbniques as their most participatory anyfiurtherobligationorresponslbilitytotheinvolved effort Thus, in two-thirds of the cases, real local groups. participation did not happen at all. The EA "influence strategy," on the other hand, The sixth category includes projects that usedfield must opera differently to achieve its objectives. survey techniques to gather information, in which The "influence strategy is basedon an assumption some participatory methods may have been used. of cooperaton, which requires that the initiating However, such efforts were not adequately instituionreonizeits resnsibilitytoberesponsive documcnied. Four ofthe EAs used this approach as to the ideas and cocems of local groups. Therefore, their most participatory effort. The techniques it cannot depend upon the implicitly confrontational descnbed in levels seven through ten (consultation/ nature of "inform strategies" to create a two-way scoping meetings held in the capital city, meetings to dialogue. Rather, proactive initiatives are necessary present the draft EA, scoping and review meetings, to create situations whereby involved groups and and scoping meetings in the capital combined with local people may influence proposed programs and consultation atthe local level) aremorepartcipatoy, decisions. butonlythe lastone fully meets the ODrequirements. D nN OF SUCCESS. When the Bank limited its A total of ten EAs were placed in the partipatory definition- of participation in environmental categories, but o four BAa, or 11 percent ofthe assessmentto the consultation/mobilizatiomstrategy, sample, met all OD requirements for local without negotiation o real power-sharing, such pflpaboa participation could not be expected to make a major None of the three EAs conducted before the Bank contribution to project- ainabilityd twotain this had put its EA policy in place involved any public strategy, however, two substrategies have been participation- In the "best effort" categoy; thireen identified that are likely to ha-ve diffent reslts. of twenty-three also relied exclusively on surveys or Limitingparticipationtoan exchange of information other information-gathering techniques, one may between the implementing agency and other groups have used undocumented participation metods and willdolittletoenlhac local commitmentand'improve seenidmakeaseriousefforttocomplywiththeBA project performance. In contrastg the "influence" policy,includingthreethatfuilymettherequire l more effctivein establishuiiX However, among projects approved since the EA strategy is likely to ~~pohy came. into effect only one fully met the a dialogue that both contributes to beneficiary willingness to be involved and promotes a more reuments, two usedsuveys andmayhaveused meaningfual nformationexehange thatean contribute nondocumented participatory tehiques, and two m canbigfulinform ationc = h angeth atc m contribtft~~~~~~~~- . . Cook odDwmnwilyRoark 91 Table 9-1. ricipatl. Strategies Umed in ZA Africa). BothbeUgWanPaowerlresetlmcatplan -A Ca . andihe GabonFomty/EnviBmm Awerewrated as fB-illfing all OD requiremets, though hy arm - Best Full ~veydiffmntam ofsectrregloo6andlinguiic Technique Completed Effort EA n utrl akrud Na-puticipty - - tingpattemsdode velop,however,wbnthc (F 20 - . - type of consultan used and the amount of ,'me 1. soci ic 0 allowedarefactorcdinForexample,threeofthetour document revi° EAs that fulil ld rirs ts had social 2. lxitfidml 4 scientists on their teams, in two instances interviews - 4 - ° . professionals frm the comtries themselv:s. One 3. CiFan of pner - task manager noted at he was off:red knowdge Citation of prier 0 0 and guidance fom a national ead al NGO srUvq resulb -. -ield interviews 3 12 ~ and that the participatory aspects of the BA we undao=take by a social scientist firom the local 5. EA field suanA 0 1 0 mesty Altugh iwas impossible toasc Umlommented (w--3) definitively, becmuse in manycases Oh exprseof 6. BA fied ywEAteammmbm as notidenified, it smedthat i&iating probable use only one, or possibly two, of the twenty-two EAs of non-do _nted -0 1 2 - classified in the optay categries (one participatoy -t.rugh five) intable9-l hadsocialtsinistswoing tehniqties with 11S: EA t-aI aicipatory (~10) --.-Participation iinputsformostofthereviewdEAs 7. Caltilu. were undetaken at the latter stages of project 0 3 2 idenification, duringprcectprepaon, mdbeore 8. MCCting tD pr*et ap praisaL Both technical EA findigs and 0 1 lo particitn inputs oile seem to have had little itlwc on the proposdprject's direction. Itwas 9. COOMIatil .Xnot clear whether EA conulant understood that scoping meeting aod 0 3 1 local grups were to be give the opportiiy to eting to pt r - - .n rf mEACtIng ~ pr~s~~g ~ influence project decisions, as opposed to only 10. - infmammg them of project plans. For instance, wie 10. Coai - - . a number of EA reports called for people's capital and 0 3 I participatnintheprojetitsel4thbAconsultants msol at th ocai -did not sean to fee that they could ope up the -lvel discussion an prqect altematives with local people Totlas - 3 27 5 -durinthe EA procs. TheseEndings raisdscvral NoWc Each EA was categmized bed up mostta s. part ;atoy statcay used' For casinp, an EA Conrns - catgoized at level 5 has mogt 1lely mdruk some of the aedvities listd in caemies I trugh 4, but NONPARICIPAToY ApAcHEs. The first five has not umied anyslsrat±si in cgaeries 6 ftmgh techniqueslied in table 9-1, classified as 10. nnparticipaty, were sectd by 66 percent afthe conducted aiy scopig meetings in capital ciies to secre NGO input. iAte watteinstriianleveloratthfleldleve Analys of diffences among the twety-three w of assum ed to fi the requiremnts by EA nWmarpaty EAs and the t EAs at had consultants and in a few s were explcitly id'nifiedp0aianini v sisinstudtiveThere classified as a method of participation by team wasnosintermsofprqecectctor: mimbers. But becaus the primay dobjective of am country cultural background (anglophone/ Hit istogaminitdosnotqualifyas lancophone), ar gogrphical origin astWest a participon strategy. Intheinterviewprocess me 92 Public Panicipation in EnvironmentalAssessments inAfrica may inform the other of one's puipose, but the main to be easilyrectified. But it should be noted thatlocal focus is on meeting the informational needs of the social scientists mayhave good reasons forfailing to interviewer. The interviewee undestands this as part docunent these methodologics. First and foremost of the unspoken rules of the interview and therefore are the anticipated attitudes of donor agencies who will not press for informationL may label techniques such as surveys and field Withinthe field interviewtecinique such asthat in interviews "subjecive and anecdotal" and therefore thetwelve EAs in the"best effore'category, somc of ofmarginalvalue. Manysocialsciensts,eventough the consultants did extensive one-on-one field theyuseparticipatoiytechniqucs intheirwork,believe interviews. Not-all of the consultants claimed that that it is necessary to overlay this technique with an this ffilled EA requirements, but this was the objective survey in order for the final report to be impliciteffectsiuceitwas theirmost"participatory" taken seriously by the fimding donor. A second effort. In the institutional interviews, on the other reason for lack of documentation may be that the hand, several consultants defned normal working survey-reportingfonmatplacesathirdpersonbetween interviews with various institutions as fulfilling their the local person and the reader. Because many social local participation obligations. Field surveys were scientists donotwishtoplacecommunityinformants alsousedtofulfllUthelocalparticipationrequirement under undue pressure, this is a convenient way to But the field survey, as normally implemented in depersonalize the reporting. standardsocial.sciencepractice,alsodoesnot qualify as a participation action for reasons similar to the - A NGTIt OP REQuIREM Only four of the field interview. Standard practice for surveys is for dthity-five EAs (11 percent) were.found to meet the the consuLtant to define questions, select sample operational directive requirements for local populations, administer the survey, and analyze participation, another six were identified as using responses-actions all based upon the gathering of somedocumentedparticipatoryinitiative,andanother information. three as perhapshavinginvolvedsome udocumeted - The field interviews, although not fully part.icipation. Of course, a large majority (thirty) of participatory, seemed to be legitimate first efforts theEAsrcvwewedwerecmriedoutbeforetheBankss usingtechniques thatwere known to the consultants. OD requirenents came into force. However, it is *T-o some extt, it seemed as though any rsearch mit2sgton 4t,there1wanotalso geang ease . ecchnique normally used by sociologists or fthe share of fully satisfacto)y An beLwecn (Its anthropologists, was deemed to be adequately effo"(3of27,or11percent)and"full effort"(1 participatory. The use of agency interviews to ffill of 5, or 20 percent). This finding indicates that the local participation obligations seems, on the other introduction of a formal requirement for public hand,tobemoreofanend-mrunxmdorganioly -participation is not sufficient for its successful imposed obligations that were not appreciated or thplementation Fuhermore, this evaluation makes understood by the borrowers or the consultant EA nodistinctionbelventhe"irfotn"andMinfluenceZ - te:ams. - - - sub-categories of consultative participation. Whe "influence" is defined as the objective of EA LACK OF DOCUMENTATION OF PARTICIPATORY participation, onlytwo(6ercent)oftheEAs reviewed APPRoACHEs Someparticipatoryactivitiesundertaken m were not adequately documented. These were most n n t ^ - r 1 . ~~~~~~~~~In concluding this camnparative assessment, it often found in the case of national consulting appears that two actors priaily contributed to the sociologists. Three field surveys, presented in the n s f n - e~~~~~~~~~~~xtensivc use of nonparticipatory approaches in thec accepte dsurvey foatinB reports,p bably reviewed EAs. First there was a lack of EA team undertook substantial participatory consultation kowledge or expertise about what constitutes during field survey efforts. This became apparent , v . ~~~~~~~~~adequatepubhlcpartcLpatLon, and how to go about it; during the review because despite the lack of a s a lak of BA team expertise on how to documentation, the information gathered and o discussed was not of the type that one can gather in that used demonstrable levels of particpation, one the regular type of field survey. This participatory primary factor in the success was EA consultants nlentabon was doumented m one instance Through .who were knowledgeable about participatory an interview. This lackofdocumentationpprs, atfustglance, tue- Cook and Donnellj-Roark 93 Ciriical Lanes Table 9-2. EAs Meeting Participation Objectives This sectionconsiders three categories of issues that haercentage) became apparent during this assessment of EA All EAs Padicipatozy EAs participation activities. The first category includes Objective (-35) C-JO) currentorganizationalstrategyissuesandtheirllkely No parficipation 63 n.a. relationship to long-term effectiveness. The second To inform affeced 23 category analyzes implemenhtaion issues from the and interested groups viewpoint of a participation practitioner. The third To enable infucncc category includes the operational perspectives of by affected and 6 20 task managers and EA consultants. intESOd SLups n.a. Not applicable. Strategic I-su-s Source: The authors. This review indicates that fiuther clarification is needd by task managers and goverments about the Bank docmts cited earlier, and in other high- whichmethdsto use andwhatparticipatoy objective level internal discussions,thephrase'cake the views to pursue. The results also suggest that a scra of [the groups concerned] fully into account" is approach to participation strategy selection my be interpretedtomcanprovisionofadequateopportunitv most eflctive. for consulted parties to express their views, and be taken seriously, rather than to be involved in apro PARTICATONOBCrIVES. Onlytwo oftheEAs used formcaxc"oise.A gho sitwidinthemostfininimal an tinfluence" strategy. However, project participationrrageofconsultation,reorientiugthese documentation and intenviews with task managers consultative strategiestothe"influence"ratherthan and consultants indicate that more positive results the "inform" objcctive-by reformulating the wereachievedinrbecaseofthetwoEAstbatfocused stipulated meetig procedures-is of particular on "'influence," as compared to the eight that inportance because it offers more substantive ijud attempted only "inform" procedures (seetable 9-2). ainable msults. For instance, in the Gabon Forestry/Enviroment ancpossiblyto alesserextentintheTanzaniaForcsthy/ PROYaCrSECToRFACTORS. The reviewed EAs did not Environment EAs-both of which fulfilled OD adjust participation approaches for prqject sector, requirements-local groups were seen to have intcnt and impact. However, the analysis clarified positielycinfluencedtheshapeoftherCsultingprqject how sectond differences may affect the outcome of Thus, it is likely that both EAs left the participants tll?P BA participation process. For instance, a project feelingthatitwas worththeefforttogetinvolved. On such as -Lesotho Highlands Water, which primarily the otherbandthere are severalprojects classifiedas befitsthenationalgovermentwhilecausing direct participatory that did genrate involvement and did harmtosomeindividualsorgroups,isquitedifferent 'inform," but because of their unwilingness or from Mozambiquc's Rual Rehabilitaion project inability to respond or be "influenced" by local tiatwasdesignedtobenefitthe participants.Despite concerns, are likely to have generted feelings of these obvious differences, both EAs used -similar skepticism. The Mozambique Agicmulual Services participation approaches. EAdiscussedlaterinthissecdionsflsinthiscategoy. M the ten EAs using participatory tchniques, This differentiation between the "influence" and eigused,as an informalmodel,the ODprscibed '"31fiO" processes points to a critical anomaly in consukationandscopigmeedngsnthecapitalcit present Bank participation procedures, in that tbe andtoalesserextemdiretconsutationnithaffected OD-stipulated meetng requirements only achieve- groups local areas. Results of these efforts varied tlhe sub-optimal"informationobjectives"withinthe according to sector. This orientation worked well for consultation strategy of participation. And EAs in the eergy sector where resettlement or achievementoftiis minimallevelmaynotbe adeqe mitigation was required. For instance, both Lesotho in tms ofthe EAs'overall inent Otherpartsof te Highlnds Water Supply and Uganda Power m same OD require, for instance, the EA initiator'to fulfd OD requirements and defined substantive allowconsultedpartiestoexeciseinucewithout mitigation plans. The fit between energy sector the deisionmaker giving awaythe rightto decide. In projcts and prst OD consultation requirents 94 Public Participation in EnvironentalAssessrents in Africa is furtherillustratedby thefactthatsixof thetenEAs see,n as essentially apro forma exercise. rated at level seven or above are from the ener Sectoral considerations are also relevant to the use sector. of "influence" rather than "inform" substrategics. The other four projects that were rated at level For instance, several energy sectorprojects were able seven or above were all in the agricultural sector. to ijilfill OD requirements using a participation Because agricultal projects depend on and are strategy based on "infonming" affected groups and expected tobenefit localpeople,therewasagoodfit subsequently involving them in mitigation betwecn this sector and the participation process. discussions. Although it could be. argued that these This sector-oriented fit was borne out in interviews discussions involved an element of influence, these with the task managers who indicated they made local discussions conceming mitigation had litle to greater effort to promote local participation when it do with influencing the choice or design of a project seemedrelevant tothe EA process and to the project but ratherwith diminishing themost negative affects itself. Where participatory efforts seemed of afait accompli. Thus, although this "inform" inappropriate or peripheral, as for example in proucss met the OD requirements, the majority of infrastucture projects, reliance on nonparticipatory task managers involved in energy EAs made it clear strategies was, m essence, the default selection that they doubted the borrower would comply with Energ;EAsthathadfewmitigationorresettlement thetersofagreedmitigationorcompensationplans problems found the prescribed model redundant; if the Bank did not monitor them. withnoimmediatcimpactonlocalpcople,therewas In comparison, the agriulural sectr EAs often little reason to involve themL For example, the Chad opted for the "influence" process. For instance, in Petroleum and Power Project had no resettlement the Gabon Forestry/Environent EA (see box 9-2) problems related to the placement of the pumping the task manager initially assumed that the EA local station and the pipeline. The possibility of the local participation requirement meant "inform" only. people near Lake Chad being able to "influenc"7 However, as the proNcss began to take form in the nationalleveldecisions cerngtheprojectsermed countrythroughaseriesofcetingswithlocalgroups, reote. to the ipleme agency and the task it created a situation such that local people's manager. Nigeria's OsoCondcnsateProject(offshore perceptions clearly influencedtheprojectin terms of oil) found itselfin asimilar situationwhere therewas an incrased focus on agro-forestry in the final plan. no immediate impact requiring resettlement or This orientation to the "influence" sub-stategy can compecsation. It was clear that the small fishing also be seen in Tanzania's Forest Resource, communities surrounding the designated ocean bay Management EA, and to some extent, in Nigeria's were noL in a position to influenceNigenia's energy Fadama Irigation EA, among others. policy. Both EAs therefore used noaparticipatoiy techniques that gathered information on possible . impact but did not share information with the local The secomd level of analysis concerns itself with communities. implementation issues, fiom the viewpoint of the However, using these nonparticipatory participationpctitionr,hatcouldimpeeeffcctive methodologies left substantiveissues asidethat could local participation in EAs. The five issues discussed have been of critical importance to local people. For here areillustatedbyparticularEAsbutarerelevant instance, in the Nigeria Oso Condensate EA, the. to al EAs whose objective is to promote local possibility of leaks slowly diminishing the participation that can influence project decisions. productivity of shrimp. fields, although of clear concernto local peoplewho dependedonthese felds TWO-WAY COmmUCA.fON cApAciry. Successful for tieir income, was not discussed because the EA participation initiatives are built upon effective two- was nonparticipatory. Agency officials and task way communication systems. In the preliminary managers are aware that in large national energy or review, two substantial obstacles to communication infrastructure initiatives where there are few were found in most BAs. The first obstacle imolved mitigation alternatives, there is realistically lite the difficulty expenenced by task managers and chance of local groups influencing the government implem ng agenc staff in identing legiimate And if the views of local people are of no accourt, local groups that could effectively link EA requirements for local participation are likely to be participatory initiatives with traditional community Cook and Donnelly-oark 95 institwtions to facilitate substantive communication gecder inclusion was minimal. For instnce, in the and participation. Tanzania Forest Resource Mnagement EA, six Identification of local groups is related to the participatory meetings were held with a total problem of establishing adequate communication attendance of eighty-nine people, only five of whom with groups that represent various perceptions, were women. The GJabon Forestry project, although including women and poor people who are not well docmented, made better efforts to involve marginalized in their access to both information and women, perhaps because the person in charge of ability tobe heard. Contacts with indigenous councils initiating local participation was a woman. Overall, may be criticized for being all male or elite, wvhile however,thewasagapbetweenstatedBankpolicy contacts through government-formedgroups such as and opeational performance in this area. cooperatives may lack legitimacy with local people. However, two groups of projects found some cIdnfMaTIONy EEDS.qThe EA,t wth its chale to workablesolutions. Forinstancethe GabonForestry conitialitrequirements and mandate for local and Tanzania Forestry EA teams contacted diverse arethlnkingofhoWmftiOn can be more effectively shareL There are often. large groups through initial contact with local authorities and subsequent use of radio to announce open for the Bank but this information isrrely shared meetigs. This method, which must include retur withe lanl pol Sinc Bank reports haved visits and be tailored to the individual situation, is with 10GII people. percepns one that is used throughout Afiica. It gets the quaty doc local people's perptions information out and the discussion going. With as to project Impact and problems the validity of variations, itcanbeusedalsoincapitalcities. Another local comuityinformationnaynotbercizd method that can be used successfully is that ofa by remment or Bank offics. For instance, the seminar of one to three days with interested NGOs Fisheries Project EA done for Malawi had no input and agencies, as illustrated by the Mozambique fom local peope However; It is a weLl-done and rlE tPower V informative study that could have befited firm Rural Rehabilitation EA;and the Malawi local people's knowledge. Just as importantly, involved communities could have benefited from The second obstacle to effective two-way. communication is failure to provide adequate dcYSotst information to local people so that they can develop iffli their own decisions. the capacity to influence or take decisions. Hare the EKPERT DEcIoNs. A number of reports reviewed problems experienced revolved around the code of make it clear at in discussions withNGOs orother confidentiality, especially concerning budget groups, strong fears or criticisms concernig the iformation or expected negative impacts. For expected impact of a prqject are often voiced by the example, in the Tanzania Forest Resource participants. In some ases, the reports indicate that Management EA, the EA team did not have the th EA team dismissed these objections as not necessay project budget information to answer probable, or, that in the team's view, there was questions raised at community meetings. In the insufficient evidence to give them further Maritis Bagasse meeting with NGOs. the written consideration information provided with the invitatien addressed For instance, the Mozambique Agricultural the issues only in a very general way, effectively Services EA reports that NGOs were extremely obscuring issues that could be debated concerned that most of the fertile land in the project Gymm Am r a Oy t area would be used for cotton crops rather than food repots made any mention of efforts to secure the crops. Th.EAteamdidnotagreerwiththisassesmat participationofwomen,whilennemadementioeof and responded with a five-page analysis of the partiipatinofwoenwMnonemdemenonof relationsip betwee food and cotton production. specific efforts to include poor people. Nigeria's of respons did not to a FadaalirigationEAmcntionedthatwomcn7sviews However, this type ofresponse did notbing to allay FadamalniationEAmdentonuedthad twomezCiews the real and valid concems raised by the NGOs. .were not included because of the difficultyoftafldng Inia,t co hevldyofhiroaybsd with women in a Muslim culture. The Ghana Feeder ead, it dened the validit of locaLly based RoadsPrqjeccEAmademcntionofwomens planned views m comparso to those ofthe expertwho may -involvement in eproposedprtec or may not be able to predict the outcome more Evenwhmenstrongparticipatoryeffortsweremade successfully. This expert orientation works against Evnhn"gpr iaoycfrtma 96 Public Participation in EnvironmentalAssessments in Africa participatory inputs, undermines local authority, and groups, inadcquate follow-throughon issues that are diminishes local knowledge systems. Such attitudes important to local communities will only confirm pose major obstacles to developing community such skepticism. capacityfor self-reliant, self-sustained development. --. - ~~~~~~~~~OperatfonalIssmes FoiLow-TmouGm The question of follow-fbrough Foaow-enmioucal Thople question ofe olo-attheir This tird level of analysis briefly documents task is essential if local people are to seethther Ti participation inEBAs has any impact. A large number managers' perspectives on operational issucs and ofEAreports make suggestions-bothenvironmntal -discusses them in terms of effective program andparticipatory-concerningissues thatneedto be mlementaton Itervews indicate that several of addressed for long-term, sustainable success. the operational issues seen from the task manager Actionsto addrcss localconcens needtobe included perspcive ar sinilar to implementaton issues as in the mitigation plans recommended by EAs-a seen from the participation practitioner perspective. adoptedbygovrnmentsin agreementwiththe Bank iewreult5 alsomdicateastrongconcwi among at negotiations. Although it seems to ma that the task managers about the sustainability of the EA Bank should have sufficient administrative and local participation process, given the resources monitoring procedures to follow through on the d for its suppor- agreements made and assurances provided at Issuesofoperatonalconcernwereslaramong negotiations, only conditionality associated with the timingas aprimanaL hmajimeioned loan or credit agreement is really enforceable. tinugas aprimaryconeeni Themajortymentioned One of the critical issues for local participationi bothifunding and organizational incentives as making the draft EA available to interested groups, extmey important to the success of EA local as provided for in the OD. Except for the EAs tbat yaflAflon itiatives A majority also indicate held seminars such as Mala'wiPowerV, ti ise interest in systemization of local participation formonas towhereandhowthisinfopmationhas rocesses and expanded training for task managers. been made available. Other issues concern the TRaG. The inadequacy of the time allocated to executionofagreedprograms,such ascompensation facilitate or initiae successful local participation forpropertytakebyaprojet Forinstance, although was the primary concern of all task managers. All but much time (and mony) has been spent defining one felt that the time allocated to them was not compensation for affected groups in the Uganda sufficient to ensure success. For instance, seveil Powerl and LesothoHighlands WaterProjects the task ers hadmadeno countrytriprelatedto EA proper execution of these programs will require localpartcipationduingplatmingorinpltion. continuous monitoring. The BA for the Mauitius Itisinterstingtonotethattheonetaskmanagerwho Sugar Energy Project suggests both air quality and felth didhavesufflcienttimepointedoutthathewas worker health monitoring According to the task ableto makeffiree trips to the countryduring the BA manager, Mali's Agricultural Sector Adjustment process, and that the local participation phase had Loan(SECAL)seemstohavesupportedasystematic actually taken about nine months. He attributes the follow-up on most of the issues idified in Et EA. EA'ssubstantialsuccessprnarlytotheimvolvemt Ensuring effective follow-through on of groups at all levels, which also took substantial recommendations from participatory cnsultations amounts of his and their time. is critical for long-term success, as effective Task maagerswhowerethemostsanguineabout participation is always based upon expansion of i esh abletonarkwihsgniI trust An illustative case is the Tanzania Forest institutions and pass the responsibility to tem. Managmet EA that strongly recommended and Examples of this type of situation inlude Uganda emphasizedtheneedforlocalgroupstoparmicipatein Power III and Nigera Multi-State Water. For the preparation of Forest Reserves Management Plans. maj ority who used intemational consultants, finding When these types of actions are discussed at length and organig funding for EA local participation withlocal groups,effectivefoliow-upiscriticaltothe initiatives was also a time-consuming tast. Several long-term success of the project Because Bank tacmanagerspointedoutthedifficultyofattempting endeavorstosupportcffectiveparticipationareoften to facilitate participation planning duing regular regardedwith skepticism bylocalpeople andoutside project preparation missions. Theyfet that it needed Cookand Donneilyoar* 97 someone that could stay involved and come and go out publicparticipationprocesses inconnectionwith every several months. Most thought the minimum EAs. While the long-term regional strategy is to process time would be approximately nine months. strengthen in-country EA processes and institutions One task manager suggested that for the countries through the implementation of NEAPs, this process she worked in, an ideal situation would be to use a willtakealongtime. Inthemeantime,taskmanagcrs regional consultant firo a neighboring country. and their counterparts in project - implementing agencies need to gain a more precise undestanding FUNDING. A mqjority of task managers pointed to of what is expected of them and to acquire process inadequate funding for local participation efforts as skills in order to demonstrate and model the use of an obstacle, while others felt that there was always r m i p p a . . . participmatory rnethods in project planming and funding available somewhere, but once again it took - . time to find adequate and appropriate sources of implementaton support.TheuseofBanktrustfundsrulingoutuseof ImpLications d Condcusions national consultants was also seen as a problem by sdoutthe negative -The World Bank strengthened its EA policy with the impact ofhaving no fandmg to contnuc participation inc ionofr enforlocalpartrczpatron. processes if the project appraisal is delayed for However,thisshdy ndicatesthatthepolicydecision intolatrdreasOns. - was the first and easiest step. Successful WheregovermmentsfundedtheEA,taskmanagers implementation will require substantive, long-flrm were forthright in stating that the borrowers camed organizational commitmnt The study indicatesthat outEAsandincludedlocalparticipationonlvbecause !mbmpa IP rn Pc 3m they were required to do so by Bank policy.. This impacts on bot the EA process and the proposed perspectiveismostcommonlyreportedincoimcction project However, and more importanly, the rport- with energy projects, such as Uganda Power m, R indicates tat is is not presently the case for the were primarily concerned wilh impact mitigfi. largemajorityofEAsassessed. Morethanhalfofthe However, in agricultural sector projects, such as EAs reviewed wme found not to have used any Gabon Fomstry/Environment and Mali Agricutral discernible participation iitiative whatsoever, and SECAL,taskindnagersrcported anincreasing concern only four of the thirty-five EAs fully met the OD and involvement among govenment agencies. This req'nets. Finallythepreccdinganlysis indicates was also reported of Malawi Power V, whichl waS three areas where recommendations can be made to more concerned with environmental manxagement irprove ffie process of local participation inprqject than mitigation. e-nvkonmental assessmnts in Africa. INcENTivES. All task managers were clear and O nal Changes articulate about the lackof Bank organizational and Participation processes are unique in terms of career development inentives to promote local organizational initiatives to promote changc The participation processes m. EAs. There was a clear resitsofparticipationendeavors arenever neural- belief and consensus that EA local participation they always havea felt impact whether positive or policies were initiated due to outside prcssure and negative. Unsuccessful or perfumctory, pro forma that intemnalfly e oranization would continue to participation initiatives can create problems rathr reward its more product-oriented, time-sensitive, thancontributingtoprojectsuccess. Often, however, top-down managers and stafE Many of these same negativeimpacts arenotimmediatelyexperiencedby task managers said they spend more time on these the organzation itself but rather by participants issues than warrnted by the present incentive involved with the insution in its participatory structre of the Banlk They thought the situatim -endeavors. Consqently, organizationsmaybeslow would not really change, however, until senior tomakethene ssaryadjuents.Howsrnegive managenment provided adequate resources of ime impactscanbediminishediforganizationsareaWare and findingto accomplish these tasks and rewarded of the potential problems and take prompt and staff for taking these imtiatives. approriate action. TRAwua Most Bank task managers are not wel The findings repoted in this paper suggest that an preparedtoossistbarrowersindesigningandcarrying array of sustained organizational initiatives will be neededinorderfortheBankto successfilly ote 98 Publc P010pation hi EAitronmamatArnsman hi Africa public paticiption mi EAs in Africa even at the satg canacWilyacamplish. Usingthbe dyted minimum level of participation presently being frm kbridlydesmeibedshisdiapter,lhWadd prmoted. The analysis indicates that participatory Bank OD, with its specification of -conskti iniiaives should emphasize consultatio stategies strategies, has chosen to uilize dte mnima leve of iapeamtandec low eoasto' iflueo participety dialogue, which either '"if " or proposad projects, if tey a= to gerate some level ivites ilun e but does not share or negoa of trust and commitment-always needed for dAcisicmai can c be mde for slecdon of participatory process thg te participants. thi mnim stadard, because is borrowe mpliementaon and operational analysis indicate (governments) who will, in the long term, be that if EA loal parficipation proces aw to be repmnmbleforthesenitaives, udidendifcaim effedvely supportbytheBank a number oflong- of this parcla participa itr provides a standing organizatiol prWacdces will need to be base far a defmition of stadards ta cean, -most changed. And finaly, ov=al results of the miew likely, be mutuay adopted. indicate ftat the responsbit for dte EA process Howev, while the Bank, as a develoPment itself needs reconuderaion. assistae agemy, ca do its bet to kip bwest ohp Irbonfo-&ibt - ~~~develop&cheapitytcy ton y outtlqx isL, Implicaton forSutiaiyV hc 1 i5 b tY - - aMMn msmy offimassociatedwiuth ecnmc and In paticipatidon deavors, dnmic procsses build fincialn itcanwt8atdoesnokcatd truand a gyforutxual action,whleperfictory tispross.Forsustanalefollkow-twhtoanerge ro sbWid ccismandfeednegativecanfict at the bomrwer level, the Bank will therefom One task ma iustd the Banlk's diffin necessari be obfliged to chge its presnt way of sitfiu -intrmsustainabilityforEAs-when im plemeting policy and begin to atilie specified he poind out that while be wasstrogly in spo PartPaY statSegieS with each govermt The ofparticipationefforts, helbs,waheesnt situaton I1otEApofi Slisdct8ding1hei1 dims and policy both vr usefl and dingu." of where ssanabit rests during tie long t=m This task gerbdieved that mch of the wcok rather than just drig iniation activtes. Key beingudrakmi under the participatioan bric was sutin t dscisos are always tae bthos "lycon---i-dnnidthewholeapproa& with the esonsbit c program, Maintenance as wil fall into disrespc if standards are no m opposed to only program tiatOL This is tUe Hehasapoint.WilethevnatueoEyare Fn wh it is a project intracting with commuity eIdesthesructueof guidlines,itiscnbancedvhea people or a donor intwactig with a govenment expecation ad stadards me explicit Whn in oonchusio partpo strategies that XPct sndsarenotmadeexp,prpa±oy fhetoic to build sustainility most move away fiom the tends to confue the issue and te end resut is conm* pouetomutinudcflnitioosofpmbl destabili of process and prouct This meas and acts. Mixng cxptatis of susWaiabily that potential dynamic participaty procesies wi w participatiobasedoncoWpliacereqeCmeft meph ctryc bwditinarlitis eBankand s af4rnmlaforfailure Thuscpecting borrowr staffs spnd the minimal time reqaed fir to take spobility for a process implmend suporfici complance. Interny, voices will begim between the Bank and govenment by usmg to complain that participaticn does not work; i es , atbesconsultationstrategies, adrmaly, borowers w make fewer cfirts to places the long-trm biDtct and sn blityoffte comply with what they perceive as "green environeta assesmt program at risL These ondimuW simp donthembytjBaindte issues need to be conideed if EAs and local nme of nv mt and picipan are to beceSIy Defining parpatory stmndards is therefore . tldorand-eS . cswntial for successful and sustainable implmn . Thefrststep indhspcficainof participatostadards is atching ofobjecives 1. Tlb phiobphy tbat padicipatio wmtld mak for with a prefrd pacpaion srat. Here it is of bawixm*tsandpwgrmsneitswayin mtom critical importa not to confas overdy optimistic dI8dCIRItaMainUtWikduId%&hl 1960sand expectation or reict. with w t pacipatr uly197OL&Svail. sxi (Pddk ad e&do& 1973;r. q~~~~~~~~~ -Cook andDonely-Roar* 99 Huntigton ud Nelson 1976; HoEndlo and Klauss 1979; - Countris. sponsored by UNEP. London: Hodder and Bryant and White 1982; Johnson and Clark 1982; and Stoughton. Chambrs 1983) ealuited the failumr of the fint two Arnstein, Sherry R. 1969. 'A Ladder of Citizen decades of intcmational development asistanoc to Participation." Journal of/the A,e*Zk*ar hiide of eliminate wadd prty, ngesting that the mer trnsfer Plamers 35(7): 216-224. of Wasten modds might not respond vey well to the Bryant Coralie mg Louisa 0. Whit. 1982. Manoing realities of life in hie developing word Participation in Development In the 7hird WorlS Boulder, Colorad-- project planning was soon as a way of ensurinng that - Westviow Press. proobssevedtheneedsand priitimofdhbeneficiries C;nmca, Michael M, ed. 1985. Ahft Peopk FPnr andwondbeappopriatetotbcpoliticalandmam'o-cultural - Socilgical Varlabes In Rural DeNIOpmenL 2d ed. conte. It was- expected. hat p.ricipstiou in plnning 1991 .. New Ycr Oxford Univsity Press. would lead to or e ffective mobilization of rces for Chambe Robert. 1974.MaagfnRuraDewlc.pment projctt implomentation and inreamed sustainabiUity of Adear and Fperiences fr- East Africa. Uppsa ddeopnetprogrsaaftoinitiap.ectswe completed. Sandinavian Institute of Akia SbLdi. Revwsofexperiencewithpovrty-on ddevlopmet -. 1983. PRurlDevelopment.' /Pls1 theLastFirat. assistu pears fitm the early 1970s stmssd the London: Logmanm apparent relatiornhip betwn partiipatoy design and Dianelly-Roark Paula. 1992. "Effectiva Support of progam succss (Lois 1975; World Bank 1988). Grassroots Participation Within Large Donor 2. When the United Natim Evirment Pro me Organizations." 13NDPsBiefng Pper. New Yorka (U .first prepared EA guidelines for developing BP1E. ountries, its eatment of "public infbrmation" was Hcwdle,GcrandRadilauss,eds. 1979.Ankerwand cimumspect While commning the notion ofscopiug DevelopmenMtdkbilsraion: Impkptaai oA . as a way of incorporation 'local values' in the forDevelopmentrec;ts.NewYork Praeger. demsmrmikmgpanam,UNEPpaposedtbatpublicmrvw Huntbngt, Samuel P., and Joan hL Nelson. 1976. No andcommentbedeferiduntnuchofthetmhnicalwork Easy Choice: Polidcal Participation in Dewloping rasdone(AhmadandSanmny l98)M Thisrecamod -on Conares. Cdmbri : Harvard Uniwsity PresL . was based on tho bdid that "the public is bter able to Hyden, Go=L 1983. No Shortcvtf to Progress: Afrcm gmsp and react to cdler predictions rathb than nobous -ur Devlopment Mowgcment in Pcrspectfve. Berkekey: concepts" and 'tbhe is a tendenay to lcse intest in an Univmersi* of California Press. issueaertime" Tbepurposeof publireviewpedus Johnston, Bruce,andWillimC. Cla 1982.Resigning isdoswimdas being to ensre that affcted parties wilinot AuralDmlopment A&atgicPerspciw.Bhltimore: seek redress rough unacceptable actions such as Johns Hopkins Uniesitviy Pre demonstration or la_suis-in other wids, co-option Kauah , RB. NganwvA 1990. "Local Participation in TheUNP pWideineexpliicitlyqiected thepub]ic hearing Environmental Assessments ina Africea. viAonut appaiLchumdintoUnited States, suggeting tbainfomal Division Thical Note 10, Africa Regio, World metigs or odhr methods may be more effective m Bank Washingtm, DC: developing utrie Kotak, Conrad. 1985. 'When Pbople Don't Come First 3. Amstin (1969) distinguished eight lewls mn a- Some Sociological L -ssons xmnCoMpletd Projects." "laddY? ofplblic participation, rmked acording to the In Michael ? Cernem, cd. Putting Peopk First: desofetizen=cntwl over planning decsons. Gmrst Sociological Variables in Ru ra Development, 2d ed., two laels, ncoo g and 'therapy," she desbes as 1991. New Yok: Oxford University Press. non-participaorytheyinvelvmanipuxlaingpublicapmion Lele, Uma. 1975. The Design of JRhu Devloment togaimncscntfbr&eprqect, zaerthn p g attnton Lemons of EWericnce. Baltimn: Johns Hopkins totheviewsofthepeopeTheaiddl steps,"nfrmation" Uaivrt Psress. (inXXming people about the pjet), -consultation" McNeely, J.A., K.R Millr, W.V.C. Reid, R.A (obtaining people's views about the project), and Mittermierj and TB.- Werner. 1990. CoserIng e "placation" (modifyiag the project to make it rare World's Biological Diversity. Wuhington, DC: accephtble to the people), se describes as tokmiumOay lIntntionl Uni n for t Conservato of Natr, he uppr pat of the lddcr, inoving "partnershrip," WorldResources Institute,W dBad ,WodWiladie 'delgtd powerr" and "commnmity conto can be Fund, and ConserAtion Interational. seen as enabling citizens to participate in the Moss, Elliott R- 1976. Strategie fJo. SMo Farmer ecsr i_ p s.. Development: An Empirical Study of Rural Develop. entProjects. Boude, Cocrado: Wvstview Alunad, Yusuaf audGeorgeLSamy. 195l, che ~Moynihan, Daniel P. 1969. Maximum Feasible to fEvbiwn.meal Impac Assessment b Dewvcplo Ap6drstamddg. New York FreePress.-- Nag .WiIlianmJ.,andSaqcyGhos. 1990D.Comunnity 100 Public Participation in Environm.ntalAmsessments inAfrica Participation in World Bank Supported Projects." 1991. New York: Oxford University Press, Strategic Planning and Review Discussion Paper 8. World Bank. 1985. Sustainability of Projects: First Washington, DC: World Bank. Review of Experience. Operations Evaluation Oakley, Petr, and David Marsden. 1984. "Approaches to Department Report 5718. Washington, DC. Participation in Rurl Developmnot." Geneva: ILO. .1988. RuraiDevelopmentr WorldBankExperience. Owens, Edgar, and Robert Shaw. 1972. Development 1965-86. Operations Evaluation Department. Reconsidered: Br!dgingtheGap between Government Washington, DC. andPeope. Lexington, Mass.: Heath. -. 1989. Sub-Saharan Africa: From Crisis to Ortolano, Leonard. 1984. FnvironmentaI Planning and Sustainable Growh. A Long-Team Perspective Study. Decision Mardng. New York: John Wiley and Sons. Washington, DC. Paddock, William, and Elizabeth Paddock, 1984. We . 1991a. "A Common Vooabulary: Popular Don 'Know How: An IndependentAudit ofi %at They Participation Learning Group." Unpublished paper, CallSuccess inForeignAssistance. Ames, Iowa: lowa Exteral Relations Department Washington, DC. State University Press. -. 199 1b. Environmentad Asseszment Sourcebook. Paul, Samuel. 1987. Community Participation in Vol. 1 iolicies, Procedures and Cross-sectoral Issues. Development Projects: The World Bank Experience. Technical Paper 139. Vol. 2. Sectoral Guidelines. World Bank Discussion Paper 6. Washington, DC: Technical Paper 140. Vol. 3. Guidelines for World Bank Environmental Assessment of EnLergy and Industry Rannrey, David C. 1969. Planning and Politics in the Projects. Technical Paper 154. Washngton, DC. Metropolis. Colwunbus, Ohio: MerilL -. 1991c.CountryCapacitytoCondurtEwicnmentar_ Salmen, Lawrence E. 1987. Listen to the Pcople: Assessments in Sub-Saharan." Afirica Region, Participant-Observer Evaluation of Development Enviroment Division Working Paper 1. Washington, Projects. New York: Oxford University Press. DC. Uphofl NormaL 1985. "Fitting Projects to People." In - . 1991d. "Local Participation in Enviromental Michael M. Cernea, ed., Putting People First: Assessments." Africa Region, Environent Division Sociological Variables in Rural Development, 2d ed., Working Paper 2. Washington, DC. 10 Flood Prevention and Mitigation in Bangladesh: The Needfor Sustainable Floodplain Development C Emda Haque inrecetyars,manysebolarshavevigorouslydebated Flood Hazard the question of whether flood prevention should depend mainly on structural (macro-engineering) Ihreaid Responses measures to confin floodwater in the nver channels In Bengali clture, th word "flood" comotes both or whether there should be a much greater &iMphasis a blessing and a curs The tezritoiy of Bangladesh is on the development and implementation of non- sitaad on the delta of the Ganges-Branaputra strucralmeasurestonitigatetheimpactsoftloods. river systems with more than 350 other perennial The preliminary findings from three years of tributariesanddistnbutaries.Itlies atheconflece feasibility studies have influenced the World Bank of three of the world's mightiest rives: the Ganges, and other donor agencies to move away from asole the Brahmaaputra, and the Megmna. Exept for the emphasis on structural-eginering schemes towad tertaTyhills oftheChittagongHillTTractsandSylhet, morenonm-structuralmeasues.Atthetimethischapter the elevation of the coumtry is very low, averaging was vaitten, the Govermenmt of Bangladesh still onlybetween 5 meters and 6 meters above sealeveL favoredlarge-scaleengeeringintventionforflood More tan one-quaer of Bagladesh experiences a control and mitgation. Consequently, the debate on r nnualilood. The country receives an average structural versus non-structural measures has of 870 million acrefeet (MAE) of river flows fm recently moved to a diffent level-that is, from an hia, China, and NepaL The net flow to the Bay of academic discussion to the domain of actual Bengal fomBangladesh's ivers (adding an average decisioumaking process involving both the - rainfall of 203 MAF and suiacting 120 Bangladesh national government and other MAF that account for the estimated eporaton, intenational agencies. evapotspiration and deep percolation) accounts Theprincipalobjectiveofthischapteristocritically for 953 MA. This huge volume of water brings assess some of the key elements of the above stated down valuable silt, organc matrials, and moiste debate, within the context of the 1988 catastrophic from*eHimalayasthatarenecessry for flood, and to determine the major limitations and producion of the county's crops. The term borsha potentis offered by the two paradigms. In oassedby lpoplerefetotisn lood shedlightonsomeofthealternativestoimplementing wcctrenc "la grande " engineering schemes, an attempt is A norma annual flooding is a desirable evwt for made here to outine the nature and potentials of fmers oftheregion smce it comes at the right time indigeous adjusment and coping stratgies forncldvationandlastslongezoughtobenefltpaddy by esint of flood-prone areas. In the second rice and other major crops. Usuly, it is also of a section, various phases of the flood prveion and mitds itya t thelocalconditionsofsetulant mitigation strategies are reviewed. The third section andhausm& agriculture, andpysica infrasructure presents an empirical example of the usage of can normaly withstand. For centuries, this annual indignous acjJustnents and coping responses tO evnthadplayedavitalroleinm initheigh floods. Finally, a mimber of policy precrptions are fhofcultrvableld andtebysuWportigan put forward that include a call for adoption of the expandg sdlcnty pplati in thins region. Ksustainaule floodplain developmenC' approach in However, excess water in the rainy season often addressing the problem of flood loss in Bangladesh- endangers human lives, lvestok crops, and other 101 102 Flood Prevention and Midigation in Bangladesh tangible assets. This negative aspect of floods is have been monistic-a singleness of prefen for locally expressed by the term bonna, meaing eminatingfloodbystrucral-engineingmeasures abnormal floods. The socioeconomic impactofsuch (see Zaman 1991). Such a narrow view of the flood nverine hazards in the region is more exensive and problendivestsitselffrommoresignificantecological devastating relative to othertypes of hazards such as and socioculutral considerations, as well as realistic droughts ort rmadoes. Withapopulationsize of 115 altenatives thatmightbeemployed,andraisesserious million, a per capita GNP of only around US$180, questions about the long-term viability of only and a p nty agarian economy, Bangladesh "technological fix" strategies. ranks as one of the poorest countries in the world . a Today, the country is one of the most intensively Flood-Lssand Vuewabii cultivated areas in the world, often supporting more The unavailabilty of systematic time series data on than twelve people per hectare of arable land. The flood damage and loss in Bangladesh precludes a pformance of agriculture as well as environmental clear picture of the scope. It is, however, possible to conditionsathusfndamental tothesurvivalofthe review the generalized trend and the extent of flood people of Bangladesh. While the demographic and effects from a number of independent studies. It has socioeconomic setting is already precaious, the beenreportedthat, although-therecentfloods arenot high ecological vulnerability of most of the country physically diffrcnthn many prevous occmueces to abnormal natural events such as cyclones and (Rogers and others 1989), the degree of economic floods furitsr adds to the inseuriy md risks faced losses and the vulnerability of the population has by the majority of the population. dramatical increased in recent decades. This trend The 1987 and 1988 floods, considered by many isprmailyattbuted,first,totiinaseduMMbers analystsasthemostdisastrousinthereordedhistory of the population in perpetual poverty and of Bangladesh, have caused considerable concems i ,a n andsecond,tothegrowthoftangible among many national and intenational agencies ressUCS(suchascrops)andphysicaliucture about the possible ways of mitigatng the flood (roads, raivways buildings, factries, and electical problem The internationdl commuity is eager to networs) in riverme floodplam aes that are more providetechnical assistanceto help formulate longer- vulnerable to natural hards. term solutions to Bangladesh's chronic flood Historical records show thatthere were at least six problems. The World Bank the United Nations -major floods inthe 19thcentuxy and there have been Develepment Program (UNDP), national donor fourteen so far this centry. While the- most agencies from theUnited States, France andJapan, in devastating flood on recorccurred during the late collaboration with the Bangladesh government, monsoon of 1988, other catastrophic flooding commissionedaseriesoffloodstudies.Theresuting occurred in 1954, 1955,1977, and 1987. The direct reportshaveofferedanawayof viewpoints;themost impacts of severe floods can be disastrous and the dramaticandcostlyproposalsweremadebyaFrench casakieshig even temderately sere floods of enginering consortium that recommended the l974causedover2,000deaths. Theindirictimpacts construction of more than 3,000 kilometers (kn) of of floods can be even greater, the 1974 flood was high embankments to prevent abnormal floodin& followed by a devastating famine that caused more On the other hand, the studY sponsored by United than 30,000deaths. The 1988 floodimmdated66,360 States Agency for International Development square kilometers (kni) or about 46 percent of the (USAID) has argued in favor of mini struct sur counry. While swval ousand people become intervntioniotheregion'scomlexdeltaieecolog. homeless during a normal flood season, the 1988 In 1989, the World Bank, in colaboration with the flooduprootdmoredthan40millionpeopleandover Government ofBangladesh, prepared anactionplan, twothousanddied. Suclhperiodiclarge-scaledisasters cmmonlY known as Flood Action Plan (FAP), for cause lasting disruptions and havroc and the process flood pmvntion and control that states that "a high of rconsuctionis slow and exnsive Almosthalf degeeofstructuraprotecticnmustbeakeyelement of the 1988-89 national development budget, for 'Of he long-term strategy fortedevedopment ofthe example; was diverted to pay ad hoc relief and cunty (World Bank 1990). rehabilitation programs (see Brammer 1990a). An assessment offlood-loss mitgating strateaes Based on data compiled from vaious sourcs, inBangladeshsuggeststhatsolutionstothisproblem table 10-1 shows the magnittde of major flood Hague 103 damages during the last two decades. It appears that sector policies of the country can be viewed in terms thetotalseasonallossofriceproduction,whichisthe of some phases. Duringthe frstphase (1955-1971), staple crop ofth coLmtry, was above onemilliontons based on only post-disaster recovery strategies, te in each of the catastrophic flood years. Also, more focus was on building large-scale flood prevention th 200,000 tons were lost in each of the other andirrigationschemes. Somespecific cases areworth severe flood years. In 1988 alone, the worst flood elaboratinghcre.Followingtheseverefloodof 1955, year of this century, the estiumated loss of material the govemment of Pakistan sought advice from the damage exceeded US$2 billion (UNDP 1989). UnitedNationsTccmnicalMissiononfloodprevention Accordingtothbcreportofthe Bangladesh Red Cross, strategies. On the basis of the Kmg Mission Report among the more tm 45 million people directly of 1956, a project planning, implementing, and affected, over two thousandlives were lost and some monitoring agency was created in 1959: the East 172,000 livestock and 7.3 million houses were fully Pakistan Water and Power Development Authority or partially damaged. Besides such-immense loss of (EPWAPDA). A massive construction work of agricultural components, the growing physical riverbank and coastal embankment began under the infrastucture wds also severely damaged due to the auspices of the EPWAPDA and the guidance of the 1988 floods: about 900 bridges and culverts were KIg Mission. destroyed and more than 15,000 kn of rural and Similariy, tEer the 1962 floods, the reports of two unk roads were affected. Unitod Nations consdtants (the Hard& Report of 1963 and the Thijsee Report of 1964) examined flood Prention and Codtrol Poci options for flood cntrol and recomended various irst Phase (195-1971): Post-Disaster ReCOWey types of large-scale engineering works for the and la Grade Schemes cnmentoffloodwatersirtbinthemajachanocls of large rivers. These measues, which inluded The efforts by the public sector for the prevention, embangmaconstetonchannel impvementby control, and mitigation of floods in Bangladesh date dredgilL river taining and cut-off, and the back to the 1950s. The overall trend of the water construction of by-passes or flood-ways, were Table 10-1. Losses and Damage Due to Abnormal Floods (bonna), 1971-88 LOSS of human lives and livestock Loss of crop production and housing stucture Loss of LEoss ofrice production (1000 metic tos) t LOSS Of Hous- - totaly human Lcss of livestock Tota or parialy Year lives (O00). Boro Aus Ama seasona damaged 1971 120 2 n.a. 56 229 285 229 1974* 1.987 46 187 613 562 1,362 6,165 1975 15 n.a.. n.a. 68 25 93 19 1976 54 na. 67 351 264 682 89 1980 n.a. m1 a. 4 30 251 285 n.a. 1984* 553 76 373 475 1,299 2,147 536 1987* 1,657 65 na. 695 1,341 2,036 2,536 1988* 2,379 172 n.a. 1,357 1,565 2,922 7,179 * More catasophic flood yean nm. Not available. Source: M=za 1984; Intennaionnl Red Cross 1988; Brmnmer 1990b. 104 FloodPrevention andMitigation in Bangladesh - incorporatEdinthe MasterPlan oftheEPWAPDA, There arc several reasons for the large-scale in 1964. TheMasterPlanidentifiedatotalofninety- infiasucture investments during this period one projects to address flood problems of what was (1950s and 1960s). A major economic rationale then East Pakistan. Following the 1962 floods, a was thatpublicbenefits exceedprivate benefits reviewofdevelopmentpolicies also ledto undertaking by such a wide margin that onlythe public sector some efforts to integrate infrastructure development could afford to undertake them. Spillover or projects with flood-control efforts. A few such secondary development impacts were believed important flood control projects were: Kurigram tosubstantiallycxceeddhebenefitsthatcouldbe Embankment, Old Brahnaputra Phase I and IL captured inthe form of price oruser charges. Brlkchi, Bogra, Chalan Beel, Dhaleshwan and Bangshi Channel Improvement, and Ganga- Kaputakkhya. Other projects included the Southern Rajshahi,Dlaka Southwest, Chandpur, Gorai, Arial It was realized in the late 1960s that the proportion Khan, Boral, Hor sdhemes, Kushiyar Meghna- ofcosts tobenefits inlarge-scaleprojectswashigher. Dhangoda, Titas, Gumti, Khowai, Mono and Maintmce became a huge uncontrolable task, and Matamohori (Tarafder 1974). rent realization from major irgation projects was As a result ofthis new approach, the Rural Works slow and in some cases unsuccessfuL Because Program (RWP), which was supported by wheat ionoflarge-scaleproj-ctrequiredmc supplyunderUS.PublicLaw480,begantoconstruct longer time, the emphasis on the sponsorship of lrgescale engine-mngworkssuchasflood-protectin large-scale development projects by public sectors embankments.Oneofthemostimpressivestructural lost their momentum and significance over time. effortstocontrolfloodswasthecompletionin 1967- Sincethe Independenceof Bangladesh,concernover 68 ofthe Brahmaputra Right Bank Flood Protection the imntalns of economically viable large-scale Embankment(BRBFPE). Therehasbeenasignificant projects has brought about a change in flood control decrease in overbank spillage as a result of the and irrigation strategies. In the early 1970s, World construction of this embankment (Tarafder 1974). Bank land and water sector stuidies rcoended Potential flood protection was created for about 2.3 changes in the strategy, which led the govenment to millionhcarcs(ha)ofgrossacres,ofvAich 157,000 shift to small-scale, low cost, and quick-return ha of agricultura land were within its immediate projects in flood control, drage, and irrigation vicinity. Production increased by 131,856 tons or development(WorldBank1970, 1972).Since 1971, morethan68 percentoverthepre-projectproduction witf the advent of low-lift pumps, tubewells, and of 192,650 tons Rahman 1984). diffusion of dry-season cropping a shift in policey The first Five Year Plan Document of the from major flood control works to more small-scale, Govemmcnt of Bangladesh reports that, as of the quick-yeilding projects took place. This trend early 1.970s, cmbanknicatconstructionhadprovided continueduntildtemajorfloodofl98gthatdevastated flood protction for about 1.2 million ha of land Bangladesh's infrasuc facilities. alongthe coastal areas and floodplains. Theseworks Since independence, the focus of development inchxded constuction of more than 3,200 km of strategy in Bangladesh has been concentrated on coastalembankmentrepellingsalinewaterintrusion acbievingself-suffliciencyin foodsupply- Agriculural and about 320 km of riverbank embankment sionpro such as irrigation development coollingoverbankspills. Irngalt -¶dZedphysical and input and credit supplies to the frmers, received works included a total of over 1,600 km of main, utmostpriorities in publicpolicymeasures. Because seconary, and tertaryirrigationcanals; some4,600 tic country has had an annual deficit of about two sluices and regulators; and 3 major and 85 minor milliontonsoffoc g ainforthelasttwodecades,the pumpingstations (BangladeshPlanning Commission main rusthas always been an increasing food crop 1973). production (Hossain l980; Huq l980). Theproblem The rationale for undertaling large-scale ofnatura hazards was considered a secondary issue development schemes was rooted ir the concept of or only to the extent they might affect the crop rapid economic growth to attain the so-called "take- prodction levels. ncreasing foDd gram production off" stage of development (sec Rostow 1960). As tdds levels of self-sufficiency was selected as the Rutton (1986) succinctly sates: first priority issue in the First (1973-1978), Second Haque 105 (1980-1985),andThirdFiveYear(1985-1990)Plans. ha. Overall, given such constaints as the untimely Ambitious targets were set in the successive Five allocation and procurement of fimds, and political Year Plans. The successive regimes in Bangladesh instability, the number of works completed under put all out efforts to increase food grain production diffeent Public Works Projects (PWP), sudh as by setting targets of 6.4 and 7.2 percent growth per RWPs andFood forWorks Programs (FFWP), were yearduringthe Plan periods of 1973-78 and 1980- commendable (Alamgir 1983; BBS 1985; also see 85, respectively, and anoverallagrIcugtural production table 10-2). growthof 5.2 percentperycar in the Plan period of Due to increased impediments to the natral 1986-90 (Bangladesh Planning Commission 1973, drainage systems caused by the newly placed 1980; NVorld Bank 1987). infrastructure (embankments, dams), and the lack of The strategies adopted for the above purpose an ecologically sustainable water resource policy showed some commendable successes in increasing guideline, the country become more vulnerable to foodgrainproductionataratefasterthanpopulation abnormal floods. The conmtry lost more han :two growdLForexample,during 1975-1980,foodgrain billionUS dollars when the abnormallyhigh floods production in the country grew at an annual rate of struck in l987 and 1988. about 3.2 percent compared to a growth in the population of about 2.6 percent. The overall ThirdPhase (1988-1993): The Retrm ofla Grande agricultural production grew at an annual rate of 2.8 SWmY percent during thisperiod Remarkableincreasesin The 1988 floods of Bangladesh received production weremadepossibleby suchreplacement overwhelming attention and responses from the oflong-stemlocalvarietiesvnththeadoptionofHigh intenational community. Flood studies were Yielding Varieties (HYV). Among the major sionedbytheWorldBak, theUnitedNations irrigation, drainage, and flood control projects DevelopmentProgra]nme(UNDP),theUnited States implemented, the Northemr Tube-well Project and Agency for Intemational. Development (tJSAID), the ChandpurProject hadthe potential for irrigating and the national government agencies of France and 28,740haand5 1,400haofland,respectively. Besides Japan, in collaboration with the Bangladesh developing other infiastructural fiacilities (such as Gov=mnetnTgreprtsbaveofecedvme rural mads and cm nications),about 3 million ha viewpoints. The most dramatic and cosLlypoposals of agriculura land wereprotected from floods and a were made by the French engineeimg consortm provision was made to irrigate more than 2 million that recommended the costruction of 3,350 km of Table 10-2. Food for Works Pmjects and Achivements, 1974175 - 1983184 No. ofprojects River and canal excavation Year implemented Roads (km) Embankmants (km) constructed (cm) 1974J75 21,479 3,824 1,402 1,756 197576 1,554 1,448 1,246 1,611 1976,77 2,328 1,735 3,067 2,694 1977n8 2,087 2,366 488 3,639 1978r9 2,113 1,770 3,487 3,082 1979/80 24124 3,301 3,262 4,212 1980181 3,927 4,981 5,064 6,693 1981/-2 3,431 6,910 6,437 1,292 1982/83 3,029 9,213 8,582 1,724 1983/84 4,292 22,083 8,405 3,333 Source: BBS 1985. 106 FloodPreventionandMitigationinBangladesh high embankment to prevent abnormal flooding. It the planintendstocreate"compartments!'insidethe has been estimated that the implementation of these main embankments by constructing internal projects, which may take twenty years to construct, embaniknents to allow controlled flooding by means wouldcostUS$ lObillionwithanannualmaintenance of regulators andsluices inbotlthexmainandinternal cost ranging between US$200 million and $600 embankments. million (Bingham 1989). The French consortium of Ironically, the proposal ignores the fact that local engineeringcompanies is in favorofthe construction rainfall often leads to high floods, and com- of embankments to prevent, divert and regulate partmentalization is rater -likely to aggravate the waters; it has proposed an elaborate and costly set of problem of drainage in many cases. Moreover, it has new constructions along both the Ganges and the alreadybeenobservedihattheconfinementofnzoff Brabmaputra and their four major distributaries, as toriverchannels intensifiesthebank'serosivecapacity well as seven othersmaller rivers. Flood studyteams duringthemonsoonperiod inboththeBrabmaputra- fiom the United States and Japan are supportive of a Jamuna andtheGangesrivers (Haque 1988; Rahman less-grandiose policy strategy, proposing to allow 1984). The Brahmaputra Right Bank Protection the river to overflow into relatively umimportant or Embankment, a 217-kn flood control measure, has umder-populatedareaswbileprotectingtheimportant been cited as a major cause of rapid westward and high-population areas. migrationofthe Bramaputra-JamunachanneL Even It should be pointed out here that total flood if the proposed embankmnt succeeds in achieving prventionwoldnotallowthentralfertitybeneflts flood control purposes, it is probable that the to the soil and the necessary moisture supply to accelerated bank erosion of these braided rivers continue. In view of the potential damage and might outweigh the benefits in this land-scarce destructon to the existig naural resource base, country. This is because riverbank erosion ha tewas growmg opposition to the proposal of the affect hundreds of thousands of displiced people, French consortium to construct preventive which become a pemanent feature compared to the embankmcnts(Haqwe 1988; Islam 1989;Rasid 1989; temporary effects of seasonal flooding. Rogers and others 1989). The major aid donors to Bangladesh discussed the flood mitigation problem FourtPhase (1993Present): TeDebateanda atthcG-7summitmeetinginParisinJuly 1989 They Sdif& New Directons agreed that the World Bank should "codnate the Concerns about the poteal adverse impacts of the effortsoftheinternational ommunitysothiatasound Plan have been expressed by many scholars. In a basis for achieving areal improvement in alleviating comprehensivereviewoftheissue,HaqueandZaman the ects of flood can be established." (1993) suggested that the application of major In 1989, ft World Bank prepared an Actio Plan prevetive structural adjustments would create a for Flood Control in which both the "flood numberofseiousproblemsforBanglades First, prevention" and "flood contro appr es were the constuction of embankments along the major accommodated. Actually, the Plan is directed to rivers requires a capital cost of as much as US$10 create preparatory arrangemets for the eventual billion (Bingham 1989), as vell as annual operating implementation of a Flood Master Plan proposed in costs on the orderofmoretbanUS$5 00,000 (Rogers the UNDP Policy Study. The Plan apparently andothers 1988). Simcethe lion's share ofthenational represents a "conservative mix" of various studies. development budget continues to come from foreign Nonethless, as Boyce (1990) succidy stated: sources, a costly preventive program will result in a '¶d]cspitegrave and well foundedreservations as to steadyriseinthenation'sforeigndebtburden. Second, thewisdomofmassive embankments,the long-term preventive embankients tend to provide a false strategy envisioned in the [World] Bank's action smrscofsccurity and, ironically, may actually lead to plan incorporates central elements of the French an increaseinflooddamage. Thefmdings ofarceent scheme." For instace, although the study did not study in southern Bangladesh by Stewart (1988) completely ageeto embank fourmajordistnbutaries show that the average mateial damage was worse in of the Ganges and ffie Brabmaputra-Jamuna and areas inside theembanketthanm in areas outside of seven smaller rivers, it proposed to build it. Third, embaukiaents impede the movement of embankmcnts all along the major river courses in fieshwater fish and cut off their spawning areas, BangladeshIn additionto these structurl mears, whichtratens f livelihood ofmore han amillion Haqc 107 flshermcnandjeopardizes thealreadymarginal supply intervention in the Brabmaputra-Ganges floodplain ofanimal protein inthe diet ofthe majority ofpeople. ecosystems. The preliminary results fom the three Fourth,thecoastalembkmcsandpolderprojects years of feasibility studies into the physical have seriously affected shrimp cultivation inthe area dimensions of the FAP have revealed "the practial The shrimpcultivators, inneed ofbrackishwater, are impossibility of sealing off the rivers" (Pence and brealdngtheembankm enttoallowwatertopenetrate Tickell 1993). These assessment efforts, before to their land (Zmn 1991). Finally, embankments implemnt ingthefinalplan, costonly US$150 million deprivethe faners of the beneficial effects of normal for thepilotand expeimentalprojeet, andimdenably seasonal floods. worked as a safety valve for the worth US$ 10 billion Normal annual flooding in Bangladesh is part of to US$15 billion of capital investment The ovll peasantlife; itis a beneficialphenomenonproducing exercise has provided a veiy valuable lesson in the the leaching and eluviaiion pmcesses that have enviromental assessment (EA) process. rejuvenated the soil-waterproperties andsoil ferility The accumulated results so far ofthe five regional intheregionforcenturies(Paul 1984). Newinorganic and other soctoral and supporting projects includ materals from the Himalyan rqgion have drained anEAcomponcutbecauseamandaloryprovisionfor dowstam and alongside floodplainsaccumulated all FAP projects was put in place before the in this deltaic plain for thousands of years. The silt commencement of thepilot studies. The FAP 16, or deposited by floods, however, itemains infertile for environmental study, haspreparedEAguidelinesfor severalyearsbeforeitbeginsto improvesoilfertility. ongoing and future flood control and water Branmer(199Db)notesthatflood-relatedsoilferlity management projects. The relevant variables were isgeneted¶omnitroge-fmng,blue-greealgae, itemized i the first ftough fifth level unpacts (for frmdodcompos submerged,plantremainsliving detailsseeIslaml993b). Thepmelimiayoutcomes in the water, and from the increased availability of of the pilot studies, which largely followed the EA phosphoms and other nutrients in the chemically guidelines, offered some significant lessons for reduced, submerged top-soils." policymakers. Although a detailed discussion is Since the establishment of the FAP in 1989, the beyondthescopeoff hischapter,themostsignificant Government of Bangladesh has assigned the lessions stemming from these exercises were: management of the Plan to the Flood Plan * All hazard mitigation and development plans Coordiation Organization (FPCO), which was should be flexible and adaptive (that is, the original created asawing oftheMinistry of Irigation,Water plans should set up the broader 'mission objective" Development and Flood ControL It was decided by and establish a provision for a series of pilot the concemed bodies that the final fam of the FAP experiments to identify the best alternative means of will be based on the results ofthe twenty-six studies achieving the stated goals). to be taken up byFPCQ (forfrther details see Islam * The specific goals should be formulatedthrough 1993a). Although the FAP's original goals were adynanicprocessinvolvingfeedbackfiom thcpilot gearedtowardstrutu-ralsolutions,itcouldnotignore projects and the changing social, political and the need to explore non-structural flood proofing economic objectives. responses because of growing academic and policy * The incompatibility betwee the time frame of debatesonthelong-terneconomicande nentl the economic plans and the ecological procses, implications ofthePlaI. Thedebateeventuallyturned which makes the EA process quite di:fflcult, shoud into a dichotomized institutional position between be recognized during te erlier planning phases. the World Bank and the Government ofBangladesh: * Public participation and direct input into tie the former is in favor of the construction of massive decisionmaidngprocessshouldberegardedasaviital embannients along themajor riversystems, and the component in the EA process. World Bank and other donor agencies are "growing -* It should be realized ffiat the outcmes of short- increasingly resistanf' to such insistence (Pearce term pilot projects (for example, the ihree-year and Tickell 1993). experimental schemes) could only demonstrae the After experiencing the disaster along the tendenciesofpossibeimpactsofthepropdplans; MississippiRiverinthe summerof 1993 andreceiving frmuaticnoftheEAwithahighdegeofconfldenc, feed back from the feasibility studies of the FPCO, would require considerably longer-term ecological momentum has alry developed toward limited research. Gcnerationoflongi databasesofall 108 Flood Prevention andMiigation in Bangladesh major physical, bio-physical, and socioeconomic in anationwherethecountry'sworst floods have parameterswouldbeasignificantstepintbisdirection left 1,000 dead ...and more than 25 million Exploration into Indigenous flood-Adjustment homeless But Bengalis themselves are coping astonishinglywellwiththeenemythey'v always known.esWe are-all right here", says awomen The principal themes in the current literature on named Sabera, who crept to the edge of her tin natural disasters not only include the causes of rooftotalktoarupoter inabomtc... Althoughrice disasters but also the altemative response strategies paddies arcunderseemeters ofwater andzhe leading to prevention and mitigation. In this piousjtiropbaygec dmoeaixicuig connection,twomajorparadigmshavcevolvedwith beleaguered Bengalis seem surprisingly high regard to what can be done to lessen the impacts of (Johnson 1988).a floods. The first of these conceives environmenta Hurdus988)andBranmer(l9a)t rfound hazards solely as a nature-generated ph a that during the abnonnal flood years, the spread of requiring structural adjustments; it stresses the floodwater in extensive areas plays a compensatoiy applicationofatehnology-biasednrasuretoprevcnt role in crop damage. That is, the damage ofthe two or modify the physical processes to produce flood wet seasonpaddies, namelyaus andaman,islargely mitigation. A second paradigm emphasizes non- overcome by better soil moisture conditions, structura adjustmnents to floods (that is, notinvolving especiallyforboroproduction(dViseasoncrops;see massive engineering works), which include an array table 103). Consequentlythenetlossduetoabnonl of adaptive actions talen by communities before and flood is much less than the superficial estimates. durigfloodsinordertomitigateloss, assel asor thisimpthattheimpactoffloodsisnminal? pertinent strategies, such as flood forecasting and An account for indirect effects of flood reveals that early warniing syses, flood insurance, and flood their perpetual progression causes immense relief and rehlitat is section discusss the socioeconomicandhumancostAnextensivesorun'v principal non-structural measures that are practiced ofthe 1974famie byAla3gir(1980) indicated i,' and used in the region. - - -the severe -flood occurrences leave the poor and The people of the Bengal basin have long been marginalpeasants much more impoverished. This is associated with the flooding phenomenon, adopting becauseabnonnalfloods daagetheirassets,foring numerousadjustmentstocopewithabnormalflooding them to drv on past savigs while falling further basedonindigenous inventions andinnovations, and mtc. debt. Among other indirect effects, the demand material and societal resources. As noted above, in for agricultural labourdecreases drastically as crops contrast to the English meaning of 'flood" as a are damaged. The capacity to hire labours by destuctive phenomenon, its usage in Bengali refcrs landowners is reduced by lower incomes acciuing to to both a positive and a negative resource. The te them. Coupled with the steady increase in seasonal borsha refers tonormalflooding, andbonnauimplies price offoodgrain andrelated commodities, thepoor an abnormal flooding. This literal expression,which peasnts and wage laborers become increasingly isbasedonreallifeexpericnce,reflectsthe awareness prone to starvation and famine over time (Rahman and adjustments to flood hazards of the common 1989)Ovell, theseperspectivessuggestthatflood people ofthe region. A quantitative analysis of flood lossinBangladeshalsorevealsthatpeoplearehighbly Table 10-3. Cereal Production in Bangladesh, adaptive to floods relative to other exeme natural 1986-1988 events. For example, whereas more than 200,000 lives were lost fiom the cyclone-driven storm n- November 1970 and over 70,000 lives from the Year Aus Aman Boro Wheat Total coastalcycloneinMay 1985, the direct ftalities by 1986/87 3.13 8.27 4.01 1.09 16.50 flood occurrences had ben limitd to roughly two thousand. A firsthand Westen observer of the 1988 flood expressed the ability of people to cope with 1988189 2.86 6.86 5.80 1.02 16.54 extrm situations. In the midst of the flood period, Note: The amounts are excluding minor cereals. Rice he reported: pmduction amounts are of milled ric The world has aready recogaized a catastrophe Souwc Bamer 1990a. Haque 109 impacts should not be viewed in terms of physical Table 10-4. Distribution of Adjuster Memsrs problems but rathr in terms of their relevance to Taken by Respondents during the 1988 foods in social processes and welfare conditions. InBangladesh, most ofthe indigenous adjustments are ofthe corrective type. Some of them are related to Adjustment Non,mcmb3b social organization and relationships; othrs measure (notivlv Me associated with material responses at an individual (multiple All in institutional istitfional - pose households network) networ level. The concept of resource sharing and income epossble) (n=280) (n=144) ctr3q redistribution in ameliorating famine effects in an agrarian economy has been noted by a number of Sold land 2.1 4.4 na. scholars (Sen 1981; Alamgir 1980; Desai 1959); Sold however, attempts at investigating the role of social 17.1 26.4 7A organizations and other societal forces in mitigating hazard effects has been scanty. Sdd 2S.7 33.3 17.6 In order to cxplore the indigenous adjustnent belongs strategies md measures, a questionnaire survey was MDgaged 4 conducted in December 1988 in eight villages of the land Sreenagar Thana (sub-district) and the Munshiganj d district A sample size of 280 households (primary housing 38.6 30.6 47.1 sampling units) was covered, and a simple random s te sampling procedure was followed in selecting these units. Only the household heads were directly 3d 39.3 65.3 11.8 interviewed to represent their corresponding family units. Spent The surveyshowedthatmajority oftbeerespondents previous 24.3 44.4 2.9 took some corrective measures to minimize flood savings loss. That is, more than 71 percent of respondents Moved attempted to reduce their loss to floods by selling finily to 65.7 79.2 51.5 their land, livestock or belongings; some moved o- m aeas housingstructsrs l1ivstock, and familymembersto othersafer places (see table 104). Itis evident that Mved floodvictms opted for a number of responscs aimd {zaivt t0eas atreducinghazard loss through deiberatemeasuires. Although most of the villagers received some ma Not avilabl assistance from various sources to cope with flood Soi: Autors field sur hazards, less than 12 percentactuallywere recipients period, but also to assist in saving many of their of support from local and national government belongings, such as utensils, housing matenals, and sources. As indicated in table 10-5, the prncipal livestock sourceofassistancetoadjustientefforts arerelatives More tm half of all respondeuts considered it (78.6 percent) and other community members (32.9 importanttoreanawhin, or to matacloserties percent). The items ofassistanccrecervedfromthese with, their traditional samaj orgation during the major sources consist of moral support; free shelter coping stages itliliu&ds. Thsanajis aninformal and accommodation, free labor at the time of the but predominant social grouping based on kiship, move, and cash loans and food. Also, socialandreliousinterests ofts mmbers. Itis the nongovernmental organizaons (NGOs) provided a primary forum within which members interact greatdealofsupporttothehazard-mitigaingefforts.- frequently, and are mutually involved innetworks of Ofthesamplcdrespondcnthouseholds,morethan5O social and ceremonial links and inrdependence percentreceivedfoodandclothes,housingmaterials, (Zaman 1986; Haque and Zamaan 1989). The samaj seeds and loans fromthemtoregaintheirpre-disaster people are obliged to help in ameliorating difficult status.Moreimportat,thissupportnotonlyhelped situations of its members. the flood victims to survive through the disaster Furterevidenceofthebenefitsofinsfiwtionalized 110 Flood Preventionand Mitgatfon In Bangikdesh networksinthemitigationofhazardlosswas rvealed- important part of the indigenous measures in in the survey responses (see tables 10-4 and 10-5). Bangladesh.AsRasidandPaul(1989)cited,farmers Both in terms of hazard prepardness and coping of this wet monsoon region have over the centunies ability, the households that were members of the madcacarfulselectionofthemostadaptivcvaniues institutionalized groups demonstrated a better of rice to face the high floods. For instance, certain performance compared to their counterparts (non- vaieties of aus nce are cultivated only in elvated members). Theinstutionalizedgroupsweredefined areas (tans). Somebroadcast andtransplantedaman as the registered target groups of government and grow with floods and are harvested following the NGOs, such as agricultural cooperatives, credit recession of flood water. They are grwn in the low- unions, banks, and integrated rural development lying areas (dhoabs) such as backswamps, channel programs based on women's groups. These scars, andshallowbedsofoxbowlakes. Chamara, a observations support the hypothesis thatdeveloping broadcast variety of aman, can grow more than 15 thesocialandinstitutionalnetwrkscanbeeffectively centimeters a day with the rising flood levels. employed in mimnmizing hazard effects. Overal, itis evidentthat,inthecontextoftherural Attheindividuallevel,somesmall-scalestuctra habitat and agricuture of Bangladesh, flooding is a measures are also employed by the resource uses in vital agent to its resources. Although some extreme ruralBangladesh. Oneofthemostcomaonstrategies eventstumnouttobeaseriousthreattolocalresources is the constuction of homesteads on relatively and human lives, their frequency is measured in the elevatednaturlevees.Theplinthofhouses,locally range of the- 50 to 100 year event The floodplain called bhAd, is further raised by digging earth from inhabitatswouldgainlittlefrmprvntionofsuch local depressions (C=rry 1979). The rural non- rare events. metalled roads (katcha), and courtyards of local schools and mosques are oft raised to the level of Ap toard a Sustiable Flodplain abnonnal floods and used as flood shelters. People DelpmezitPolic .also build platforms or machans using bamboo, Because hu s stive to produe more resources straw, water hyacint, and banana staks during and t safguard eistig nes, niman intervention abnormal flooding yews. and modificationof thephysical enviroment- such The agricultural adjustments to floodhazads is anl as alluvial floodplains-are growing at a dramatic rate This trend is expted to continue intA the Table 1O-t Sources of Assistance Receved by foreseeable futue, and with it will come conflicts Fkod V'wms duringthe IM8 Floods in Srnagcr FloodSVictimsPduring t he 1988 floods Srccnager between flood-prevention activities and the viomment. Among many others, Scudder (1991) SowvCs of Nown-meers clearly indicates some of the adverse impacts of assistace (not rnvovhvd Menbe of African dams on floodplain users and local (multiple All irstiutional ntional6 ecosystems. Rahman.(1984) shows maly adverse rcspose households netwak) network effects ofembankments inBangladesh'sfloodplains. pie) n ) (1 -36) Minkin (1989) foumd almosttotalloss of openwater Relatives 78.6 86.1 70.6 fish in flood control projects in the Ganges- Brahmaputra-Meghna floodplains. Thus, it may be vilagm 32.9 31.9 33.8 forcefuly argued tat without significant attetion toward more sustainable forms of floodplain 7.13 5.9 development, it is quiteprobablethatsevere damage govenm_mt 7.1 8.3 5.9 to ecological and cultural habitats will accrte. NatiLn6- The nobonof sustaiable development, which was gove t 4.3 4' 4A reinfored byRaymond Dasmanwhile hewas with theIntemationalUnionfortheConservationofNature Relied andNaturalResources (IUCN)inthe 1970s andlater and othe 514. 18. 86.8 pmmotedbytheWorldCommissiononEnisonmcnt andDvdelopmctinthe l98Os, laidabmad conceptl framework (Dasman, Milton and Freeman 1973; Sourc Audes fhild surveyW WCED 1937). The Commissiondefinedtheconcept Haquee 111 as "development ihatmcets te needs ofthepresent sustainability and long-term development withompromisingttheabilityoffbturegenmaticns p ees. Since high flood-related loss in the to meettheir own needs" (WCED 1987). This broad counmry is related to a number of developmental theme generated a semantic debate in the literatu factors, such as increased population pressure,- and is reported elsewhere (Manning 1990; Howarth economic marginalization of ruml ihbitants, andi andNargaard 1990; Lele 1991). Inbrie theoverall ill-conceived infrastructure, addressing disaster discussion revealed that the concept underlying impact would require going beyond the concept of sustainable development is an anthropocentric sustainable floodplain development For instance, approachtotheglobe-ahumanperspectiverelating there would be a need to develop strategies for to human use ofthe biosphere. This notion explicitly retainigtheunquestionedbenefitsofannualflooding. recognizes interdependencies that exist among The general problem of impoverishment is not a environmental, economic, social, and cultural diec product of floods in the riverine plains of phenomena. The discussion in this chapter concerns Bangladesh,butasignificmntproportionoffloodplain two broad areas of public policies regarding flood users becomemarginalized and impoverished due to problems: aholistic approachl-unlike the structural loss of income, assets, and increased debt burden. strategy-to human aspects of water resource The formulation of policies toward rural income management, and a sustainable floodplain diversificatior is thus needed to address such development plan that will ensure benefits to its problems. The generation of capital stock from users. economic surpluses in agriculture and the The anmalnormalfloodhas alwaysbeenbeneficial redistribution ofexisting local resources-including toriverinepopulationsandecystemns.Indeed,mannual land-are fimdamental to such policies. flood regimes have historically flourished and sustained the economies of the floodplain users in Bangladesh for generations without any I am thankful to Iohn R Rogge, Disaster Research environmental degradation. Thus, floodingpoere is Unit University of Manitoba, Winnipeg, Canada, not an evil but a source of life and livelihood for the forhisusefulcommansuggestionsonanearlier vast majority of people m this deltaic landscape. draft ofthepapcr.SpecialthanksareduetoMorshed Because flooding is so critical to the economy and Alar, Bangladesh Bureau of Statistics, Ministy of society in Bangladesh, a flood prevention policy is P1 ing,Dhak,BanBldi,foDrhishdpinobtaiing definitely not the appropriate solution. The need for the survey data on the 1988 floods. a struchtral solution represent a partial view and, perbaps at its best, a somewhat piecemeal solution Refereices with all kdnds of possible adverse ecological and Alam*, It 1980. Famine in South Asr Poitical environmental impacts. In ny view, the .cnt Economy of Mass Starvation. Cambridge, emphasis of the Bangladesh flood policy should be Massachusets: Oelgeschlager, Gun and Hain- changedfrom floodprevendiontofloodadapiraon. - 1983. -A Review of the Public Rual Works Such an approach may still require some limited Programmes OfBangladeslr 1960-78." TheBangadesh protectionofimportantcitiesandon rcialcenters Development Studies 1 1(1 and 2). bybuildingnewembankments;however, theprimaty -Bangadesh Bureau of Statistics (BBBS). 1985. Statirticaf policy objectives should be to encourage and assist DockeuBookofBlangladesh, 1984nnn . S.tcDivision. the villagers to identifr the best ways to protect angladesh Planning Commission. 1973. The First lve themselves, their crops, and their livestock by Year Pla, 1.973-78. Dhaka Ministry of Planning. developingimproVedmeasuresuofsloodfnanagement . 1980. TheSecondFve YearPlan 1980485. Dhakia and preparedness. Mnistry of Plaming. Finally, Iwouldliketo assertthattbefloodproblem Bingham,Annette. 1989. "floods ofAidforBangladesh? in Bangladesh is not a problem of mere hydraulic New Scientist 1693: 42-46. dynamics. Itis rather a problem which reaches out Boyce. James- 1990- "Birth of a Megaproject Political tothedelicatcissuesoftheeconomyecology, society, Economy of Flood Control in Bangladesh.' 'ohelae sf nmy '. ' - EntvironmenwlMangememt 14(4):419-428. demography, settlementpattern, transportation, and Brammer, H. 1990a. -Floods in Bangladesh I. even ofpolhtics and culture' (Islam 1990). As such, GBacgoundthe l9871and 1 987 8lod1fl flood issues must be addressed both from The GeographicalJournal 156: 12-22. 112 filoodPrevention andMitigation in Bangladesh -.1991990b.'?loodsinBgadeshLFblohMiigaFioMand An Interdisciplinary Analysis of Altenative Soludon Environmental Aspects." T7he Geographical Journal Strategies. Working Paper No. 93-007. Center for 156:158-165. International Business Education and Research, Currey,Bruce. 1979."MappingAreasLiabletoFaminein University of Illinois at Urbana-Cahamrpaign, Urbana- Bangladesh," Ph.D. dissertation, UniversityofHawaii, Champaign, Illinois. Honolulu, Hiwaii Islam, N. 1990. "Let the Delta be a Delta: An Essay in Dasmam, Raymond, F., Jobh P. Milton, and Peter H. DissentontheFloodProbleminBangladesh." Joumnal Freemon. 1973. Ecological Principles for Economic of SocialStudies 48: 18-41. Development. New York John Wiley and Sons. Johnson, Bya 1988. "Bengalis Coping with Familiar Dessi, A.R. 1959. Social Background of Indian Foe, but Threat of a Lost Harvest Loorm" Globe and Nationalism. Bombay: Popular Book Da.pot - Mail (Toronto), Scptember 12. Haque,CE 1989.-"mpactsofRivcr-BanklcrosionHazard Lele, S.M 1991. Susinimble Dcvelopment A Critical in the Brbmaputra-Jamuna Floodplan A Study of Review." World Development. 19(6)- 607-621. Population Displacement and Response Strategies." MannhinE.W.1990."ConservationStrategies:Providing Ph.D. dissertation, University of Manitoba, Winnipeg, the Vision for Sustainable Development" Allernatives Manitoba. 16:24-29. - . 1980. "Human Adjustments to Rivrbank Erosion Mirza, Muniiul Qader. 1984. "Flood has Become a HazardintheJamuna Floodplain,Bangladesh." Human Nightmare." Bangladesh. Today 2:26-35. EcoloV 16(4): 421437. Paul, Bimal K. 1984. "Perception of And Adjustment to Haque, CE., and 1!LQ. Zaman 1989. 'Coping with Floods in Jnmuna Floodplain, Bangladesh" Human Riverbank Erosion Hazard and Displacement in Ecology 12:3-19. Bangladesh."Disasters 13: 300-314. Pearee, Fred and Gliver Tickell. 1993. "West Sinks -. 1993. "Human Responses to Riverine Hrds in Bangladesh Flood Plan." New Scientist 139:4. Bangladesh: A Proposal for Sustainable Floodplain Rahlman, Atiur. 1989. "Human Responses to Natural DevelopmentL WorldDevelopment 21:93-107. Hazards: The Hope Lies in Social Netwoiing." Paper Hossain, Mahabuo. 1980. "Foodgrain Porduction in presented at the 23rd Bengal Sudies Conference, BaXdesh: Performance, Potential and Constraints? University of Manitoba, Manitoba, Winnipeg 7Te Bangladesh Development Studies 8(1 and 2):39- Rahman Shamsur. 1984. "TheBrablmaputra RightBank 70. Flood Embankment: Its Problems and Probable Rowarth, R.B. and R.B. Norgaard. 1990. Solutions? Paper presented at the seminar on the "Intergnerational Resource Rights, Efficiency, and Brahmaputra Right Bank Flood Embankment, Social Optimality.' LmadEconomics 66: 1-11. Banglash Acadmy for Rural Developmentx Bogra, Huq,Mahfiul. 1980."NoteonFoodPolicyandNational December & Planinginlangladesh." TegBangladeshDevelopmenr Rasid, Harun. 1989. Mini-Proj acts for aMega-Problem Studies No. 8. A Pragmatic Solution for the Flood Problem in Hurdus, Alan R. 1988. Outlook for the 1988/89 Aman Bangladesh." Proceedings of the International Crop andEary Projectionsfor te 1988/89 Wheat and Conference on Bangladesh Floods: Wrhat Are the Boro Crops. Dhaka: Office of Food and Agriculture, Solutions? International Society of Bangladesh, USAID. MontreaL International Red Cross. 1988. Press Release, Spetenber Rasid, HEun, and B.K. Paul. 1989. "Flood Problems in 26. Geneva. Bangladesh: Is There an Indigenous Solution?" Islam, NLA 1989. -Floods in Bangladesh: Causes, EnvironmentlManagement 11(2):155-173. Consequences, and Adjustments." Proceedinp of the Rogers,P.,PeterLyndonandDavidSedker. 1989.Eastern Interational Conference on Bangladesh Floods: What Water Study: Strategies to Manage Flood andDrought Are the Solutions? Intemational Society ofBangladesh, in the Ganges-Brahmapura Basin- Irrigation Support Montreal Prciect for Asia and the Near East, Arlington, Virginia. . 1993a. "Altemative Strategies for Flood Hazard Rostow, W.W. 1960. The Stage of Economic Growth: A Mitigaion in Bangladesh: Flood Plain Managment Non-Communist Manifesto. Cambridge, Apprach."ProceedingsofthelhaemationalConference Mass. Cambridge Univsity Press. onFloods inBangladeslr AnInterdisciplinaryAnalysis Ruttan, Vcrnon W. 1986. "Assistance to Expand of Alternative Solution Strategies. Wodring Paper No Agricultural Production?- World Development 14(1). 93-007. Center for International Business Education Scudder, T. 1991. "The Need for Justification for and Research, University of Illinois at Urbana- MaintainingTansbomdaryFloodRegimes:TheAfrican Cahampaign, Urbana-Champaigan Illinois. Case." Natural Resources Journal 31(1): 75-107. . 1993b. "Floods Control and Environment in Sen, AXK 198L Poverty and Famines: An Essay of Bangladesh- EVqricesandAlternativesProccedings EntdementandDeprivaron Oxford ClarendonPress. ofthelntraticnalConfereneonFloodsinBg s StewaKt,K 1988.PostFloodtAssessmentandNuiritional Hague 113 Status of Children in Matlab, Bangladesh." Paper 6904-BD, Washington, DC. presented at the semina an Regional and Global .1990. "FloodCmtmlBaladesh:APnflrAcdmn. Ennironmental Perspectives, Dhaka, March 4-6. World Bank Technical Paper No. 119, Wa.bington, Tarafdar. MLR. 1974. "River and Flood problems in DC. Banglades'"inKamaluddin,ed. Studies inBangladesh. World Commission on Environment and Dvlopnot BangladeshNationalGeographicalAssociation Dhaka. (WCED). l987. OurCommonFnu&re.NewYotOxfkrd UnitedNations DevelopmentProgramme (UNDP). 1989. University Press. Bangladesh Flood Policy Stud, Final Report. Dhska: Zaman, IMQ. 1986. "The Role of Social Relations in the UNDP. ResponsetoRiverbankErosionHazardsandPopulation WorldBank. 1970. ProposalforanAcdonProgram: Eas ResettlementinBangladsh." InAnthonyOliver-SmitiL Pakistn Agriculture and Water Development Vol. 3. ed., Studies in Third World Socletes. Spcil bnue on The Water Program, Rport No. PS-2a. Wahington, Nabhal Disasters and Cutural Responses, College of DC. - Wiiam and Many, Williamsburg, Virginia. - . 1972. Bangladesh: Land and Water Resources -. 1991. "Rivers of Lifi: Living with Floods in SecJor Stdy. Vol. 8. The Flood Problem, Technical Bangladesh." Paper presented at the University of Report No.24. Washington, DC. California at Los Angeles International Conference on - . 1987. Bangladesh: Second Small Scale Flood thelmpaotofNalurlDisasters,Julyl0-12.Los Angeles, Control, Drainage nd Irrigaton Project Report No. California. : - --- ' '11 ---:: Public Involvement in Environmental Assessment of Tounrsm DongIa EarlMcLaren Tourism is one of the fastest growing industries The failure of government planners to keep pace globally. Both industrial and developing countries with rapid development is not limited to developing continuetopromotetheindustryas atoolofeconomic countries. Many local, community, and development activity and development Developing countrics see plannersintheUnitedStates,suchasthoseinnorthe tourism as the opportunity to eam scarce foreign Virgiia, have also failed to provide the necessary exchange and to generate employment among both infrastucture to keeppacewithover-developmentin slilled and semi-skilled workers. Research indicates their communities. On the positive side, a well- that the industry can contribute significantly to the plannedecotourismprojectcanomnbineconservation econcmniesofthesecountrics (Lindberg 1991). Growth of natural and cultural sites with economic and intourismhasbeenmorerapidindevelopingcountries recreational benefits (Lindberg 1991). This chapter haninindustrialcountries. Howeverdecisionmakers will address these issues in the following sections. and plannrs may not be fiuly assessing some of the long-tenm and potentially negative LnvirommntaL -ttions ofsCunntE ronees socioeconomic, and human impacts of tourism AssessmentProcss development. - tGeneral ironmental Issues Features of the natural and socio-cultural environmentihatareimportantresourcesfortourism The acute unemployment conditions that prevail in (such as aesthetic and recreational resources) are many de-zloping countries approaching 40 percent particularly sensitive to disturbance by human ormore,aswellasthedearthofopportunitiestoearn activities. Without careful attention to the balance valuable foreign exchange may blind host between the volume and type of tourist activity, on govcrnments to many of the potentially negative the one hand, and the sensitivities and carrying enviromnntal, socal and socioeconomic impacts capacities of the resources being developed on the associatedwithmany projectopportunities (Beelwis other, wusmprjctscanbcn oton lyenv ty 1981). Some ofthe most often overtooked factors in harmful but also economically self-defeating the enviromnental assessment (EA) process are: (Duffield and Walker 1984). The carrying capacity of a local community to Tourists increase demands on local infasructe accommodate the development (that is, availability such as transportation, water supply, wastewater of health and sanitary fcildes, and social services). collection and treatent, solid waste disposal, and - Early and meaningful involvement of local health care facilities as well as a variety of public communities. services that are usually the responsibility of local * Local social and cultural conditions. government The increased demands on an often * Changes in employment patterns and skills unprepared localgovenmentcanresultinthefailure -icluding the immigration of secondaryworkers. ofthepublic sectors inmanycountries to keeppace * Breakdown of traditional methods of social with the level of tourism development, as in areas control and discipline. suchasNegrilinwesternJamaicaandCancunonthe * The possible rise in the cost of living due to Mexican coast In these heavily developed tourist inflation. areas, waste treatment and public transportation In addition to these factors, the unique impact of facilities, to name a few, may currently be tourism developments on the envionment requires overextended, special attention. 114 MeL aren 115 Speial Evromental Assessment Needs of * The influx of large numbers of foreigners into a Tounsm Projects commnunityandthepotenalconflictwithcontr g lifcstyles canhavesenious impactsoanlocal cultures In general, tie magnitude and scale of environmental f s impacts caused by a proIcct depend on the sie and E general, e )liromcnital assessments oftourism type of the development proposed relative to a projects should also includeanalyses oftheprojected fragility of the proposed environment, social and. indirect costs and benefits. Whme the fragility of the proposed ,.n,,r,n. e* benefits oftDurmaybe assumedto accrueto local Notwithstandin&cvensmaU tounsmprojectswarrant residnts, itisl ythatthe residents may incurore attention because of the dose relationship btlweCn of the costs and enjoy ferw of the benefits tm tourism and the environment; the many linkages visitors, immigrant workers, or commercial (both economic and social) between tourism intermcdiaies. development andothersectors ofthelocalcommumty, and the rapid growth in the tomism industry in Key Roles and ResponsibiG1iies in the general and in ecotourism projects in particular. Assessment Pnicess The impacts of tourism development are not confined solely to the structural changes associated -The various roles and responsibilities of local and with such developments. Teyl are also related to national host govcrnments for ensuring the impacts that occur as a result of large numbers of implementationoftheEAprocess areoutlinedinthis tourists within a particular ommunity seasonal section The discussion underscores the need for variations in the number of visitors, the possibility c plannmg by goverment agencies and that the success of the project may eventually other-grups involved in the deelopmen prcess, overwhelm and dilute the attraction, and the maiy the host govemment funding agencies, the sfimulation of indigenous nteiprise both to develop host community, and the project deeloper. andsupporttheindustry(DuffieldandWalker 1984). The Host Gmn7 t Therefore, a more rigorous and comprehensive approach is needed to assess the environmental and Nationalhostgovcrmentsmustdevelopapropriate human inmpacts related to the tourism industry. The responses to tepressimgneeds ofnew andexpanded symbiotic relationship between tourism, the eiviromntalandsocioeconomicassesments.Early environment, visitors, and a country's people, steps in this process should include: insfilling a mandates the need to also ensure that the local host national commitment to enviromental concers, community perspective is anpreciatedand factored setting priorities and formulating policies; nto the docisionmaldng process. Decisionmakers establishing the- appropriate legal and regulatory must recognize that the industry is dynamic and framtwo*nlimplcmia tnganefctivea&nmislaive interactive with the local commumity, sensitive to structure;providmngessentialmanagementskills and good service delivery and the hospitality of the local chancingmstitutionalsupportstus; engaging community, andveiysensitivetolocalpoliticalunrest localgovennments andmandatingin% olvementofthe and social disorder. public; providing adequate fmding; and ensuring Other special issues associated with tourism accountability. development include (World Bank 1991): *Mosttourists from industial countries use more MENTAL CDNTO. Stopping eniromnal damage water and other resources and generate more waste oen iolves taigrg awl who per capita ban do residenlts of developing counies oflen involvcs tahng nghts awvay from peoplecwho Adeqraita amountdofrsdntsoabf water,vand facuties. may bepoliticallypowerful. Ontheotherhand, those * Adquae amxmtofptablwatr, ndfailiies who are hurt when the enviroment is degraded and for adequate wastewater treatment and solid waste ar disposalmaynotbe availableinthelocalcomnnuity. the poor and the weak. Thy may' be less politicaly - * The effect of seasonal population growth on the powerfult the poluters the govlerments must local comnmuty creates the need for additional challege Enlightend and infored government facilities to meet peak demands that may be leadership is essential to orrect this imbalac and umderutzed.inslow periods, to establish some environmental equity, nationally. * Activities such as tours of archaeological sites o s u t commitmen .ayniith eiou beliefs and.icov should undes.ore thir mayconffectwnlhlocalrchglousbehlefs andpatcs 116 PublicInvolvement in A of Tourism to the environment by incorporating environmental PROVIDING ESSENTIA sKILLS AND ENHANCING THE planning at all levels of the bureaucacy and by INsTrurONAL SUPPORT sTRucruEs. Governmcnts malkng the conitment publicly. around the world are actively seekdng to strengthen their institutional capacity for environmental SErnNG mPRImE AND FoRmuLA=N POuas TheC S..IN ...R~lE AN JANOPLC. *he management.LEnvironmentalexcutigagenices must seftig ofnationalpreus and formulatmg policiesEviontawciggnlsmt isesstaoftiomalprioritiesoandfocamuainagpolicit be given adequately trained staff to manage the icsoressenTop f rormmty hmsts . ,crc agenint various programs. Environmental management resources Top pitoritmulstibe given to broadeing requires a wide mix of skills including. natura or the scope of E .s to include extensive .Il ideflLtiuIi biological scientists, social scientsts, cnginecrs, and of socioeconomic issues in addition to the cof socioeconomic dissuesion adition to thue p professional managers and planners. In order to considerationofthetradtionalenvironmental issues. ~ ~ ncsaytcnclsil n te nnromtde atp necessari tembtbcal skeyls andaother ithought;itamustnbengnmstnotbemei iyanatter- resources, environmental nongovernmental thought; it must be an essential part.of the central organizations (NGOs) and acadeic institutions, government planning p'oc.ss. Coordinating and such as local or regional universities, should be planning nvonm activities are essential simce tilzed ewnronmental issues cut across norml bounds of _. - . . . ~~~Academic insfbtios often posses tbe twihnical bureaucratic responsibility. The activities of all ,e - . - . .. . , skllsand trastrmctrenecded to undertblcemany of government agencies must also be coordinated tobe h e e < . - . , . - . , ~~the requrd evrnnl and socia stdes and effective and responsive to national, regional, and r They also possess the moral authority and local environmental concernt politicalinfluencztorepresentthedisiivjuse ESTsAB TPPROP interests ofthe poor and disadvantaged. In addition, RAb£WORE. It is imperative that the requirement for bygonregionalNGOsoracademicinstitutions, the preparation:of envfirmental assessments be thebaseofrelevantskillsinaparticulargeographical legislated as a part of the genedal enviomtal area or region can be substantialy incrased. statutes in order to establish ffie correct legal ,! . . . ~~~~~~~~ENG,c,G LOCAL GYOVERNNSD A MANDAnNG framework for imple on Appropriate flow- - - . o n p DNEOLVE4NT aF TME PuBur- Once national priorites downregulationsandenforcementmeasures ar also andlicies bavebe set, itis oftencost-effectiveto necessary to promote eiacient and effective solve problems at the local leveL Public agencies i.lementatio and admin o o. need training in participatory approaches and a clear Those provsins also need to be integrated itjo the -- .. ..... .. . .... m~idicationfomscmormanagcmelltotec fflstmg govment andjudcucalprocedmesaat exisatovment .acdjica c . of partcipation. Day to dayprogram adnmnistration can be delegated to local governments. Project IMPLEMENTING AN EFFECTIVE ADMINISTRATIVE developers must be an integral part of this smRucronGoverments needtodevelop an effective environmna process because dicy are oftea the management and administrative structure for only major group involved in a project at the implemnting and eoforcing the new enviromecnta formuIation stages. The flow of authority fiom - fiamewor Adequate support services must be in national to local governments will empower local place so thathepractis run smoothly. The World leaders to influence project planning and Bankassertsthattheestablishment ofaformalhigh- implelmentatioEL level agency for setting policies and ensuing imleentin szsssetos aspl mprve PROVG ADEQUATE FUNDING. Adequate fimding of impemetatonacross sectors has sharply improved environmental-management in Brazil, China, and - zmleltal programs is essential to meeting the ellvialmanagement in BraziL, China, and .. - . - objectives of the environmental management Nigeria (World Bank 1992b).program. Hostgovemmnents should supplemcnt their Where inter-sectoral decsions need to be made, fu alivennintbeiren erogas such as the management of a reservoir catchment - .~~~~~~~~~ t fridig fiominatomnal donor ageecis.Maay- area,- the conservation of a forest area, and the o t di - . . . ~~of the donor agencics already hae spemlal fundmg development of agdcultural lands, coordminaon is facilitiesto supportsuchprograms. One suchfcility roqpiedt, esref6t. an , osttistosppotfivpmgamsOnsourcel -rIeqwedtoensureeffaentandcost.cffectiveresairce is the Global Environment Facility (GEF), which is management Asstatedearhier,mediansms forproper jointly managed by the UnitedNations Environment coordination are essentiaL McLaren 117 Programme (UNEP), the United Nations assis houldalsobeearnkdfortechnicaland Development Programme (UNDP) and the World management assistance, training, and institutional Bank The GEF supports prjects in developing support countrics to reduce global warming; preserve the AkeyprincipleoftheEAeecisewillbetheneed carth's biological diversity, protect international tosolicitandincorporateearlyandcontnuouspublic waters, and prevent firther depletion of the ozone or local involvement in the EA process. Such layer (World Bank 1992a). involvement will ensure the development of a more viable and sustainable idustry. ENsuamsAccouNTABrr. Agcncies thatimplement project shmudbe held accountable forthe effects of The Host Comzwuty their actions and should be kept organizationally - . separate fromnregulatory andmonitoringbodies. The baing of c and social benefits and public agenciesthatimplement orregateprograms environmental costs requireS both subjective ttne -judgments and detailed knowledge of local environment must be held accountable for e circumstances and conditions. Neither govements environmental impact of their activities. The same nor donor agences arnecessanly equippedtojudge applies to both private andpublic funing agc thepriorities ofthe localpopul andthevaluethat agencies. they place on their enviment A partiipatory FundngAgenies process is thcrefore essentiaL In arder to uilize - - - effectivelytbe scarce resources, goemments should The availability of either private or public financing mvolvofothuhe private sector may be the major factor thaL detmins whether or . e - . ~~~~~andlocalcmmutlcadesandentrep.em inthe- not aparticlardevelopmentwiilultimatelyocconr m - of enionmental assessments. an area. Consequently, theroe offinancig agencies (wihetherprivate investors orlnclers, ornternationa Thcrearemanyadvantagestolocalparticipationin developmn agnies) can bedpivtmaltioth a project These advantages are best articulated by development agcncics) can bc pivota to the Hudspeth(Igg2)los lCaPiiPt° implementtion of nvironmenal Hudspth(1982)as follows. First,local participation i mplcmentation of progrcssive niocna progressive functions as an early warning system by pemittmg assessmet management, and mitigationpractices... assessmcntnecesmag lmento any compreh ense . managers to avoid decisions that would cause Thrfore, anecessaryelementOIfany V e!ARW ammoslty between them and the local population environmental legislation should be to make the When managers takc the time to isten, they enlist preparation of an EA a rquirement for obtaining confidence, trust, and support from the local eitherpubihc orpnvate financing for projects over a ul Studies have showthatpeople will only cetin size and complcxity. A furter requimemet -- ... e a e Asupportprojects thatdirectlybenefitthem Encluding for funding would be the commitment bythe project aparticipationprogramintheearlystageof aproject propone or developer to avoid or mitigate adverse provides the oppomty for the local community to impacts. Thepossbilityoflenderorinvestorliabilt become educated about the purpose and benefits of under such environmental statutes would be a th ept j t,ygfacfLem - compelling incentive for compliance. - - . - ........ - ~~Seond,pubbcmvolvemnentfostesbeuerplannig -International donor ageces should assumea more Scn,pbiivleetotr etrpann and decisionmaking. Conficting viewpoints are assertive role in promoting or encouraging brought out in the open and resolved during the n -: aKsvassessAmentsofprojectimpactsdudg -.. pnningprocess; additional informationis provided the sectoral and regional planning stages when a mA considering fimding requests. The World Bank has persha often urmecog ,ar e av chace to already undetalk bold new steps in this dirction voicetheiropinion awider array of altenatives may lfitemational development isttutions such as the be developed from publc opinions; and issues, UmtedNations Educational Scientific, and Cultral impacs, ad mapaglmc altns are bete Orgnization (UNESCO), UNDP, and the World i and m a ar better Health Organization (WHO) can contibute to the nified.Hcn;thecprssionofdiffCngopiion advice may be quite beneficial both socially and EA ex:rcise by providing exprt teclnical advice r t econmcalr,dcn ter, heloodW of disrmtive -tailored to local needs in speiic such community conflict inthe future (Coser 1956). anthropology, cultural preservation, health, . ,.esurng.ocalinpt.lgitiize th - . . . ~~~~~~Third, ensiunng local input legitimizes the - environmental management, and socioeconomic adkiingprcess.Tnnami kyofproject impact assessment and mitigation. Additional 118 Pubkclnvolvement in EA of Touism managers is reinfrced, and local involvement is * Who are the local community leaders and secured. The involvement of diverse groups with -influntial groups in the community? parficular conns or expertise, may elicit relevant * How effective are the grassroots organizaions or infoatiureegadigthenatireamdscpeofpoteta NGOs in the community? enviroamentaleffects and the appropnatemitigation * What is the level of community awareness of the strategies (Drke 1991). proposed project? Finally, the active involvement of the public can * What roles do political parties and religious or provide ihe means to leverage limited tcdhnical and cWtal groups play? humanrces tobenetthe maxiumnumber of * How do government agencies communicatewith people. the local community? How effective wil the print and electronic media PUBuc PARfC]PXA ON IN DEMOC,C D .L be in informing dte public about thc project? coumxws. Public consultation is now accepted as an Social scientis (anthropologists, sociologists, essentialpartoftheEAprocessmamdustrlccdmnts. social workers, and so forth) from the host country However, the EAs performed in those coutries provideittlegiuidancfornivolvmnglocalcommam.ties have a great deal of ehxprtise regarding their own people,langulages, andc lb.- Theseprofessionals in developing countries. A major premise. ofpublic sholdeb lgnsguted on how best.to Tevolve peoples constationinmostindustrialcountnesisihatcitisb whoparticateareac..stomedtDcertainprotections and they should be made an integral part of the . . . , . , , ~envrnetal assessent team. of fiwe spewch and po]litcal fieXoom, and thereore .niolmn asesmn t.am of free speech and pohti.al freedm,. and therefore The public participation prgram shoud include "do not rim major pews or political risk m - gp * ^ nAwr , - wn~otmued fe dback to those consulted. Parbaclar questioning Proposed government actions" (World attention should be given to discussing choices and Bank 1991). the tentative conclusions of studies and EA drafts, In many devdaoping counres, an eavkmotal -n many developing countries, an izizientAand to explaming how they are being incorporated assessment team cannot operat on these premises into project feasibility design and implemen because of local cultua constrints, the absece of - . . . X ~~~~~~~plan.ApossilberolefortbLepubllccodldbeto assist- dnemocratic free speech traditions, and the lack of ?bOd po...calandeconemcpowerforthosemosth tD .in-m detemminmg who is responsible for initiating and poultcal and ecniipowerforthosemost likelyto ~ec cin o ahato ilb beardw dvmcimpctsassoiatd wth aprcecL mplementing each action, how each acUon will bc bear thaveseimacsasocatdittaken, and when the action will be taken. Local Thefore, the n mental assessment temmust bemoreproactiveandpesistentin encouragig and citiz could also be involved in the management jeliciting publichparticipation ~ ~ phase of the project. The support of local business eliciting public participation- In ofber words, dIhe ognz hudas eslctd team mst actively mcorporate the opinions of local citizens into the project's decisionmiking process. iNFORMrAoN, EDUCATION AND COMMUCAnoN. A Dr mN:OF A PUBLIC PAR¶aPATAON PROGRAM well-designed and implemented community Am ass.ssmcnt program. shoiil i mvolvement programwill mcarporate iformaton, An environmentalassessom ent program should education and communication elements. These inc-poateoca cusoddevelop elementscanplayauseflrole inprojectdevelopment a worling relaop with local ciizens at an early . p a and mitigation of project stage. Public consultation andthewholeEA exercise .. .- . ,., nn~ipacts, isitltutional stmngthenng, andmotivatim shouldbeacontimousanditerativeprocessmwnwhic assiation into the new project or activity. A new issues are allowed to emerge and insignificant programwill enableinfornationexhage ones are set aside. The underlying theme is participatorydczsomaling incluuingprteation btcmtloy mmnthrnteprciddvloc mlArcignrankingoenaflve,andteeIegpa cticnio & orvnent agecy. This will in return ensure a inEAdesiga,raikingof atatives,andtheselection .. - . . ofstdisoendre Soe mimum of social dislocation, development of of st3dles to be un6ertakcen. Some, of the relevant -.. effectiveimpactmitigationmeasand acceptance questons that should be asked when developmg a - - patiiptin rgrm re(Wrl Bn of the project in the commnity. co yparticipation program are (Word Bank When the participation process enables two-way 1991): * Who ar the people potentiafyaffectedbythe communication such that information about the rWhoj arn wha people potentib y affected by the con mimity is obtained fiom the citizens and, intui,- authorijcty sbatru res preset?d s grcOups aad citizens are educated, the advantages to the project auditlzrly strucare prcseS?---- McL aren 119 developnt will outweigh the casts of cize andothertypesofprqjects.This twasderived involvement to the project developers. Lessons substantially from te State Envnmeal Quality lared fiom existig local public health education Review Act; SEQR Handbook (1982) that was programs can be applied to public infonmation, developed by the New York State Department of education and communication programs in the Environmental Conservation, with appropriate environmental area The pri and electronic media modifications. Detailed envimtal assessmens are also important elemts in providing effective ofpontialimpactsidentifiedinthecheldistshould infonnation alnd influencing opinion, be undertaken as te project evolves. Finally, by far the most important factor in developing these programs is that they have to start An ExpMded Scope for Impact A ssmets very earlyon ifthey are to be memingful. Tbeymust The goals of development projects can be fustrated alsoprovidethepublicwithigeuineopportuitiesto trough nticpatedor uintnded negative social influmcr the decisions that will affect their lives. or nmental impacts that reduce the desired The Projet Developer benefits or even threaten the sustainability of the project The objective of the EA shouldbe to assess In most intans enimeal assessmets are the magnitude of the expected impacts of induced rig if at all, during the fasibilily stage of a delqpmntsotgatnactionscanbeplanmed projet However,bythistimeintheprqjectcycle,the onanadequatescale.A wmpebesiveenvironmenta dimensionsandspecificfeatesoftheproject(such assessment should also identify the socia changes, as site layout and building dimnsions) have already eva]uatethesocialcostsoflong-tarmconiuationof been defined and the procect concept has developed the project and formulate strategies to achieve the a constituecy of its own. Project changes to desiredobjctives. Suchanexpanded i me accommodate n an andoterconsderations and social assessment (E&SA) should adequately then become more difficult; if not impossible; to analyze the nature and eff=ecness of the loal and incorporate. regional mstitutions dhatmayhave responsl for If EAs are to develop the potential for addressing planing and administrative decisions (Branch and the full range of nviromental and social impacts others 1984). and the appropriate mitigation measures for a proposed project, then these concerns should be G'menoftbeEmronmennlaWdSOCIal addressed at the earliest possble date. The EA, or at least, a "mini EA," should be initiated during the lordertoandassesssodamp pacts,wcncd cnceptual or formulation stages by tbe proponents information on the following subjects in addition to of the project or by the project developers. In this the traditional en l areas: ethnic or-tribal manner,cnvironmentalandsocialcensiderationscan affiliation, occupation, socioeconomic status, age be incorporated into project formulation and andgender.Socialinformationintheaboveareascan development Any changes that are promptedby the be used to: ver or modiry existing assumptions evaluationofimpacts canthen betreatedas ordinay albout the local population that may be pivotal in and necessaryprojectmodificationsto accommodate envionmntalandsocialassessment; conductsociaI site conditions, and not isolated and branded as analysisinordcrtopre&ttheWwlyresponseoflocal "costly and time-onsuming changes to sasfy the groups to a projeclt; and formulate social strategies environmentalists." for mitigating en impacts (World Bank There is a need to establish a user-friendly and l99I).Manyprojctsalsohaveapoiapacton manageabiemechanismfbrprojectdeveloperstouse archaeological sites which are consdered part of a m their consideration of potential impacts. Ptoject country's cultural heritage. Since cultural resources developers must be ar integral part of this are part oftheresource base, itis thereforeimortat environental process because of their potential that development options be evaluated for potential invesment in the project, and the fact that the are impacts on cultual prpet. often the only major group involved mtheproject at Both urban and rural populations depend upon a thefomuationstages. Thechecklistmnappendix 11 - networkofneigborsandrelaiivestoprvidearange 1 was developed for use by project planners and of low-cost social and socioeconomic support developerstosopethepottiaimpactsfitouMMsm services Thcerafgcmhidcaeto eto 120 Publc Involvement in E4 of Tourism of income-earning opportmnities to informal credit suggestions of those most affected by the project- arrangemcnts. Dismption of these ntworks due to namedy,isidatsofthelocalcomnity. Involvemeat siiflingemploymentpattnsandmigrationpractices of the local community in plamning appropriate places atrisktheaffectedpeopleparticularlywom, mitigation strategies can resurrect a proiet concept children and the aged. Consequently, adequat thatmaynot othewise be viable, while satisfyingthe sociological-and anhropological studies should be concemsofawiroentalgroupsandodterinterested undertake to assess the resulting project impacts parties. and to develop strategies'to ovecomeCthem Some other mitigation measures that could be considere depending on thre scale and scope of the GeographicRange ofthe Assess-men project, include: In order to be able to initiate the E&SA process * Providingtrainngforlocalpeople,esspeialyfor during the fmulation stage of a specific project, those in less-sklUld jobs, and improved transport some mechanism should be instituted to address faclities fOr Workers. regional environmental concerns. Familiarity with * Promoting investment in local resources to thephysicalconditionsandrequiemtsofadjoining improve the local economic resource base and to communities or those sharing common resources capitllize on the expanded economic opportunities. (such as watr supplies or waste disposal faciLities) * Strengthening existing local institutions or is essential to ddss the fll range of potenti developing new ones to undertake long-term impactsofanyprojct Therefore,thconsruction of developmetand regional planning, andto provide prqectsprtfacilitics,andotbernelatedfacilities expanded social services for the public. umder considerationornotyetoperationaldwitin te - Planning adequate headth cue, drnking water same geographic region, should be factred into the andsanitazyfacilitiesforthebefltofthecommumnit. E&SA process. Without including these ares in the * Providing the necessary social, psychological E&SA process, the cumulative burden of these and counseling services to copewith socioeconomic projectscamot be adequately addressed. changes. A common shortcoming in the design and The E&SA team should also develop an ongoing envirnmentl assessment of such projects is the monitong and evaluatio program to periodicaly falluretoplanfortheinfluofasecondaypopuiatio assess the impacts of the prect hat may not be of workers and teir families who take advantge of predictable or may not be antipated at the outset the new economic opportunities created, and who may also place a burden on the surrounding environment for food, living space, and social As stated earlier, in order to assess the cumuative sevices.l The construction of facilities by private burde of any project in time for the required design entrcepneurs in response to the demands of these changes to be made, at least a preliminay E&SA migrnts can cause haphazard development in the mustbestartedduringprojctfornulation. Theskills community. Suchimpactsshouldbetaeintoaccount rquired at this stage of projec